Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
NEXSEF Modifications to the NEX SEF Fee Schedule 10/16/2020 Certified 10/30/2020 2
DWSEF DW SEF Emergency Rule Certification - to replace the amended Rules which DW filed with the Commission on October 18, 2013, in response to the no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013. 11/01/2013 Certified 11/19/2013 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has 11/03/2015 Certified 11/18/2015 1
CMESEF Amendments to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 123, 407, 528, and 536(A)(1) 12/03/2015 Certified 12/17/2015 1
BSEF Compliance Manual amendment 12/07/2017 Certified 12/21/2017 2
CMESEF Amendments to CME SEF Chapter 10 - U.S. Midwest #1 Busheling Ferrous Scrap (AMM) Swap Contract to Increase Minimum Price Fluctuation and Related Amendments to the Globex Non Reviewable Trading Ranges Table. 07/11/2018 Certified 07/25/2018 1
NEXSEF Form SEF Exhibit updates related to NEX SEF integration with CME, as well as miscellaneous changes. 09/09/2020 Certified 09/23/2020 1
NEXSEF Modifications to the NEX SEF African & Middle East NDFs Market Maker Program 10/16/2020 Certified 10/30/2020 2
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
TWSEF TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 11/01/2013 Certified 11/19/2013 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to (i) clarify the process by which IST intends to implement and enforce certain of its rules, and (ii) respond to relevant CFTC guidance/comments. 02/23/2016 Certified 03/08/2016 5
NEXSEF Amended Fee Program 08/08/2017 Certified 08/22/2017 2
BSEF Notice to Participants 12/07/2017 Certified 12/21/2017 1
DWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
360T 360 Trading Networks Inc. Rulebook Amendments in response to Commission staff guidance, comments and questions received from users and potential users of 360T. 11/26/2013 Certified 12/12/2013 3
CMSEF SEF Rule Amendment 08/19/2016 Certified 09/02/2016 1
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 09/28/2015 Notified 09/28/2015 1
TDERIV notification of changes in trading hours 04/07/2016 Notified 04/07/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
LGX Fee Schedule Amendmenet 12/06/2019 Notified 12/06/2019 2
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
LGX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/16/2021 Notified 04/16/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/26/2021 Notified 02/26/2021 1
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
TDERIV Added BRL to Core RFQ functionality. It already existed on PTC. 11/07/2017 Notified 11/07/2017 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 1
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 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
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
IGDL 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. 10/29/2020 Notified 10/29/2020 1
IGDL Non-substantive revisions to the IGDL Rulebook and IGDL Compliance Manual, both effective as of November 1, 2020. 10/29/2020 Notified 10/29/2020 2
IGDL Non-substantive revisions to the IGDL Rulebook and Fee schedule, both effective as of July 1, 2022. 07/01/2022 Notified 07/01/2022 2
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 10/05/2015 Notified 10/05/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. 11/14/2019 Notified 11/14/2019 1
CBOESEF Corrected cross-reference in Rule 512(4) from 513(3) to 512(3). 06/30/2023 Notified 06/30/2023 1