Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
BGC Amended Rule 403(b) to reference Rule 515. 05/30/2024 Certified 06/13/2024 2
GFISEF Amended Rule 406(b) to include 37.6(b) and 37.6(b)(1) incorporating documents for uncleared swaps and the ability to request docs for regulatory review should the commission ask for specific documents. \r\n Amended Rule 541(a) for SEF notification. 05/30/2024 Certified 06/13/2024 2
RF SEF Removal of reference to CFTC NAL 17-17. 05/30/2024 Certified 06/12/2024 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook related to § 37.6 amendments and other grammatical amendments 05/24/2024 Certified 06/10/2024 1
LGX Inclusion of new d/b/a "MIAX Derivatives Exchange" in Rulebooks 06/07/2024 Notified 06/07/2024 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: Amendment to the Bloomberg SEF LLC Rulebook 05/23/2024 Certified 06/07/2024 1
NEXSEF Amendments to NEX SEF Rule 312(c) ("Enforceability of Transactions - Issuance of Facility Confirmations for Uncleared Transactions") of the NEX SEF Rulebook (Form SEF Exhibit M) 05/22/2024 Certified 06/06/2024 1
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
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook 05/21/2024 Certified 06/05/2024 1
TPSEF Amendments to Rule 4012 (Confirmations and USIs) of the tpSEF Rulebook. 05/21/2024 Certified 06/05/2024 1
TRAD CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. 05/20/2024 Certified 06/04/2024 6
BSEF CFTC Regulation 40.6(a) Certification - Amendment to the Bloomberg SEF LLC Rulebook - BSEF Submission No. 2024-R-06 05/16/2024 Certified 05/31/2024 1
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
RTX Revision of the RTX Fintech & Research LLC Rulebook 05/10/2024 Certified 05/24/2024 2
AEGIS Rule Amendment - 4.10.2 - Removes No Action Letter language which is no longer needed per adoption by CFTC of amended rule §37.6 05/20/2024 Notified 05/20/2024 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 Certified 05/13/2024 4
IGDL Amendments to the IGDL SEF Discount Structure Appendix 04/24/2024 Certified 05/08/2024 1
RF SEF The rule amendments have been made to introduce voluntary clearing of NDFs. 03/11/2024 Certified 03/25/2024 2
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
BSEF CFTC Regulation 40.6(d) Weekly Notification of Rule Amendments 02/29/2024 Notified 02/29/2024 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 01/29/2024 Certified 02/12/2024 1
BSEF CFTC Regulation 40.6(a) Certification: Amendments to the Bloomberg SEF LLC Rulebook 01/12/2024 Certified 01/29/2024 1
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
TPSEF Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. 12/18/2023 Certified 01/03/2024 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the Increase in Basis Risk Reduction Services Crossing Access Fee 12/14/2023 Certified 12/29/2023 2
TPSEF Updates to tpSEF Inc. Risk Mitigation Procedures 11/30/2023 Certified 12/14/2023 1
BSEF CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. 11/29/2023 Certified 12/13/2023 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 11/29/2023 Certified 12/13/2023 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
BSEF CFTC Regulation 40.6(a) Certification. Amendments to the BSEF LLC Rulebook. \r\nBSEF Submission No. 2023-R-16 11/09/2023 Certified 11/27/2023 1
RTX Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) 11/07/2023 Certified 11/22/2023 2
RF SEF This notification relates to the rebranding of Refinitiv SEF to LSEG FX SEF 11/20/2023 Notified 11/20/2023 3
CBOESEF Cboe SEF is amending Rule 909 to add exceptions to the definition of Confidential Information. 11/01/2023 Certified 11/16/2023 1
CBOESEF Extending current market maker program. 11/01/2023 Certified 11/16/2023 1
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
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
NEXSEF Modifications to the NEX SEF Fee Schedule for the Renewal of the LATAM EBS NDF Connectivity Incentive Program and Expiration of the EBS on-SEF UK/US Crossover Market Maker Program 10/17/2023 Certified 10/31/2023 2
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants 2023-R-15. 09/28/2023 Certified 10/13/2023 1
AEGIS Amendments to Rulebook and Market Participant Addendum 09/08/2023 Certified 09/22/2023 4
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
RTX Weekly Notification of Rule Amendments 08/31/2023 Notified 08/31/2023 1
NEXSEF Amendments to NEX SEF Rule 901 ("System Protocols") of the NEX SEF Rulebook (Form SEF Exhibit M) and the Issuance of NEX SEF Market Regulation Advisory Notice ("MRAN") 2023-01 08/15/2023 Certified 08/29/2023 2