Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 09/16/2014 Certified 09/29/2014 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2
ICAPSEF Revised SEF Rulebook 09/16/2014 Withdrawn 10/01/2014 1
IGDL Revised Facility Rulebook 09/16/2014 Withdrawn 10/01/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. 09/10/2014 Certified 09/24/2014 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 08/29/2014 Certified 09/15/2014 2
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
IGDL Revised Facility Rulebook 08/06/2014 Certified 08/20/2014 2
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
TWSEF Revised and amended Rulebook for TW SEF LLC. 07/29/2014 Certified 08/12/2014 13
DWSEF Revised and amended Rulebook for DW SEF LLC. 07/29/2014 Certified 08/12/2014 13
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
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
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
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
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 07/11/2014 Certified 07/25/2014 0
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook IGDL - 2014-R-4 07/11/2014 Certified 07/25/2014 0
BSEF Bloomberg SEF LLC - Rule Amendment - Revised Fees 07/10/2014 Certified 07/24/2014 1
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 06/27/2014 Certified 07/15/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
TDERIV Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S 06/26/2014 Certified 07/12/2014 1
IGDL Rulebook Amendment, specifically Rule 204. IGDL #2014-R-3 06/26/2014 Certified 07/12/2014 1
ICAPSEF ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 06/26/2014 Certified 07/12/2014 1
TRAD Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 06/26/2014 Certified 07/12/2014 1
TPSEF tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) 06/26/2014 Certified 07/12/2014 1
TDERIV Various Rule Amendments - TRUEEX #2014-12S 06/26/2014 Certified 07/12/2014 1
TRAD Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 06/25/2014 Certified 07/11/2014 1
ICE SEF ICE Swap Trade, LLC - Rulebook Amendments - Effective July 9, 2014 06/25/2014 Certified 07/11/2014 1