Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime\r\nBroker 08/01/2023 Certified 08/15/2023 1
TDERIV Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S 04/24/2014 Certified 05/09/2014 1
IGDL Fee Schedule 03/17/2015 Certified 03/31/2015 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-04) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) 11/18/2022 Certified 12/05/2022 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
ICAPSEF Amended EBS Trading Protocol and Rules 202, 208 and 315 12/11/2015 Certified 12/28/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook (BSEF-2020-R-11) 10/30/2020 Certified 11/16/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-04) 06/14/2021 Certified 06/28/2021 1
TRAD Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 01/03/2014 Certified 01/18/2014 1
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
BSEF Emergency Rule Certification 02/05/2019 Certified 02/20/2019 2
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-05) 06/14/2021 Certified 06/28/2021 1
BSEF Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 11/12/2013 Certified 07/29/2014 1
BGC More detail regarding the Voice Work-Up trading process 01/15/2016 Certified 02/01/2016 1
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
360T 360 Trading Networks - Rulebook Amendments - Rule 101 Block Trade (Effective March 12, 2014) Letter dated February 25, 2014 02/25/2014 Certified 03/12/2014 1
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-09) 09/18/2020 Certified 10/02/2020 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2020-R-12) 10/30/2020 Certified 11/16/2020 3
MKAXSEF MarketAxess SEF Corporation - Rulebook Amendments - Rules 214, 311, 407 to become effective March 26, 2014 02/27/2014 Certified 03/14/2014 1
BSEF Notice to Participants 06/28/2017 Certified 07/13/2017 1
NEXSEF Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. 11/17/2021 Certified 12/02/2021 1
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 1
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Exhibit T to Form SEF in order to to affect certain administrative/clerical revisions. 07/19/2016 Certified 08/02/2016 2
BSEF Rulebook Amendment 06/28/2017 Certified 07/13/2017 1
TRAD Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. 04/30/2020 Certified 05/14/2020 1
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
CBOESEF Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants 07/28/2020 Certified 08/11/2020 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. 11/21/2022 Certified 12/06/2022 2
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
BGC As requested by Commission staff, BGC is incorporating new Rule 910 to reflect the prohibitions of CFTC Rule 180.1(a)(3), and is amending Rule 802 to remove certain Clearing Organizations eligible for clearing authorization designation. 11/29/2016 Certified 12/13/2016 1
IGDL Rulebook amendments 08/16/2017 Certified 08/30/2017 2
BSEF Compliance Manual amendment 10/30/2020 Certified 11/16/2020 2
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BSEF Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF LLC will release the Notice to Participants attached on January 19, 2016, to become effective on February 3, 2016. 01/19/2016 Certified 02/02/2016 1
BSEF Amendment to Compliance Manual 06/28/2017 Certified 07/13/2017 2
TRAD Amendments to the Tradition SEF Fee Schedule. 12/12/2017 Certified 12/27/2017 2
CBOESEF Cboe SEF is amending its rules to clarify certain aspects of its disciplinary process and the role of the Chief Regulatory Officer in such process. 02/06/2019 Certified 02/21/2019 1
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4