Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
DWSEF DW SEF Cover Letter re MRAN (1.7.16)DW SEF Market Regulation Advisory Notice re Top and Drop Privilege (1.7.16) 01/07/2016 Certified 01/22/2016 2
DWSEF Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
GFISEF Amendments to Rule 509(c) - GFISEF Submission #13-0005 11/26/2013 Certified 12/12/2013 1
GFISEF Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 11/26/2013 Certified 12/12/2013 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
GFISEF Withdrawal of Registration Submission #14-0012W 06/25/2014 Certified 07/11/2014 1
GFISEF GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 03/27/2014 Certified 04/11/2014 1
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 02/05/2014 Withdrawn 02/19/2014 1
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 2
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GFISEF GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 06/11/2014 Certified 06/26/2014 1
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
GFISEF GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 05/06/2014 Certified 05/21/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 12/19/2013 Certified 01/07/2014 1