Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 1
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
LGX Fee Schedule Change 12/09/2020 Notified 12/09/2020 1
LGX LedgerX Liquidity Provider Program 06/23/2021 Certified 07/08/2021 3
LGX Rulebook for LedgerX DCM 06/24/2019 Certified 07/09/2019 2
LGX LedgerX Updated Fee Schedule 06/23/2021 Notified 06/23/2021 3
LGX LedgerX SEF Rulebook Revisions 11/15/2023 Certified 11/30/2023 3
LGX Self-certification of revisions to LLC Operating Agreement 07/07/2023 Certified 07/21/2023 1
LGX Amended Operations Manual 10/18/2017 Certified 11/01/2017 4
LGX Submission of revised fee schedule. 03/27/2018 Certified 04/10/2018 1
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
LGX LedgerX Fee Schedule Update 09/23/2020 Notified 09/23/2020 1
LGX Compliance Manual Version Control 10/22/2021 Notified 10/22/2021 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
LGX Compliance Manual Amendments 10/27/2021 Certified 11/10/2021 3
LGX Amendments and changes to LedgerX's Rulebook and Operations Manual to facilitate changes to the SCP order type as previously discussed with DMO and DCR staff. 05/23/2018 Certified 06/07/2018 3
LGX Compliance Manual update 07/10/2019 Certified 07/24/2019 2
LGX Submission of revised fee schedule. 02/13/2018 Certified 02/28/2018 1
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
LGX Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
LGX Revised SEF Exhibit B 09/19/2017 Notified 09/19/2017 1
LGX LedgerX Revised Participant Agreement 05/28/2021 Certified 06/14/2021 1
LGX LedgerX revised Participant Agreement 05/28/2021 Certified 06/14/2021 4
LATAM 40.6(a) certification of LatAm SEF Rulebook, version 1.12 11/16/2022 Certified 12/01/2022 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/13/2016 Withdrawn 01/14/2016 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 01/14/2016 Certified 01/29/2016 1
LATAM CFTC Reg 40.6(a) certification of LatAm SEF Rulebook, version 1.11 01/20/2022 Certified 02/03/2022 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
LATAM See Exhibit A of the Submission 06/22/2015 Certified 07/07/2015 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 11/02/2020 Certified 11/17/2020 2
LATAM Mexican TIIE Fixed/Floating Interest Rate Swap, Mexican TIIE/U.S. Dollar 1-Month Libor Cross-Currency Basis Swap, Mexican UDI/TIIE Interest Rate Swap, Mexican UDI/U.S. Dollar 6-Month Libor Cross-Currency Basis Swap, Peruvian PEN/TIS Interest Rate Swap, Me 07/17/2017 Certified 07/31/2017 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook - Submission 14-0001 (March 20, 2014) Adding rules regarding methods of using LatAm SEF's SEF. 03/21/2014 Certified 04/05/2014 1
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/22/2016 Certified 10/06/2016 1
LATAM Update to LatAM SEF Rule Book Version 1.5 09/22/2016 Certified 10/06/2016 2
LATAM CFTC Reg 40.6(a) certification of amendments to LatAm SEF Rulebook 09/01/2021 Certified 09/16/2021 2
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 02/25/2021 Certified 03/11/2021 12
ISBV iSwap Euro B.V. hereby submits certain amendments to its Fee Structures and Incentives. 04/19/2021 Certified 05/03/2021 4
ISBV iSwap Euro B.V. hereby submits certain amendments to its Rulebook. 04/20/2021 Certified 05/04/2021 8
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3