Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
TPSEF Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/03/2015 Certified 02/18/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. 09/29/2015 Certified 10/14/2015 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, tpSEF Inc. ("tpSEF") wishes to amend its rulebook as provided in Exhibit A. 11/04/2014 Certified 11/19/2014 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached submission. 10/03/2016 Certified 10/18/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on January 27, 2016. 01/12/2016 Certified 01/27/2016 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 09/16/2014 Certified 09/29/2014 1
TPSEF Amendments to tpSEF Fee Schedule 10/02/2017 Certified 10/17/2017 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/16/2021 Notified 04/16/2021 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/11/2015 Certified 11/25/2015 1
TPSEF Commission Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/05/2015 Certified 02/20/2015 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 08/30/2019 Certified 09/16/2019 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 08/30/2019 Certified 09/16/2019 1
TPSEF tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) 06/26/2014 Certified 07/12/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/26/2021 Notified 02/26/2021 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. 12/08/2015 Certified 12/22/2015 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. 08/23/2016 Certified 09/07/2016 1
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
TPSEF tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F 05/19/2014 Certified 06/04/2014 1
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
TPSEF Supplement to Exhibit N to Form SEF 10/11/2016 Certified 10/25/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/17/2015 Certified 12/02/2015 1
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 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
TPSEF Amendments to tpSEF's Rulebook and Compliance Manual. 04/29/2020 Certified 05/13/2020 2
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
TPSEF Rulebook amendment 10/11/2017 Certified 10/25/2017 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/20/2015 Certified 12/07/2015 1
TPSEF tpSEF - Amendments to Rulebook (dated January 10, 2014) 01/13/2014 Certified 01/29/2014 0
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. 04/29/2016 Certified 05/13/2016 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. 11/14/2019 Notified 11/14/2019 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/24/2015 Certified 12/09/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 10/27/2016 Certified 11/10/2016 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. 05/04/2016 Notified 05/04/2016 1