Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
IGDL Rulebook amendments 07/27/2017 Certified 08/10/2017 2
IGDL Rulebook amendments 09/12/2017 Certified 09/26/2017 2
TPSEF Rulebook amendment. 10/20/2017 Certified 11/03/2017 1
IGDL Rulebook Amendment, specifically Rule 204. IGDL #2014-R-3 06/26/2014 Certified 07/12/2014 1
BSEF Rulebook Amendment 06/28/2017 Certified 07/13/2017 1
BSEF Rulebook Amendment 10/21/2016 Certified 11/04/2016 1
TPSEF Rulebook amendment 10/11/2017 Certified 10/25/2017 1
BSEF Rulebook Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Rulebook Amendment 08/02/2019 Certified 08/16/2019 1
BSEF Rulebook amendment 04/21/2017 Certified 05/05/2017 1
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 1
BSEF Rulebook amendment 12/07/2017 Certified 12/21/2017 1
INFXSEF Rulebook amended in order to incorporate rule changes based on Commission Staff guidance contained in Notice 13-66, client feedback and to clarify certain rules in the INFX SEF Rulebook. 11/12/2013 Certified 11/27/2013 1
CBOESEF Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. 10/17/2017 Certified 10/30/2017 1
ICE SEF Rule Changes to the ICE Swap Trade Rulebook 11/03/2020 Certified 11/18/2020 6
360T rule changes and additions 05/21/2015 Certified 06/04/2015 3
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
IGDL Rule certification to amend Rule 902, IGDL's vRFQ protocols. 03/19/2015 Certified 04/02/2015 1
DWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
CMSEF Rule Certification 11/06/2020 Certified 11/23/2020 2
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
INFXSEF Rule amendments to incorporate certain clarifications and updates. 11/14/2014 Certified 12/01/2014 1
TDERIV Rule amendments related to the listing of the Physically Deliverable Bitcoin Swap on the trueDigital Division of trueEX 07/15/2019 Certified 07/26/2019 1
TDERIV Rule Amendments Related to Sponsored Access. TRUEEX (SEF) #2014-01 02/03/2014 Certified 02/19/2014 1
CBOESEF Rule amendments related to Phase 3 and 4 Questions, Part 43 and 45 Questions, corrections of typographical errors, and clarification of product specifications. 12/29/2015 Certified 01/13/2016 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
CMSEF Rule amendments regarding settlement 04/01/2022 Certified 04/15/2022 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CBOESEF Rule amendments regarding (a) CFTC No Action Letter 15-24, (b) changes to voice trading procedures, and (c) record retention. 08/05/2015 Certified 08/19/2015 2
RADSEF Rule amendments made to improve specificity of prohibited fraudulent acts and market manipulation activities. 08/25/2016 Certified 09/09/2016 3
CBOESEF Rule amendments made to comply with CFTC Letter No. 15-67 07/07/2016 Certified 07/21/2016 1
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
BGC Rule amendments 01/14/2015 Certified 01/29/2015 1
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4