Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
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
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2
TPSEF This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. 10/14/2014 Certified 10/27/2014 2
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
SEED CX Updating Various Rules in the Seed SEF Rulebook 08/14/2019 Certified 08/28/2019 1
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4