Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
RF SEF The Rulebook has been amended to incorporate amendments to CFTC Regulation 37.6(b) relating to uncleared swap confirmation requirements. 05/29/2024 10 Day Review 05/29/2024 2
NEXSEF Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2024-01 Regarding Amendments to the Operational Parameters Annex 06/05/2024 10 Day Review 06/05/2024 1
LGX Updates to Participant Agreement 06/07/2024 10 Day Review 06/07/2024 2
LGX Updates to User Agreement 06/07/2024 10 Day Review 06/07/2024 2
LGX Privacy Policy updates 06/07/2024 10 Day Review 06/07/2024 2
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook BSEF Submission No. 2024-R-08. 06/13/2024 10 Day Review 06/13/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2024-R-09. 06/13/2024 10 Day Review 06/13/2024 1
CBOESEF Revised - Javelin Determination of Made Available to Trade of certain Interest Rate Swaps (Submission 13-06R(3)) 01/08/2014 90 Day Review 01/14/2014 0
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
ICE SEF Amending its Rulebook in order to accommodate trading in commodities by users of IST's swap execution facility and to remove the obligation for Participants to enter into a swap intermediation arrangement. 09/25/2013 Certified 10/10/2013 1
BSEF Amending Bloomberg SEF Rulebook. - Rule 533. Cleared Swaps 10/17/2013 Certified 11/01/2013 0
TRAD Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 10/17/2013 Certified 11/01/2013 1
TRAD Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) 10/17/2013 Certified 11/01/2013 1
ICE SEF Listingof Commodity Swaps and Related Rule Amendments. ICE SEF #13-02 10/17/2013 Certified 11/01/2013 1
ICE SEF Emergency Action in respone to Commission Letter No. 13-57, 13-58, 13-62. ICE SEF #13-03 10/17/2013 Certified 11/01/2013 1
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
INFXSEF Rulebook amendments in response to comments and questions received from Commission staff. 10/18/2013 Certified 11/02/2013 0
DWSEF Emergency Rule Certification - Notice to DW SEF Participants - no-action relief relating to onboarding and pre-trade screening of orders 10/17/2013 Certified 11/01/2013 0
DWSEF Emergency Rule Certification - In accordance with the conditions of CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification- provided by CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification - no-action relief in CFTC Letter 13-57 10/17/2013 Certified 11/01/2013 0
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
BSEF Amended Rulebook in response to comments and questions received from Commission staff and potential users of BSEF's swap execution facility. 10/17/2013 Certified 11/01/2013 2
ICAPSEF Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. 10/17/2013 Certified 11/01/2013 1
ICAPSEF Amended Rulebook as a result of ICAP SEF's experience since SEF trading began on October 2, 2013 and as a result of comments from SEF participants. 10/17/2013 Certified 11/01/2013 1
CBOESEF Amendment in Connection with Request for No Action Relief Pursuant to CFTC Letter 13-62 (Submission No. 13-03) 10/17/2013 Certified 11/01/2013 1
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
CBOESEF Request for Temporary Registration and Full Registration as a Swap Execution Facility, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated September 30, 2013 10/17/2013 Certified 11/01/2013 0
CBOESEF Request for Temporary Registration and Full Registration as a SEF, letter dated October 8, 2013 10/17/2013 Certified 11/01/2013 0
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 10/21/2013 Certified 11/05/2013 1
TPSEF Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) 10/17/2013 Certified 11/01/2013 1
BGC Notice of BGC Derivative Markets, L.P. Claiming Relief Under CFTC Letter No. 13-62 October 8, 2013 (2013-01) 10/17/2013 Certified 11/01/2013 1
SWAPX Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 10/18/2013 Certified 11/02/2013 1
360T Amendments to 360T SEF Application for Registration and documents with request for confidential treatment. October 2, 2013 10/17/2013 Certified 11/01/2013 0
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
MKAXSEF Amended MarketAxess application for registration as a SEF. (October 17, 2013) 10/17/2013 Certified 11/01/2013 0
MKAXSEF Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) 10/17/2013 Certified 11/01/2013 0
TWSEF TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) 10/21/2013 Certified 11/05/2013 0
DWSEF DW SEF Amended Rulebook in response to comments and questions received from Commission Staff and potential participants of DW's SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
INFXSEF Amendments to Rulebook clarify the process of submitting an RFQ onto the INFX SEF RFQ Platform. (10-22-13) 10/22/2013 Certified 11/06/2013 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
TPSEF tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) 10/24/2013 Certified 11/08/2013 1