Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
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
BSEF CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. 11/29/2023 Certified 12/13/2023 1
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 11/20/2013 Certified 12/06/2013 0
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. 03/26/2020 Notified 03/26/2020 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2018-R-07) 08/16/2018 Certified 08/30/2018 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
TPSEF Updates to tpSEF Inc. Risk Mitigation Procedures 11/30/2023 Certified 12/14/2023 1
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
IGDL Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
CBOESEF (1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds 02/18/2022 Certified 03/07/2022 1
TPSEF tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) 10/24/2013 Certified 11/08/2013 1
IGDL Amended Fee Card 10/17/2014 Certified 10/31/2014 2
SEED CX As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. 09/11/2017 Certified 09/25/2017 3
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
TRAD Amendments to Tradition SEF Rulebook. 09/21/2015 Certified 10/05/2015 2
TRAD Amendments to Tradition SEF Rulebook. 09/16/2016 Certified 09/30/2016 2
IGDL Rulebook amendments 07/27/2017 Certified 08/10/2017 2
TWSEF Amendment to TW SEF Rulebook and Fee Schedule 04/11/2018 Certified 04/25/2018 6
BSEF Notice to Participants regarding trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 06/15/2022 Certified 06/30/2022 2
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
SWAPX Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. 06/02/2015 Certified 06/16/2015 4
CBOESEF Rule amendments related to Phase 3 and 4 Questions, Part 43 and 45 Questions, corrections of typographical errors, and clarification of product specifications. 12/29/2015 Certified 01/13/2016 1
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
BSEF Notice to Participants regarding the lifting of a trading halt in trading of interest rates swap contracts on BSEF implemented at approximately 3:52 a.m. EDT on July 2, 2018. 07/02/2018 Certified 07/17/2018 1
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. 09/10/2014 Certified 09/24/2014 1
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
CBOESEF Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. 04/10/2015 Certified 04/24/2015 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 12/23/2019 Certified 01/08/2020 2
IGDL Amended Facility Rulebook 01/26/2015 Certified 02/09/2015 4
BGC Amendment raising 5 second cross-delay to 15 seconds. 04/10/2015 Certified 04/24/2015 1