Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. 07/07/2021 Certified 07/21/2021 1
CBOESEF Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 12/16/2013 Certified 01/01/2014 1
ICE SEF Rulebook amendments in (1) order to affect administrative/clerical revisions; (2) clarify process by IST implement and enforce rules (3) comments from CFTC and IST participants. ICE SEF #14-01 01/23/2014 Certified 02/07/2014 1
DWSEF Amended Fee Schedule 06/15/2017 Certified 06/29/2017 1
TPSEF Amendment of tpSEF Inc. Terms of Use 09/14/2017 Certified 09/28/2017 1
360T 360 Trading Networks Inc. ("360T") hereby files the attached amendments to its Fee Schedule for 360T Participants. The Fee Schedule has been amended in response to 360T business development. 04/30/2019 Certified 05/14/2019 3
360T The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). 11/12/2020 Certified 11/27/2020 8
IGDL IGDL-2021-R-6 - 40.6(a) Rule Certification (7.7.21) 07/07/2021 Certified 07/21/2021 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-03) 05/20/2022 Certified 06/06/2022 1
BSEF Bloomberg SEF LLC - Certification Delisting of Two (2) LIBOR-related Contracts (BSEF-2023-R-06). 06/07/2023 Certified 06/22/2023 1
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 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. The date of intended implementation of the amended Rulebook is January 15, 2016. 12/30/2015 Certified 01/14/2016 1
IGDL Revised Discount Appendix to Fee Card 05/16/2016 Certified 05/31/2016 2
BGC We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
SWAPX Amendments to SwapEx Rulebook 07/13/2015 Certified 07/27/2015 4
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2
CBOESEF Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. 11/04/2022 Certified 11/21/2022 1
CMESEF Adoption of CME SEF Recordkeeping and Reporting Policy 01/28/2015 Certified 02/11/2015 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. 06/23/2016 Certified 07/08/2016 1
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1
CBOESEF Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). 11/04/2022 Certified 11/21/2022 1
ICE SEF ICE Swap Trade, LLC - Fee Schedule Amendment - Submission 14-14 05/02/2014 Certified 05/17/2014 1
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
TWSEF TW SEF Fee update for Canadian Dollar Swaps 07/08/2021 Certified 07/22/2021 2
TPSEF tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. 11/04/2013 Certified 11/20/2013 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. 08/27/2015 Certified 09/11/2015 1
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
BSEF Notice to Participants informing Participants of certain amendments to Rule 301(e) (re: Trading Account information being kept up-to-date)and Rule 516.E(iv) (re: BSEF ability to cancel trades due to insufficient Trading Account information) 08/08/2016 Certified 08/22/2016 2
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 12/01/2017 Certified 12/15/2017 5
NEXSEF Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
BGC BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) 11/01/2013 Certified 11/19/2013 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
BSEF Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) 09/15/2022 Certified 09/29/2022 1
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
CBOESEF Javelin SEF Holiday Schedule for 2013 - 2014 11/21/2013 Certified 12/07/2013 1
CBOESEF Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 02/11/2014 Certified 02/27/2014 1
TPSEF tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F 06/12/2014 Certified 06/27/2014 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) 07/09/2021 Certified 07/23/2021 1
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
TPSEF tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 02/18/2014 Certified 03/05/2014 1
MKAXSEF MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) 02/14/2014 Certified 03/04/2014 1
LGX Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1