Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
SWAPX Updating of rulebook, including with respect to rules pertaining to IRS swap asset class, which will be delisted from trading in a separate submission. 06/02/2015 Certified 06/16/2015 4
DWSEF DW SEF Rulebook Amendments 04/11/2018 Certified 04/25/2018 4
ICE SEF Adjustment to ICE Swap Trade Trading Hours 03/30/2021 Notified 03/30/2021 4
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
IGDL Amended Facility Rulebook 01/26/2015 Certified 02/09/2015 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Block Trade FAQ in order to affect certain administrative/clerical revisions. 03/23/2016 Certified 04/06/2016 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions. 02/01/2017 Certified 02/15/2017 4
RADSEF Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions 12/16/2020 Certified 12/31/2020 4
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 4
SWAPX Amendments to SwapEx Rulebook 07/13/2015 Certified 07/27/2015 4
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
AEGIS Amended Weekly Notification of Rule Amendments, Updated N-1, N-3, and Exhibit K Fee Schedule 07/26/2022 Notified 07/26/2022 4
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
ICE SEF Update to Board language 07/08/2021 Notified 07/08/2021 4
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 07/17/2015 Certified 07/31/2015 4
ICE SEF Administrative edits to IST Rulebook 02/15/2021 Notified 02/15/2021 4
RADSEF Correct reference or clarify Rules 536 and 537Add product terms and conditions 10/29/2021 Certified 11/15/2021 4
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/17/2016 Withdrawn 02/24/2016 4
ICE SEF ICE Swap Trade, LLC - weekly notification of rule changes. 11/14/2018 Notified 11/14/2018 4
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
ICE SEF The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. 09/20/2017 Certified 10/04/2017 4
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
IGDL Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
IGDL Amended SEF Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICAPSEF Amended Rulebook to reflect updated NAL references 06/20/2017 Certified 07/05/2017 3
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
NEXSEF Correction of typographical error in Rule 315 06/08/2018 Notified 06/08/2018 3
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
CMSEF SEF Rulebook Amendment 07/31/2015 Certified 08/14/2015 3
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
RADSEF Amendments and additions to the TeraExchange, LLC Rulebook in response to comments and questions from the staff of the Commission, and correcting certain technical and grammatical errors. 04/15/2016 Certified 04/29/2016 3
IGDL Revised Market Maker Program Rulebook 09/17/2014 Certified 10/01/2014 3
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
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-12) 10/30/2020 Certified 11/16/2020 3
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3