Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the U.S. Commodity Futures Trading Commission (the "CFTC", or the"Commission"), Bloomberg SEF LLC ("BSEF") 05/08/2018 Certified 05/22/2018 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
DWSEF Market Regulation Advisory Notice - Order Types, Order Submission, Order Conditions 01/16/2015 Certified 02/02/2015 1
CMESEF Amendments to SEF Rules to Reflect Recent CFTC Guidance and No-Action Relief. CMESEF #14-018 01/15/2014 Certified 01/31/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-02 05/30/2014 Certified 06/14/2014 1
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook, letter dated October 18, 2013 10/21/2013 Certified 11/05/2013 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
ICE SEF EMERGENCY RULE FILING -- ICE Swap Trade, LLC has taken emergency action to amend its Rulebook in response to Commission Letter No. 14-121. This amendment will be effective October, 1, 2014. 10/01/2014 Certified 10/16/2014 1
CMSEF Amendment and revision to rulebook. 07/13/2017 Certified 07/27/2017 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: amended certain contracts it submitted to the Commission on November 1, 2013. (Letter dated December 5, 2013) 2013-R-8 12/06/2013 Certified 12/21/2013 1
RADSEF TeraExchange 40.6 Filing 15-01 - Rulebook Amendments 01/19/2015 Certified 02/02/2015 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook: response to comments and questions received from potential users of BSEF's swap execution facility. (Letter dated December 9, 2013) 2013-R-10 12/11/2013 Certified 12/27/2013 1
BSEF Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. 09/10/2015 Certified 09/24/2015 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
CBOESEF The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. 12/01/2022 Certified 12/15/2022 1
MKAXSEF Updating its Rulebook to reflect recent developments and to provide clarity. Letter dated December 11, 2013 12/11/2013 Withdrawn 12/20/2013 1
TPSEF tpSEF Submission #14-02R -- Rulebook Amendments - Rule 1000 and Rule 4013 06/04/2014 Certified 06/19/2014 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. 10/15/2015 Certified 10/29/2015 1
IGDL Non-substantive revisions to the IGDL Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
CBOESEF Implementation of market maker program. 12/01/2022 Certified 12/15/2022 1
TDERIV Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. 11/01/2016 Certified 11/16/2016 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook 06/19/2020 Certified 07/06/2020 1
CBOESEF The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. 12/01/2022 Certified 12/15/2022 1
TPSEF Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. 04/02/2015 Certified 04/16/2015 1
CBOESEF Changes to definitions of "Credit Limits," "Participant Data," and "Primary Economic Terms." Clarification on right to cancel PB transactions, dispute resolution between Participants, SEF right to audit Participants' use of SEF Market Data. 08/06/2018 Certified 08/20/2018 1
MKAXSEF Amended Request for Full Registration as a Swap Execution Facility. Letter dated December 11, 2013 12/11/2013 Certified 12/27/2013 1
CBOESEF Notice to Participants related to amendments made to Rule 318. 05/15/2015 Certified 06/01/2015 1
CMSEF SEF Rulebook Amendment Certification 06/29/2015 Certified 07/14/2015 1
CMSEF SEF Rulebook Amendment 08/03/2016 Certified 08/17/2016 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-11 (Correcting Trades and Offsetting Trades). 08/14/2023 Certified 08/28/2023 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
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Compliance Manual in order to clarify the process by which IST intends to implement and enforce certain of its rules. 02/01/2018 Certified 02/15/2018 1
CBOESEF Amendments to reflect the terms of the prohibition of the practice of post-trade name give-up in accordance with Commission regulation 37.9(d), and elimination of minimum Notional Amount for Contracts executed on Cboe SEF. 11/06/2020 Certified 11/23/2020 1
BSEF Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) 12/02/2022 Certified 12/16/2022 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
TPSEF tpSEF Inc. Amended Fee Schedule (January 31, 2014) 02/03/2014 Certified 07/29/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 06/13/2016 Certified 06/27/2016 1
BSEF Rulebook amendment 04/21/2017 Certified 05/05/2017 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
SWAPX Advisory Notices to SwapEx Market Participants 01/20/2015 Certified 02/03/2015 1
CBOESEF Clarification of the right of Cboe SEF to reject an application for admission as a Participant, or to suspend or terminate the status of a Participant, as a result of a statutory disqualification. 09/17/2018 Certified 10/01/2018 1