Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade LLC - Rule Amendment - Revised Fee Schedule, Error Trade Policy and Block Trade FAQ. ICESEF #14-06 02/27/2014 Certified 03/14/2014 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 10/06/2021 Certified 10/21/2021 1
CMESEF Adoption of CME SEF Rule 502 and Amendments to CME SEF Rules 526 and 528 02/12/2015 Certified 02/27/2015 1
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
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
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
DWSEF Amended DW SEF RulebookAmended DW SEF Market Regulation Advisory Notice re STP 07/22/2016 Certified 08/05/2016 6
BSEF BSEF Rulebook Amendment 07/26/2019 Certified 08/09/2019 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2021-R-2) 03/10/2021 Certified 03/24/2021 1
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
CMESEF Fee Waiver for Energy and Metals Cleared Swaps. CMESEF #14-132 04/25/2014 Certified 05/10/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
BSEF Bloomberg SEF LLC hereby submits its revised Rulebook, effective as of February 4, 2016. 01/20/2016 Certified 02/03/2016 1
ICAPSEF Amended Rulebook and Confidential Chapter 9 01/05/2017 Certified 01/20/2017 4
BSEF Compliance Manual Amendment 07/26/2019 Certified 08/09/2019 2
TPSEF Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
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
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
BSEF Revised BSEF fee schedule 03/14/2018 Certified 03/28/2018 2
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
TRAD Changes to fee schedule 11/17/2014 Certified 12/02/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/20/2015 Certified 04/03/2015 4
CBOESEF Amendment of two definitions within the Rulebook of Bats Hotspot SEF LLC; the definitions of "material relationship" and of "family relationship." 02/27/2017 Certified 03/13/2017 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook. 11/18/2014 Certified 12/03/2014 2
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook, Fee Schedule and Exhibit Q-2 to reflect recentdevelopments and provide clarity. 01/13/2015 Certified 01/28/2015 7
BSEF Bloomberg SEF LLC hereby notifies the Commission that it has amended itsRulebook. The amended Rulebook will become effective on December 7, 2015. 11/19/2015 Certified 12/04/2015 1
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
BSEF Bloomberg SEF LLC - Certification 2023-R-03 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
CMSEF SEF Rulebook Amendment 04/28/2016 Certified 05/12/2016 1
BSEF Bloomberg SEF LLC - Certification 2023-R-04 (Notice to Participants) 05/12/2023 Certified 05/26/2023 1
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
BSEF Rulebook Amendment 10/21/2016 Certified 11/04/2016 1
CMESEF Amendments to Chapter 4 ("Enforcement of Rules") 11/29/2016 Certified 12/13/2016 5
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