Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SWAPX Non-substantive amendment of Rule 513(c) regarding Post-Trade Anonymity. 06/30/2021 Notified 06/30/2021 3
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
ICE SEF 2019 Trading and Holiday Schedule 12/10/2018 Notified 12/10/2018 3
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 07/10/2015 Certified 07/24/2015 3
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
SEED CX As Schedule A indicates, most of the rule changes are simply a result of reorganizing the order in which the rules appear in the rulebook so that the order reflects a more logical structure. These will be effective September 26, 2017. 09/11/2017 Certified 09/25/2017 3
AEGIS Updated N-1, N-3, and Exhibit K Fee schedule. Minor changes to commercial terms not linked to SEF contracts. User access fees further defined with specific start date. 07/21/2022 Notified 07/21/2022 3
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
IGDL Amended Rulebook 12/13/2016 Certified 12/28/2016 3
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
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
SWAPX Amendment of a market advisory notice previously certified as a rule 07/14/2015 Certified 07/28/2015 3
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
ISBV Additional incentive. Rate card updated added incentive for 3 months (May/Jun/July) of 100% API Licence Fee and 100% CLOB Brokerage Discount for achieving MMP2 Compliance at the `Normal Marker' Bid offer spreads. \r\nNote, 2yr spread has also been updated 04/29/2024 10 Day Review 04/29/2024 3
NEXSEF Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. 02/13/2020 Certified 02/28/2020 3
NEXSEF Amended Rulebook 08/27/2018 Certified 09/11/2018 3
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
IGDL Amended Rulebook 09/23/2016 Certified 10/07/2016 3
NEXSEF Amendments to NEX SEF Rule 901 ("NEX SEF NDF System Protocol") (Form SEF Exhibit M) and the NEX SEF Fee Schedule (Form SEF Exhibit K) in Connection with the Adoption of Tailored Order Book Functionality. 10/26/2023 Certified 11/09/2023 3
ICE SEF ICE Swap Trade Rule Amendment - Amended Rulebook Submission 14-02 (February 11, 2014) 02/12/2014 Withdrawn 04/30/2014 Stay applies to (1) Definition of "Packaged Transaction"; and (2) Rule 701(a) and (k) in ICE Swap Trade, LLC Rulebook 3
MKAXSEF Rulebook update 08/31/2021 Notified 08/31/2021 3
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
BGC BGC Derivative Markets LP ("BGC SEF") will be amending its Contract Specifications, Filing adding SOFR and SONIA benchmarks and removing LIBOR. 07/24/2023 Certified 08/07/2023 3
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
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
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 02/24/2016 Certified 03/09/2016 2
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
LGX Amendments to Participant Agreement 07/28/2022 Certified 08/11/2022 2
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
IGDL IGDL-2020-R-6 - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) 02/21/2020 Certified 03/06/2020 2
TPSEF tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2