Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
TPSEF Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. 04/02/2015 Certified 04/16/2015 1
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
BSEF Emergency Rule Certification 02/05/2019 Certified 02/20/2019 2
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TRAD Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 10/17/2013 Certified 11/01/2013 1
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification - no-action relief in CFTC Letter 13-57 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders 10/17/2013 Certified 11/01/2013 0
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
TWSEF Emergency Rule Certification- provided by CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. 10/01/2014 Certified 10/16/2014 2
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. 10/01/2014 Certified 10/16/2014 1
TRAD Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. 08/19/2016 Certified 09/02/2016 2
TDERIV Expansion of trading hours for IRS products 02/16/2018 Notified 02/16/2018 1
CBOESEF Extending current market maker program. 11/01/2023 Certified 11/16/2023 1
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
NEXSEF Extension of the NEX SEF African & Middle East NDFs Market Maker Program 10/15/2021 Certified 10/29/2021 2
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
NEXSEF Fee Program Amendment 12/15/2017 Certified 01/02/2018 2
IGDL Fee Schedule 03/17/2015 Certified 03/31/2015 1
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
LGX Fee Schedule Amendmenet 12/06/2019 Notified 12/06/2019 2
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
TWSEF Fee Schedule Amendments 08/22/2017 Certified 09/06/2017 2
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
TWSEF Fee Schedule update for Credit Default Swaps 07/15/2021 Certified 07/29/2021 2
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1
NEXSEF Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. 09/09/2020 Certified 09/23/2020 1
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1