Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/22/2016 Certified 10/06/2016 1
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
LGX Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
LGX Amendment to Participant Agreement 08/04/2022 Certified 08/18/2022 2
LGX Fee Schedule Amendmenet 12/06/2019 Notified 12/06/2019 2
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
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
LGX Amendments and changes to LedgerX's Rulebook, Operations Manual, and AML Policy in regards to changes in order types and expansion of operations to Singapore as previously discussed with DMO and DCR staff. 06/11/2018 Certified 06/25/2018 4
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
LGX Rulebook for LedgerX DCM 06/24/2019 Certified 07/09/2019 2
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2