Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of February 28, 2019. 03/04/2019 Notified 03/04/2019 1
TPSEF This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. 10/14/2014 Certified 10/27/2014 2
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/04/2021 Notified 02/04/2021 1
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 11/02/2018 Certified 11/19/2018 1
TPSEF Updates to the tpSEF Risk Mitigation Procedures 07/01/2019 Certified 07/16/2019 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 07/02/2021 Notified 07/02/2021 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. 03/26/2020 Notified 03/26/2020 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
TPSEF Updates to tpSEF Inc. Risk Mitigation Procedures 11/30/2023 Certified 12/14/2023 1
TPSEF tpSEF, Amendment to its Rulebook, as provided in Exhibit B (10-24-13) 10/24/2013 Certified 11/08/2013 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. 09/10/2014 Certified 09/24/2014 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 12/23/2019 Certified 01/08/2020 2
TPSEF Revisions to Rules 4003.D(e) and 4019(a) of the tpSEF Rulebook. 07/07/2021 Certified 07/21/2021 1
TPSEF Amendment of tpSEF Inc. Terms of Use 09/14/2017 Certified 09/28/2017 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. The date of intended implementation of the amended Rulebook is January 15, 2016. 12/30/2015 Certified 01/14/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/20/2022 Notified 05/20/2022 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF notifies the CFTC that it will release the attached Notice to Participants on June 23, 2016. The Notice relates to the guidance included in CFTC Letter 15-67 re: straight through processing. 06/23/2016 Certified 07/08/2016 1
TPSEF tpSEF Inc. Emergency Rule Certification letter dated November 1, 2013. Amended its Rulebook in response to Commission Letter No. 13-66, regarding the resubmission of swaps rejected for clearing. 11/04/2013 Certified 11/20/2013 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. 08/27/2015 Certified 09/11/2015 1
TPSEF tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F 06/12/2014 Certified 06/27/2014 1
TPSEF tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 02/18/2014 Certified 03/05/2014 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(d) of the CFTC Regulations, tpSEF hereby notifies the CFTC that it has made certain non-substantive revisions to Appendix B of the tpSEF Rulebook effective as of the date hereof. 05/17/2016 Notified 05/17/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 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. The amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/11/2021 Notified 02/11/2021 1
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 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 and Risk Mitigation Procedures. 10/30/2015 Certified 11/16/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 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. 12/01/2015 Certified 12/15/2015 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 12/17/2020 Certified 01/04/2021 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 Fee Schedule. 12/01/2015 Certified 12/15/2015 2
TPSEF tpSEF Inc. - Rulebook Amendments - Effective May 23, 2014 TPSEF #14-01R 05/12/2014 Certified 05/27/2014 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. 08/26/2019 Notified 08/26/2019 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
TPSEF Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. 03/11/2015 Certified 03/25/2015 1
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 02/13/2020 Certified 02/28/2020 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 04/13/2020 Certified 04/27/2020 1
TPSEF tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 06/16/2014 Certified 07/01/2014 1
TPSEF tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. 11/06/2013 Certified 11/22/2013 0
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. 11/03/2015 Certified 11/18/2015 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. 03/27/2017 Certified 04/10/2017 1
TDERIV Certain Rulebook amendments to extend No Action letters regarding trade errors and confirmations for uncleared trades 06/18/2017 Certified 06/30/2017 1
TDERIV Rule amendments related to the listing of the Physically Deliverable Bitcoin Swap on the trueDigital Division of trueEX 07/15/2019 Certified 07/26/2019 1
TDERIV notification of changes in trading hours 04/07/2016 Notified 04/07/2016 1
TDERIV Self-certification of fees to be charged to Participants on the SEF Trading System. 04/19/2018 Certified 05/03/2018 1
TDERIV Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S 06/26/2014 Certified 07/12/2014 1
TDERIV Amendments related to name change of the trueDigital Division to Tassat Division, and clarifying amendments to trading rules and protocols. 09/04/2019 Certified 09/17/2019 1
TDERIV Rule Amendments Related to Sponsored Access. TRUEEX (SEF) #2014-01 02/03/2014 Certified 02/19/2014 1