Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
GFISEF We are submitting GFI Swaps Exchange LLC's ("GFI"), attached proposed amendments to Code of Business Conduct and Ethics and the Regulatory Oversight Committee Charter.Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 2
GFISEF Emergency Rule Certification - Rulebook Amendments GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
GFISEF Amendments to Rules 405 and 509 11/25/2015 Certified 12/10/2015 1
GFISEF Documents submitted as an amendment to the Form SEF filed by GFI Swaps Exchange on July 19, 2013 GFI SEF 10-9-13 10/17/2013 Certified 11/01/2013 0
GFISEF Various Rulebook Amendments 02/25/2015 Certified 03/11/2015 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GFISEF GFI Swaps Exchange Submission #14-0012 - Rule Amendments to GFI Rules 101, 401, 405, 525, 538, 541 06/11/2014 Certified 06/26/2014 1
GFISEF Various Rulebook amendments 04/10/2015 Certified 04/24/2015 1
GFISEF We are submitting on behalf of our client, GFI Swaps Exchange LLC ("GFI"), new Rule 542, as requested by the Commission staff, in response to guidance provided in CFTC Letter No. 15-67. 08/08/2016 Certified 08/22/2016 1
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
GFISEF GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 05/06/2014 Certified 05/21/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0011 (Letter dated December 18, 2013) Amendments to GFI Rules 101, 528, 529, 533, 903, and 914 12/19/2013 Certified 01/07/2014 1
GFISEF GFI Swaps Exchange LLC Submission #13-0012 12/19/2013 Certified 01/07/2014 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
GFISEF Revised GFI Swaps Submission #14-0001R - Launch of USD IRS Market Maker Incentive Program. (February 7, 2014) 02/19/2014 Certified 03/06/2014 1
GFISEF Modifications to Fee Schedule. GFISEF #13-0001 10/17/2013 Certified 11/01/2013 0
GFISEF GFI Swaps Exchange Withdrawal of GFI Rule 507(c) and Submission #14-0002. GFISEF #14-0003 02/19/2014 Certified 03/06/2014 1
GFISEF Revised fee schedule 10/30/2014 Certified 11/14/2014 2
GFISEF GFI Swaps Exchange LLC Submission #13-0012 -- Amendment to Rule 507(c) Matching of Orders 12/20/2013 Certified 01/08/2014 1
GFISEF CFTC Regulation 40.6 Rulebook Amendment - Listing of Products referenced to SOFR and SONIA 07/24/2023 Certified 08/07/2023 1
GFISEF Various Rulebook amendments 12/23/2014 Withdrawn 01/05/2015 1
GFISEF Holiday Closures 12/23/2014 Certified 01/08/2015 1
GFISEF GFI Swaps Rulebook Amendments in response to Commission staff guidance and comments and questions received from potential users of GFI SEF. Submission #13-0003 11/01/2013 Certified 11/19/2013 1
GFISEF GFI Swaps Exchange LLC - Modification to Submission #14-001 and 14-0011M 06/18/2014 Certified 07/03/2014 1
GFISEF Rulebook Amendments - GFISEF #13-0002 10/17/2013 Certified 11/01/2013 1
FTSEF Amendments to FTSEF Product Specifications and FTSEF Rules 101, 202, 205, 212, 301, 317, 401, 402, 403, 404, 405, 408, 409, 503, 602, 703, 924,1001, 1003, 1011, 1012, 1013, 1016, Chapter 13 04/01/2016 Certified 04/15/2016 5
FTSEF The Rulebook has been amended to update certain No Action Letters on which it relies. 03/13/2019 Certified 03/27/2019 3
DWSEF DW SEF - Work-Up Protocol 12/29/2014 Certified 01/13/2015 2
DWSEF Amended DW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF LLC Posting Notice to Participants that the SEF markets will be closed November 11, 2013 11/12/2013 Certified 11/27/2013 1
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
DWSEF DW SEF LLC - Rule Amendments - Amended SEF Rulebook (February 3, 2014) 02/03/2014 Certified 02/19/2014 1
DWSEF Updates to the DWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 1
DWSEF Amended DW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
DWSEF DW SEF Amended Rules 12/10/2015 Certified 12/24/2015 4
DWSEF DW SEF made certain revisions to its Product Specifications set forth in Rules 901 to add the Product Specifications for certain Forward Rate Agreements. 04/02/2019 Notified 04/02/2019 1
DWSEF DW SEF Letter re Rule Changes (11.18.15)Ex. A - Chart DW SEF Rule Changes (11.18.15)Ex. B - DW SEF Rulebook (Clean 11.18.15)Ex. c - DW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
DWSEF Amended DW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
DWSEF DW SEF Market Regulation Advisory Notice re STP and Affirmation 05/31/2016 Certified 06/14/2016 2
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
DWSEF Amended DW SEF Rulebook, to include provisions relating to Voice RFQ by Execution Specialists, DW Match, Work-Up Protocol, and No-Action Letter 14-118 regarding Block Trades. 11/17/2014 Certified 12/02/2014 4