Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Revised rules to include ISDA Reporting Counterparty Rules and the relevant SDR(s) for each product traded on tpSEF. 08/04/2015 Certified 08/18/2015 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 1, 2020, and to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 28, 2020. 10/29/2020 Notified 10/29/2020 1
TPSEF Amendments to tpSEF's Rulebook and Compliance Manual. 04/29/2020 Certified 05/13/2020 2
TPSEF Pursuant to Section 5c(c) of the CEA and CFTC Regulations 37.3(b)(3) and 40.6(a), tpSEF is hereby submitting an amended version of Exhibit T to tpSEF application for registration as a swap execution facility. 07/19/2016 Certified 08/02/2016 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook to reflect the conditions for reliance on CFTC No-Action Letters 15-24 and 15-25. 05/06/2015 Certified 05/20/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 08/17/2022 Notified 08/17/2022 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF, a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/01/2016 Certified 06/15/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/30/2021 Notified 04/30/2021 1
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 Notification of Amendments to Rulebook 03/10/2021 Certified 03/24/2021 1
TPSEF tpSEF Inc. Various amendments to its Fee Schedule. (February 10, 2014) 02/10/2014 Certified 02/26/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
TPSEF Rulebook amendment 10/11/2017 Certified 10/25/2017 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/20/2015 Certified 12/07/2015 1
TPSEF tpSEF - Amendments to Rulebook (dated January 10, 2014) 01/13/2014 Certified 01/29/2014 0
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached filing. 07/22/2016 Certified 08/05/2016 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act, as amended, and Section 40.6(a) of the regulations of the CFTC, tpSEF Inc. hereby notifies the CFTC that it wishes to amend its Rulebook and Risk Mitigation Procedures. 04/29/2016 Certified 05/13/2016 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of November 4, 2019. 11/14/2019 Notified 11/14/2019 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/24/2015 Certified 12/09/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/04/2020 Notified 12/04/2020 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 10/27/2016 Certified 11/10/2016 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(d) of the CFTC's regulations, tpSEF Inc. hereby notifies the CFTC that it has amended Appendix B of the tpSEF Inc. Rulebook effective as of May 3, 2016. 05/04/2016 Notified 05/04/2016 1
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/07/2021 Notified 05/07/2021 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 06/06/2017 Certified 06/20/2017 1
TPSEF tpSEF Inc. - Amended Swap Execution Facility Application Exhibits. 06/02/2014 Certified 06/17/2014 0
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/03/2022 Notified 05/03/2022 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 06/18/2020 Certified 07/02/2020 2
TPSEF Non-substantive revisions to the tpSEF Rulebook effective November 5, 2020. 11/05/2020 Notified 11/05/2020 1
TPSEF tpSEF Submission #14-02R -- Rulebook Amendments - Rule 1000 and Rule 4013 06/04/2014 Certified 06/19/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 10/15/2015 Certified 10/29/2015 1
TPSEF Elimination of a Participant's ability to expose one side of a Required Transaction for less than 15 seconds. 04/02/2015 Certified 04/16/2015 1
TPSEF Amending its Rulebook in response to CFTC Letter 13-62. (10/10/13) 10/17/2013 Certified 11/01/2013 1
TPSEF tpSEF Inc. Amended Fee Schedule (January 31, 2014) 02/03/2014 Certified 07/29/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/19/2021 Notified 03/19/2021 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF Inc. hereby notifies the Commission that it wishes to amend its Rulebook as provided in the attached submission. 06/13/2016 Certified 06/27/2016 1
TPSEF Regulation 40.6 certification of tpSEF's procedures for risk mitigation sessions. 01/20/2015 Certified 02/03/2015 1
TPSEF tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) 02/21/2014 Certified 07/29/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 07/02/2015 Certified 07/17/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 03/18/2022 Notified 03/18/2022 1
TPSEF Rulebook amendment. 10/20/2017 Certified 11/03/2017 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/11/2020 Notified 12/11/2020 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. 05/20/2020 Notified 05/20/2020 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(d), tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B to its Rulebook effective as of the date hereof. 12/18/2015 Notified 12/18/2015 1
TPSEF Notification of Amendments to Rulebook 01/29/2021 Certified 02/12/2021 1
TPSEF Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. 11/19/2013 Certified 12/05/2013 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 01/29/2021 Notified 01/29/2021 1
TPSEF Updates to Appendix B to the tpSEF Rulebook - Swap Specifications 12/15/2017 Notified 12/15/2017 1
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2