Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2
ICAPSEF Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
ICAPSEF Amended SEF Rulebook 01/26/2015 Certified 02/09/2015 4
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Amended Rulebook 12/13/2016 Certified 12/28/2016 3
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
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICAPSEF Revised exhibit to Rule 901 11/15/2016 Certified 11/30/2016 2
ICAPSEF Amended Rulebook 09/23/2016 Certified 10/07/2016 7
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook, specifically the Definitions and Rules 204 and 312. (October 31, 2013) 10/31/2013 Certified 11/16/2013 1
ICAPSEF Amended Form SEF 09/23/2016 Withdrawn 09/26/2016 5
ICAPSEF Amended Rulebook and Compliance Manual for NAL 15-68 02/22/2016 Certified 03/07/2016 4
ICAPSEF Amended Fee Card 08/17/2016 Certified 08/31/2016 2
GTX Amendment to Rulebook. 04/07/2016 Certified 04/21/2016 5
GTX Amendment to Fee schedule. 02/10/2015 Certified 02/25/2015 1
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
GTX Fee schedule Amendment 03/27/2015 Certified 04/09/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1
GTX GTX SEF, LLC - Rule Amendment - Amended Rulebook - Effective June 23, 2014 06/13/2014 Certified 06/28/2014 1
GTX GTX SEF LLC - Rule Amendment - Amended Rulebook - effective June 23, 2014 06/16/2014 Certified 07/01/2014 1
GFISEF Amendments to Rule 509(c) - GFISEF Submission #13-0005 11/26/2013 Certified 12/12/2013 1
GFISEF Modifying the Exchange's Fee Schedule. GFISEF Submission #13-0004 11/26/2013 Certified 12/12/2013 1
GFISEF Certification that these rules comply with the Commodity Exchange Act and the Commission's regulations. The document includes a concise analysis of the operation, purpose and effect of each of the amended rules. 10/19/2020 Certified 11/02/2020 1
GFISEF Updated rule amendment- submission from 10/19/20 contained a typo. Updating rules for 37.9 (d) PTNGU 10/20/2020 Certified 11/03/2020 1
GFISEF Withdrawal of Registration Submission #14-0012W 06/25/2014 Certified 07/11/2014 1
GFISEF GFI Swaps Submission #14-0008 - Amendments to Rules 101, 528, 529, 533 and 1101. March 27, 2014 03/27/2014 Certified 04/11/2014 1
GFISEF Miscellaneous Rulebook amendments 12/31/2014 Certified 01/15/2015 4
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Exchange LLC USD Interest Rate Swap Streaming Liquidity Market Maker Incentive Program. GFISEF #14-0001 02/05/2014 Withdrawn 02/19/2014 1
GFISEF Publishing a revised Fee Schedule. GFISEF #14-0004 02/25/2014 Certified 03/12/2014 1
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
GFISEF GFI Swaps Amendments to Rules 101, 307, 507, and 1001. GFISEF #14-0002 02/05/2014 Withdrawn 02/19/2014 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
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 2
GFISEF Launch of Markit CDX Market Maker Incentive Program. GFISEF #13-0007 12/05/2013 Certified 12/20/2013 1
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
GFISEF Rule amendments for Rules 511 and 515 to reflect the prohibitions of Commodity Exchange Act Section 9(a)(2) and Rule 180.1(a)(3) respectively. 01/09/2017 Certified 01/24/2017 1
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 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
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1