Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SWAPX The Rulebook has been amended to conform to requirements for error trades as set out in the amended CFTC Regulation 37.9 01/28/2021 Certified 02/11/2021 4
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
RF SEF The Rulebook has been amended in order to reflect certain new requirements related to post-trade name give-up under Commission Regulation 37.9(e) 02/12/2021 Certified 03/01/2021 2
TWSEF The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. 04/09/2020 Certified 04/23/2020 2
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
RF SEF The rule amendments have been made to introduce voluntary clearing of NDFs. 03/11/2024 Certified 03/25/2024 2
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
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
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
CBOESEF The proposed changes seek to modify the Order Review Timeframe for each of the SEF Order Book and the Full Amount Platform from 100 to 70 milliseconds. 04/16/2021 Certified 04/30/2021 1
RF SEF The Notice to Participants clarifies that RSEF only facilitates the execution of swaps that are not intended to be cleared, and that any decision to clear trades executed on RSEF is considered to be made post-trade and without Refinitiv SEF's involvement 11/05/2021 Certified 11/22/2021 2
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules are technical corrections, clarifications and adjustments to rule language based upon guidance received from the staff of the Commodity Futures Trading Commission ("CFTC"). 11/03/2014 Certified 11/18/2014 2
ICE SEF The Error Trade Policy has been amended in order to clarify the process by which IST intends to implement and enforce certain sections of its rules. 09/20/2017 Certified 10/04/2017 4
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 1
BGC The attached amendments are made in response to suggestions and guidance from staff. 08/31/2015 Certified 09/15/2015 1
CBOESEF The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. 12/01/2022 Certified 12/15/2022 1
CBOESEF The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. 12/01/2022 Certified 12/15/2022 1
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
CBOESEF The Amendment clarifies the recordkeeping requirements of Participants. 07/08/2022 Certified 07/22/2022 1
360T The 360T Rulebook has been amended in response to regulatory development. Added Rule 527 (Post-Trade Name Give-Up). 11/12/2020 Certified 11/27/2020 8
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 08/10/2017 Certified 08/24/2017 5
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 07/19/2017 Withdrawn 07/24/2017 5
360T The 360T Rulebook has been amended in response to comments and questions received from users and potential users of 360T. 12/01/2017 Certified 12/15/2017 5
360T terminology update 03/24/2023 Certified 04/07/2023 7
RADSEF TeraExchange, LLC - Rule Amendments - Amended Rulebook TERAEXC #2014-21 04/16/2014 Certified 05/01/2014 1
RADSEF TeraExchange, LLC - Amended Rulebook Submission 2013-01 11/26/2013 Certified 12/12/2013 1
RADSEF TeraExchange Rule Implementation Submission 2014-02 Rules amended: 101 (Definitions), 310 (Application of Rules and Jurisdiction, 513(b) (Block Trades) and 818 (Sanctions) TERAEXC 2014-02 02/24/2014 Certified 03/11/2014 1
RADSEF TeraExchange response to Staff's supplemental 43 and 45 reporting questions. 12/19/2014 Certified 01/06/2015 1
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
RADSEF TeraExchange 40.6 Filing 15-01 - Rulebook Amendments 01/19/2015 Certified 02/02/2015 1
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 1
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
SWAPX SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) 10/28/2013 Certified 11/13/2013 0
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
SWAPX SwapEX LLC - Amendment to Application for Registration as a Swap Execution Facility, letter dated November 4, 2013. (amendments from its July 30, 2013 application) 11/05/2013 Certified 11/21/2013 0
DWSEF SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
TPSEF Supplement to Exhibit N to Form SEF 10/11/2016 Certified 10/25/2016 1
RADSEF Submission of TeraExchange LLC updated rulebook adding 3 swaps to the product terms and conditions that have been filed with the commission for certification and removing 7 instruments that reference LIBOR which have been delisted. 06/21/2023 Certified 07/06/2023 2
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
CBOESEF Submission of Javelin SEF, LLC Rule Amendment (Submission No. 13-10) Letter dated December 13, 2013 12/16/2013 Certified 01/01/2014 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
TDERIV Self-certification of rule amendments 10/30/2014 Certified 11/14/2014 1
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
RTX Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) 11/07/2023 Certified 11/22/2023 2