Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has 11/03/2015 Certified 11/18/2015 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, tpSEF Inc. ("tpSEF") wishes to amend its rulebook as provided in Exhibit A. 11/04/2014 Certified 11/19/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. 05/17/2016 Notified 05/17/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The date of intended implementation of the amended Rulebook is January 15, 2016. 12/30/2015 Certified 01/14/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on January 27, 2016. 01/12/2016 Certified 01/27/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. 12/08/2015 Certified 12/22/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/11/2015 Certified 11/25/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/17/2015 Certified 12/02/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/20/2015 Certified 12/07/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/24/2015 Certified 12/09/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 10/15/2015 Certified 10/29/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 12/01/2015 Certified 12/15/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/03/2015 Certified 11/18/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/30/2015 Certified 11/16/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Fee Schedule. 12/01/2015 Certified 12/15/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. 09/29/2015 Certified 10/14/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1
BSEF Pursuant to Section 40.6(a) of the regulations of the Commodity Futures Trading Commission (the "Commission"), Bloomberg SEF LLC hereby notifies the Commission that Bloomberg SEF will release the Notice to Participants. 08/04/2016 Certified 08/18/2016 2
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. 06/23/2016 Certified 07/08/2016 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached submission. 10/03/2016 Certified 10/18/2016 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. 08/23/2016 Certified 09/07/2016 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 10/27/2016 Certified 11/10/2016 1
IGDL Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
BSEF Product-Related Amendments to the BSEF LLC Rulebook 06/15/2023 Certified 06/30/2023 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 12/20/2013 Certified 01/08/2014 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
GFISEF Please find attached changes to certain rules to align more closely with the language of the Commission Rules and also amendments made in response to guidance of Commission staff. 02/28/2022 Certified 03/14/2022 1
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
BSEF On June 8, 2015, Bloomberg SEF LLC ("BSEF") submitted to the CFTC a certification regarding amendments to the BSEF Rulebook. BSEF hereby notifies the CFTC that it wishes to amend that certification to update the effective date of the BSEF Rulebook. 06/09/2015 Certified 06/23/2015 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
TDERIV notification of non-substantive amendments. 06/18/2017 Notified 06/18/2017 1
TDERIV notification of changes in trading hours 04/07/2016 Notified 04/07/2016 1
IGDL Notification of certain non-substantive revisions to the ICAP Global Derivatives Limited Rulebook effective as of March 1, 2019. 03/04/2019 Notified 03/04/2019 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. 11/14/2019 Notified 11/14/2019 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. 05/20/2020 Notified 05/20/2020 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. 03/26/2020 Notified 03/26/2020 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. 08/26/2019 Notified 08/26/2019 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
BSEF Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. 09/10/2015 Certified 09/24/2015 1