Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TWSEF Market Regulation Notice Concerning Block Trades 10/19/2020 Certified 11/02/2020 1
IGDL IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
TPSEF tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add a definition, update various CFTC No Action Letters and add a rule for the CFTC Post-Trade Name Give-Up rule. 10/19/2020 Certified 11/02/2020 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
NEXSEF MRAN update for additional currency pairs 10/21/2020 Certified 11/04/2020 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. 10/29/2020 Notified 10/29/2020 1
IGDL Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. 10/29/2020 Notified 10/29/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) 10/30/2020 Certified 11/16/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) 10/30/2020 Certified 11/16/2020 3
BSEF Compliance Manual amendment 10/30/2020 Certified 11/16/2020 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
RADSEF New and conformed rules relating to new CFTC regulation 37.9(d) on post-trade name give-up prohibition; clean up stale references 11/03/2020 Certified 11/18/2020 4
ICE SEF Rule Changes to the ICE Swap Trade Rulebook 11/03/2020 Certified 11/18/2020 6
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
DWSEF New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) 11/05/2020 Certified 11/20/2020 6
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
IGDL Non-substantive revisions to the IGDL Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
TWSEF Amendment to include new Rule 419 to prohibit post-trade name give up 11/05/2020 Certified 11/20/2020 6
CBOESEF Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. 11/06/2020 Certified 11/23/2020 1
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) 11/09/2020 Certified 11/24/2020 2
360T The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). 11/12/2020 Certified 11/27/2020 8
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain new requirements related to counterparty anonymity under Commission Regulation 37.9(d) 11/20/2020 Certified 12/07/2020 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to clarify Rules 604 and 704 with respect to Post-Trade Name Give-Up and to update various CFTC No Action Letters. 11/24/2020 Certified 12/09/2020 2
TRAD Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. 12/03/2020 Certified 12/17/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/11/2020 Notified 12/11/2020 1
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
ISBV iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. 12/16/2020 Certified 12/31/2020 8
RADSEF Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions 12/16/2020 Certified 12/31/2020 4
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 12/17/2020 Certified 01/04/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 12/18/2020 Certified 01/05/2021 1
CBOESEF Cboe SEF is submitting proposed rule amendments to modify the Order Review Timeframe in respect of its Full Amount Platform, and to clarify the composition of its Participation Committee 01/08/2021 Certified 01/25/2021 1
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
IGDL Notification of Amendments to Rulebook. 01/29/2021 Certified 02/12/2021 1
TPSEF Notification of Amendments to Rulebook 01/29/2021 Certified 02/12/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1