Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF (1) clarify plans relating to Market Maker program and (2) change the Order Review Timeframe in respect of the SEF Order Book and the Full Amount Platform from 70 milliseconds to 35 milliseconds 02/18/2022 Certified 03/07/2022 1
CBOESEF (1) clarify the types and functionality of Orders that may be entered into Cboe SEF's order books and (2) change how Cboe SEF's trading system treats Orders submitted with decimal Notional Amounts. 06/24/2022 Certified 07/11/2022 1
CBOESEF (1) Introduce new Order type for Limit Immediate or Cancel ("IOC") with Good `Til Time ("GTT") Option Order; (2) Changethe minimum notional amount required for non-firm Orders; and (3) Provide additional guidance for resolving Off-Market Transactions. 01/14/2022 Certified 01/31/2022 1
CBOESEF (1) introduce new Order types for Peg and Mid-Match Eligible Peg Orders and (2) clarify that a Participant may enable a Limit IOC with Good `Til Time (GTT) Option Order type either via FIX tag or as an account configuration upon Participant request. 03/17/2022 Certified 03/31/2022 2
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 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
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 360 Trading Networks Inc. ("360T") is filing the attached amendments to its Rulebook which has been amended in response to Commission staff guidance as well as 360T business development. 03/13/2015 Certified 03/27/2015 4
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 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
360T 360 Trading Networks, Inc. amendment to Form SEF 11/27/2013 Certified 12/13/2013 0
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 1
LATAM 40.6(a) certification of LatAm SEF Rulebook, version 1.12 11/16/2022 Certified 12/01/2022 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
ICAPSEF 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 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 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
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
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
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/05/2021 Notified 03/05/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/07/2021 Notified 05/07/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/18/2022 Notified 03/18/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/11/2020 Notified 12/11/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
TDERIV Added BRL to Core RFQ functionality. It already existed on PTC. 11/07/2017 Notified 11/07/2017 1
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
BSEF Addendum to BSEF-NFA Regulatory Services Agreement 09/22/2020 Certified 10/06/2020 2
BGC Adding definition of Prime Broker and the rules that clarify participants responsibilities when utilizing a Prime Broker 07/25/2023 Certified 08/08/2023 1
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
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
ICE SEF Administrative changes to Rulebook 05/14/2021 Notified 05/14/2021 4
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4