Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Rule amendments made to comply with CFTC Letter No. 15-67 07/07/2016 Certified 07/21/2016 1
CBOESEF The proposed changes seek to modify the Order Review Timeframe for each of the SEF Order Book and the Full Amount Platform from 100 to 70 milliseconds. 04/16/2021 Certified 04/30/2021 1
CBOESEF Javelin SEF hereby submits it market maker program. 04/21/2015 Certified 05/05/2015 1
CBOESEF Cboe SEF is amending Rule 909 to add exceptions to the definition of Confidential Information. 11/01/2023 Certified 11/16/2023 1
CBOESEF Change in trading hours 02/25/2016 Certified 03/10/2016 1
CBOESEF Extending current market maker program. 11/01/2023 Certified 11/16/2023 1
CBOESEF Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 01/30/2014 Certified 02/14/2014 1
CBOESEF (1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. 06/24/2022 Certified 07/11/2022 1
CBOESEF To prevent inconsistency with Rule 319 "Withdrawal of a Participant", and conform with market practice. 10/06/2016 Certified 10/21/2016 1
CBOESEF Javelin SEF LLC - Amendments to its Rulebook - Amended Rules 216, 505, 523, 706 (Submission No. 13-08) 11/08/2013 Certified 11/26/2013 1
CBOESEF Changes to composition of Business Conduct Committee and Panels, introduction of PEN and RUB Contracts. 03/05/2018 Withdrawn 03/05/2018 1
CBOESEF Changes to the composition of the Business Conduct Committee and Panels. 03/05/2018 Certified 03/19/2018 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
CBOESEF (1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. 01/14/2022 Certified 01/31/2022 1
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
CBOESEF Cboe SEF, LLC is submitting certain changes to its rulebook to, among other things, add a definition of "Minimum Tick Size," clarify the difference between Participant Data and SEF Market Data, and clarify applicable fitness standards. 01/17/2018 Certified 01/31/2018 1
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1
CBOESEF Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. 08/05/2015 Certified 08/19/2015 2
CBOESEF Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants 07/28/2020 Certified 08/11/2020 2
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
CBOESEF Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) 01/08/2014 90 Day Review 01/14/2014 0
CBOESEF Amendments made to Javelin SEF Rule 706 in response to the request of Commission Staff. 08/26/2016 Certified 09/12/2016 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program 05/08/2015 Certified 05/22/2015 1
CBOESEF Amendments to Rule 318 and addition of new definition for Market Maker Program. 05/08/2015 Certified 05/22/2015 1
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
CBOESEF Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). 06/30/2023 Notified 06/30/2023 1
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
CBOESEF Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. 09/30/2014 Certified 10/15/2014 1
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
CBOESEF Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. 09/30/2014 Certified 10/15/2014 1
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
CBOESEF Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. 10/17/2017 Certified 10/30/2017 1
CBOESEF Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF (1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. 03/17/2022 Certified 03/31/2022 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
CBOESEF Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. 08/06/2018 Certified 08/20/2018 1
CBOESEF Notice to Participants related to amendments made to Rule 318. 05/15/2015 Certified 06/01/2015 1
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