Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
LGX LedgerX Updated BCDR Plan 06/13/2021 Certified 06/25/2021 4
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
LGX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
LGX LedgerX Revised Rulebook 06/10/2021 Certified 06/24/2021 3
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Revised Participant Agreement 05/28/2021 Certified 06/14/2021 1
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
LGX LedgerX Revised Operations Manual 06/15/2021 Certified 06/30/2021 5
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
TDERIV LCH trueEX Execution Venue Agreement 10/30/2013 Certified 11/15/2013 0
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
CBOESEF Javelin SEF, LLC Rule Amendment Submission 13-07 - Amending its Rulebook based upon comments received from participants and its experience since it began trading operations. 10/25/2013 Certified 11/09/2013 1
CBOESEF Javelin SEF, LLC is amending its 2013 - 2014 Holiday Calendar to indicate that it will be closed on Friday, December 26, 2014. 12/05/2014 Certified 12/19/2014 1
CBOESEF Javelin SEF, LLC - New Fee Schedule - Submission #14-07 06/10/2014 Certified 06/25/2014 0
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
CBOESEF Javelin SEF LLC - Amendments to its Rulebook - Amended Rules 216, 505, 523, 706 (Submission No. 13-08) 11/08/2013 Certified 11/26/2013 1
CBOESEF Javelin SEF Holiday Schedule for 2013 - 2014 11/21/2013 Certified 12/07/2013 1
CBOESEF Javelin SEF hereby submits it market maker program. 04/21/2015 Certified 05/05/2015 1
CBOESEF Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 02/11/2014 Certified 02/27/2014 1
CBOESEF Javelin SEF amended Rules 203, 311, 313, 408, 504,..., 727. Submission No. 14-04 March 21, 2014 03/21/2014 Certified 04/05/2014 1
CBOESEF Javelin Rule Amendments to Rules 302, ..., 323, 407, 408, 504, ..., 523, ..., 901 JAVSEF #14-01 01/30/2014 Certified 02/14/2014 1
ISBV iSwap Euro B.V. hereby submits certain amendments to the Appendix to its Rulebook. 05/12/2021 Certified 05/26/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 02/25/2021 Certified 03/11/2021 12
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 04/20/2021 Certified 05/04/2021 8
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 06/11/2021 Certified 06/25/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 05/14/2021 Certified 05/28/2021 4
ISBV iSwap Euro B.V. hereby submits a notification regarding products listed for trading andamendments to its Rulebook related to the definition of a "Business Day" and revisions toRule 18.4. 12/16/2020 Certified 12/31/2020 8
NEXSEF Issuance of Market Regulation Advisory Notice 2021-05 to Supersede Market Regulation Advisory Notices 2018-01 and 2018-02 and Related Amendments to the Operational Parameters Annex. 11/17/2021 Certified 12/02/2021 1
NEXSEF Issuance of Market Advisory Regulatory Notice and Amended Rulebook 08/14/2017 Certified 08/28/2017 4
ICE SEF Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 03/19/2014 Certified 04/03/2014 1
CBOESEF Introduction of second SEF Trading System in LD4. 05/02/2023 Certified 05/16/2023 1
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook: incorporated requested changes by Commission staff - Notice 13-06(a) (Letter dated December 20, 2013) 12/20/2013 Certified 01/08/2014 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) 12/17/2013 Certified 01/03/2014 1
INFXSEF INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. 10/25/2013 Certified 11/09/2013 1
NEXSEF Incorporation of previously separate Chapter 9 of the Rulebook without changes to Chapter 9 02/15/2019 Notified 02/15/2019 3
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 03/20/2023 Certified 04/03/2023 1