Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
CMSEF SEF Rule Amendment 08/04/2016 Certified 08/18/2016 1
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
CMSEF SEF Rulebook Amendment Certification 07/20/2015 Withdrawn 07/28/2015 1
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
DWSEF DW SEF Amended IRS Fee Schedule 10/24/2016 Certified 11/07/2016 1
DWSEF DW SEF Letter re Fees (11.23.15)DW SEF FOIA Request and Written Justification (11.23.15)App. A1 - DW SEF Ex. K (Clean 11.23.15)App. A2 - DW SEF Ex. K (Marked 11.23.15)App. A3 - DW SEF Fee Schedules 11/23/2015 Certified 12/08/2015 1
DWSEF SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
DWSEF DW SEF Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
DWSEF New Rule 419 to prohibit Post-Name Trade Give Up in accordance with 37.9(d) 11/05/2020 Certified 11/20/2020 6
DWSEF Amended DW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
DWSEF Revised and amended Rulebook for DW SEF LLC. 07/29/2014 Certified 08/12/2014 13
DWSEF Amended Fee Schedule 06/15/2017 Certified 06/29/2017 1
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4