Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF Withdrawal of Registration Submission #14-0012W 06/25/2014 Certified 07/11/2014 1
NEXSEF Weekly Submission of Rule Amendments 02/02/2018 Notified 02/02/2018 2
LGX Weekly notification, withdrawal fee change 11/12/2021 Notified 11/12/2021 1
IGDL Weekly Notification of Rule Amendments pursuant to CFTC Regulation 40.6(d)(x); reduction in minimum price fluctuation for certain contracts. 04/06/2015 Notified 04/06/2015 2
TWSEF Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 10/07/2019 Notified 10/07/2019 2
NEXSEF Weekly Notification of Rule Amendments - Week of September 27, 2021 10/04/2021 Notified 10/04/2021 1
CMESEF Weekly Notification of Rule Amendments - Week of December 4, 2017 12/14/2017 Notified 12/14/2017 2
SEED CX Weekly Notification of Rule Amendments 03/05/2018 Notified 03/05/2018 1
ICE SEF Weekly notification of rule amendments 07/02/2019 Notified 07/02/2019 4
RTX Weekly Notification of Rule Amendments 08/31/2023 Notified 08/31/2023 1
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
BGC We are submitting on behalf of our client, BGC Derivative Markets, LP ("BGC") new Rule 516, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. 01/05/2016 Certified 01/20/2016 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 1
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
TDERIV Various Rule Amendments - TRUEEX #2014-12S 06/26/2014 Certified 07/12/2014 1
360T Various amendments to 360T Rulebook 12/24/2014 Certified 01/09/2015 5
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
IGDL US Dollar Interest Swap Rate Swap Central Limit Order Book Market Making Incentive Program. IGDL - 2014-R-2 05/30/2014 Certified 06/14/2014 0
SEED CX Updating Various Rules in the Seed SEF Rulebook 08/14/2019 Certified 08/28/2019 1
MKAXSEF Updating the Rulebook to reflect recent developments and to provide clarity. (10-17-13) 10/17/2013 Certified 11/01/2013 0
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
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
ICE SEF Updating a reference from an expiring CFTC No-Action Letter to the current iteration 11/18/2020 Notified 11/18/2020 4
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
TRAD Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. 05/19/2023 Certified 06/05/2023 5
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
TPSEF Updates to the tpSEF Risk Mitigation Procedures 07/01/2019 Certified 07/16/2019 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 12/17/2020 Certified 01/04/2021 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 04/13/2020 Certified 04/27/2020 1
SWAPX Updates to the SwapEx SEF Rulebook to align with relevant regulation. 02/19/2020 Certified 03/04/2020 2
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
IGDL Updates to SEF Discount Structure Appendix to IGDL's fee schedule. 07/17/2018 Certified 07/31/2018 1
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
IGDL Updates to IGDL's Fee Schedule and SEF Discount Structure Appendix to IGDL's Fee Schedule. 04/09/2019 Certified 04/23/2019 2
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
CBOESEF Updates Cboe SEF's governance arrangements. 07/01/2022 Certified 07/18/2022 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3