Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
CBOESEF Rule amendment made provide more flexibility in the types of records a principal must retain to document trading authorization. Rule amendments made to conform definition of Sponsored Person with prior amendments to Sponsored Access. 04/10/2015 Certified 04/24/2015 1
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
IGDL Rule 40.6(a) Rule Certification 01/20/2016 Certified 02/03/2016 4
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
IGDL Revisions to the Definitions and Rule 204(j) of the IGDL Rulebook 07/31/2023 Certified 08/14/2023 1
TPSEF Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. 07/07/2021 Certified 07/21/2021 1
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1
NEXSEF Revisions to NEX SEF Limited Form SEF to reflect change of Regulatory Service Provider 08/17/2020 Certified 08/31/2020 4
NEXSEF Revisions to NEX SEF Limited Form SEF Exhibits to Reflect Changes to the Board of Directors and Officer Composition and, Administrative Amendments NEX/CME Group integration and minor edits to the Compliance Manual. 05/04/2022 Certified 05/18/2022 2
CMESEF Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 09/22/2015 Certified 10/06/2015 1
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
360T Revision of Rulebook and User Guides. 09/13/2016 Certified 09/27/2016 7
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
LGX Revised SEF Rulebook 08/04/2022 Certified 08/18/2022 2
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
LGX Revised SEF Exhibit B 09/19/2017 Notified 09/19/2017 1
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
IGDL Revised Rulebook and Confidential Chapter 9 05/16/2016 Certified 05/31/2016 4
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
LGX Revised operations manual 11/14/2017 Certified 11/29/2017 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
IGDL Revised Market Maker Program Rulebook 09/17/2014 Certified 10/01/2014 3
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
IGDL Revised Fee Schedule 02/12/2015 Certified 02/27/2015 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
NEXSEF Revised Fee Program to include new market maker program for certain Non Deliverable Forwards 09/17/2019 Certified 10/01/2019 2
NEXSEF Revised Fee Program discount programs 07/17/2018 Certified 07/31/2018 2
NEXSEF Revised Fee Program 03/16/2018 Certified 03/30/2018 2
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
IGDL Revised Fee Card and Discount Program 02/16/2016 Certified 03/01/2016 2
IGDL Revised Facility Rulebook 04/23/2015 Certified 05/07/2015 7
IGDL Revised Facility Rulebook 09/16/2014 Withdrawn 10/01/2014 1
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4