Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
TWSEF Market Regulation Notice Concerning Block Trades 10/19/2020 Certified 11/02/2020 1
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) 02/21/2020 Certified 03/06/2020 2
TWSEF Fee Schedule update for Credit Default Swaps 07/15/2021 Certified 07/29/2021 2
TWSEF Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) 04/20/2015 Certified 05/04/2015 2
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions 02/04/2015 Certified 02/19/2015 2
TWSEF Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
TWSEF Notice to Participants that the SEF's US Dollar Interest Rate Swaps, Canadian Dollar Interest Rate Swaps and CDX markets will be closed on November 11, 2013. 11/12/2013 Certified 11/27/2013 1
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook: (1) Staff Guidance and (2) comments and questions received on TW's SEF. (January 31, 2014) 01/31/2014 Certified 02/15/2014 1
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2
TWSEF Update to Fee Schedule for Cross Currency Swaps 09/21/2020 Certified 10/05/2020 2
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
TWSEF TW SEF Cover Letter re Fees (11.23.15)TW SEF FOIA Request with Justification (11.23.15)App. A1 - TW SEF Exhibit K (Fees) (Clean 11.23.15)App. A2 - TW SEF Exhibit K (Fees) (Marked 11.23.15)App. A3 - TW SEF Fees Schedules 11/23/2015 Certified 12/08/2015 1
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
TWSEF Market Regulation Advisory Notice to TW SEF Participants re straight through processing. 06/02/2016 Certified 06/16/2016 2
TWSEF Fee Schedule Amendments 08/22/2017 Certified 09/06/2017 2
TWSEF TW SEF LLC Rulebook Amendments 01/16/2015 Certified 02/02/2015 4
TWSEF Amendment of Rule 205 (Regulatory Oversight Committee) 02/03/2022 Certified 02/17/2022 4
TWSEF TW SEF Cover Letter re MRAN (12.16.15)TW SEF MRAN - Hours of Trading (12.16.15) 12/16/2015 Certified 12/31/2015 3
TWSEF Amendment to include new Rule 419 to prohibit post-trade name give up 11/05/2020 Certified 11/20/2020 6
TWSEF Amended TW SEF Rulebook 09/12/2016 Certified 09/26/2016 4
TWSEF Amended Fees Schedules 09/12/2016 Certified 09/26/2016 3
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
TWSEF TW SEF Amended Rulebook in response to coments and questions received from Commission Staff and potential participants of TW's SEF (10-18-13) 10/21/2013 Certified 11/05/2013 0
TWSEF Weekly Notification of Rule Amendments for TW SEF - Week of September 30, 2019 10/07/2019 Notified 10/07/2019 2
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
TWSEF TW SEF made certain non-substantive revisions to its Interest Rate Swap Specifications to add Eurex Clearing AG, a Derivatives Clearing Organization registered with the Commission, to the Swap Specifications. 12/10/2018 Notified 12/10/2018 2
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
TWSEF Amendment to TW SEF Rulebook and Fee Schedule 04/11/2018 Certified 04/25/2018 6
TWSEF Revised and amended Rulebook for TW SEF LLC. 07/29/2014 Certified 08/12/2014 13
TWSEF TW SEF LLC - Amended Rulebook 12/01/2014 Certified 12/15/2014 4
TWSEF TW SEF Fee update for Canadian Dollar Swaps 07/08/2021 Certified 07/22/2021 2