Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
ISBV Maturity extension (3months) of current incentive. Rate card updated added incentive for 3 months (Aug/Sept/Oct 24). \r\nPage 9 of redline underlined paragraph on Market Maker Programme Incentives and Criteria. 07/16/2024 Certified 07/29/2024 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
INFXSEF INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. 10/25/2013 Certified 11/09/2013 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
SWAPX Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". 06/03/2019 Certified 06/17/2019 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) 12/17/2013 Certified 01/03/2014 1
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
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 amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
BSEF Bloomberg SEF LLC Compliance Manual 05/02/2019 Certified 05/16/2019 2
IGDL Amendments to the IGDL SEF Discount Structure Appendix 12/18/2020 Certified 01/05/2021 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
IGDL Amendments to the IGDL SEF Discount Structure Appendix 04/24/2024 Certified 05/08/2024 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
BSEF Bloomberg SEF LLC Rulebook 05/02/2019 Certified 05/16/2019 1
GFISEF GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 05/06/2014 Certified 05/21/2014 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. 01/05/2016 Certified 01/20/2016 1
SWAPX SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) 10/28/2013 Certified 11/13/2013 0
RF SEF Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 11/22/2013 Certified 12/10/2013 1
RADSEF TeraExchange response to Staff's supplemental 43 and 45 reporting questions. 12/19/2014 Certified 01/06/2015 1
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 1
TDERIV Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 12/31/2017 Certified 01/16/2018 1
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 03/25/2014 Certified 04/09/2014 1
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
TRAD Amendments to Tradition SEF Rulebook 06/03/2015 Certified 06/17/2015 2
CMESEF Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 09/22/2015 Certified 10/06/2015 1
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. 10/30/2015 Certified 11/16/2015 1
NEXSEF Amendments to Rules 802(1) ("Fixed for Floating IRS") and 802(4) ("Non Deliverable Swaps") in Connection with the Implementation of the 2021 IDSA Interest Rate Derivatives Definitions. 09/17/2021 Certified 10/01/2021 1
RF SEF Thomas Reuters (SEF) amending its rulebook in response to comments and questions regarding TR SEF. Submission 13-03 10/17/2013 Certified 11/01/2013 2
IGDL Amendment to Confidential Rule 902. 09/23/2015 Certified 10/07/2015 2
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. 12/01/2015 Certified 12/15/2015 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 12/17/2020 Certified 01/04/2021 1
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
ISBV Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated 04/29/2024 Certified 05/13/2024 4