Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
SEED CX Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) 01/12/2018 Withdrawn 01/16/2018 2
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
BSEF Notice to Participants 01/14/2016 Certified 01/29/2016 1
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
ICE SEF ICE Swap Trade, LLC - Rule Amendment - Amended Rulebook Submission 13-09 (Letter dated December 4, 2013) 12/05/2013 Certified 12/20/2013 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
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
BSEF BSEF Rulebook Amendment 02/21/2017 Certified 03/07/2017 1
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
BSEF BSEF Compliance Manual Amendment 02/21/2017 Certified 03/07/2017 1
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
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/17/2019 Certified 07/31/2019 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
ICE SEF ICE Swap Trade LLC - Rule 701 Block Trade has been amended to remove reference to Packaged Transactions. Submission 14-02 February 5, 2014 02/06/2014 Certified 02/22/2014 1
TRAD Amendments to Tradition SEF Rulebook. 07/15/2016 Certified 07/29/2016 2
NEXSEF Amended Facility Rulebook 07/17/2019 Certified 07/31/2019 6
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
IGDL Amended Rulebook - specifically the Definitions and Rules 204, 304, 305, 315, 404. IGDL 2014-R-1 05/16/2014 Certified 05/31/2014 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Compliance Manual (BSEF-2021-R-07) 07/23/2021 Certified 08/06/2021 1
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
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
TRAD Changes to fee schedule 11/10/2014 Certified 11/25/2014 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
TPSEF tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F 05/19/2014 Certified 06/04/2014 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2
360T Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. 08/04/2015 Certified 08/17/2015 4
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Adoption of the Board of Directors Terms of Reference 04/26/2021 Certified 05/10/2021 2
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 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