Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
CBOESEF Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) 11/03/2022 Certified 11/18/2022 1
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
CBOESEF Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. 11/04/2022 Certified 11/21/2022 1
CBOESEF Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). 11/04/2022 Certified 11/21/2022 1
LATAM 40.6(a) certification of LatAm SEF Rulebook, version 1.12 11/16/2022 Certified 12/01/2022 1
LGX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) 11/18/2022 Certified 12/05/2022 1
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. 11/21/2022 Certified 12/06/2022 2
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
CBOESEF The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. 12/01/2022 Certified 12/15/2022 1
CBOESEF Implementation of market maker program. 12/01/2022 Certified 12/15/2022 1
CBOESEF The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. 12/01/2022 Certified 12/15/2022 1
BSEF Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) 12/02/2022 Certified 12/16/2022 1
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
CBOESEF Update Fee Schedule 12/15/2022 Certified 12/30/2022 1
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 01/30/2023 Certified 02/13/2023 1
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 03/20/2023 Certified 04/03/2023 1
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
360T terminology update 03/24/2023 Certified 04/07/2023 7
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
CBOESEF Introduction of second SEF Trading System in LD4. 05/02/2023 Certified 05/16/2023 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
BSEF Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
BSEF Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
TRAD Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. 05/19/2023 Certified 06/05/2023 5
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
BSEF Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). 06/07/2023 Certified 06/22/2023 1
RF SEF Refinitiv SEF is extending its Request for Stream Incentive program another 6 months from July 1, 2023 to December 31st 2023. 06/08/2023 Certified 06/23/2023 2
BSEF Product-Related Amendments to the BSEF LLC Rulebook 06/15/2023 Certified 06/30/2023 1
RADSEF Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. 06/21/2023 Certified 07/06/2023 2
BSEF Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) 06/28/2023 Certified 07/13/2023 1
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11