Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF GFI Swaps Exchange LLC Submission #13-0012 12/19/2013 Certified 01/07/2014 1
GFISEF Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. 02/28/2022 Certified 03/14/2022 1
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
GFISEF GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 02/19/2014 Certified 03/06/2014 1
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
GFISEF GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders 12/20/2013 Certified 01/08/2014 1
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
GFISEF Holiday Closures 12/23/2014 Certified 01/08/2015 1
GFISEF GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 11/01/2013 Certified 11/19/2013 1
GFISEF GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M 06/18/2014 Certified 07/03/2014 1
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
GTX GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 06/13/2014 Certified 06/28/2014 1
GTX GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 06/16/2014 Certified 07/01/2014 1
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICAPSEF Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. 07/11/2016 Certified 07/25/2016 9
ICAPSEF ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 06/26/2014 Certified 07/12/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook Rules: 202, 203,...,514 March 28, 2014 ICAP-2014-R-1 03/28/2014 Certified 04/12/2014 1
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook: Definitions and Rules 103, 107, 201, 205, 305, 309, 312, 315, 316, 404, 502, 509, 511. (December 5, 2013) ICAP-2013-R-4 12/06/2013 Certified 12/21/2013 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
ICAPSEF ICAP SEF - Rule Amendments - Amended Rulebook - Definitions and Rules 204, 205, 305, 315, 404. ICAPSEF #2014-R-3 05/22/2014 Certified 06/07/2014 0
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3