Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate 24-hour trading as previously discussed with DMO and DCR staff. 05/01/2018 Certified 05/15/2018 3
ICE SEF ICE Swap Trade, LLC's Weekly Notification of Rule Amendments 05/26/2017 Notified 05/26/2017 3
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
NEXSEF Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
NEXSEF Adoption of New Rule 318 ("Post-Trade Anonymity") 11/04/2020 Certified 11/19/2020 3
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
DWSEF DW SEF Cover Letter re Market Regulation Advisory Notice (12.16.15)DW SEF Market Regulation Advisory Notice (Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
ICAPSEF Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
TWSEF TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
IGDL Amended Rulebook to reflect NAL 16-74 11/01/2016 Certified 11/16/2016 3
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
ICAPSEF Amended Rulebook to reflect NAL 16-76 11/01/2016 Certified 11/16/2016 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
IGDL Amended Rulebook reflecting NAL 16-76 11/01/2016 Certified 11/16/2016 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
ICE SEF ICE Swap Trade, LLC is submitting Certification under 40.6(a) amending its current SEF Fee Schedule. Please note that ICE Swap Trade has requested confidential treatment for this filing. 10/02/2014 Certified 10/17/2014 3
ICE SEF ICE Swap Trade, LLC is issuing guidance with respect to Rule 525(g) "Mid-Market Order" type. 12/16/2015 Certified 12/31/2015 3
ICE SEF Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). 07/14/2017 Notified 07/14/2017 3
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 12/17/2015 Certified 01/04/2016 3
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3