Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NEXSEF Update Chapter 8 to incorporate changes made to the terms of existing products (made in separately filed 40.2(a) filings) and make various substantive formatting and clean-up changes throughout the rule book. 08/27/2019 Notified 08/27/2019 1
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
NEXSEF Amendments to Quote Fill Ratios for Certain Currency Pairs and Issuance of NEX SEF Market Regulation Advisory Notice 2021-03 06/01/2021 Certified 06/15/2021 1
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
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
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
NEXSEF Amended Fee Program 08/08/2017 Certified 08/22/2017 2
RADSEF TeraExchange, LLC - Amended Rulebook Submission 2013-01 11/26/2013 Certified 12/12/2013 1
RADSEF TeraExchange, LLC - Rule Amendments - Amended Rulebook TERAEXC #2014-21 04/16/2014 Certified 05/01/2014 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
RADSEF TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 02/24/2014 Certified 03/11/2014 1
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
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
RADSEF TeraExchange 40.6 Filing 15-01 - Rulebook Amendments 01/19/2015 Certified 02/02/2015 1
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
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
RADSEF TeraExchange response to Staff's supplemental 43 and 45 reporting questions. 12/19/2014 Certified 01/06/2015 1
RADSEF Correct reference or clarify Rules 536 and 537Add product terms and conditions 10/29/2021 Certified 11/15/2021 4
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/24/2016 Certified 03/09/2016 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) 11/20/2020 Certified 12/07/2020 2
RF SEF The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement 11/05/2021 Certified 11/22/2021 2
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
RF SEF Thomas Reuters SEF - Amendments to Rulebook Submission #14-01 01/13/2014 Certified 01/29/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
RF SEF Thomas Reuters - Submission 14-02 - Amendments to Rulebook - Effective June 13, 2014 05/30/2014 Certified 06/14/2014 1
RF SEF Refinitiv SEF has amended the fees schedule to remove references to the 2014 NDF Order Book Market Maker Incentive and the Tier 2 SEF Member 2014 incentive (and their respective defined terms), and to add a new 2022 Request for Stream Incentive. 05/02/2022 Certified 05/16/2022 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/10/2016 Certified 05/24/2016 2
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 05/30/2014 Certified 06/14/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 01/16/2015 Certified 02/02/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
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
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
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 05/23/2018 Certified 06/07/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
RF SEF Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 11/22/2013 Certified 12/10/2013 1
RF SEF Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 10/17/2013 Certified 11/01/2013 2
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
RF SEF Amendments to its application for TR SEF and request for Confidential Treatment. October 18, 2013 10/21/2013 Certified 11/05/2013 0