Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TDERIV Added BRL to Core RFQ functionality. It already existed on PTC. 11/07/2017 Notified 11/07/2017 1
TDERIV Amendment to Designated Market Maker Program 09/04/2019 Certified 09/18/2019 1
TDERIV self-certification of fees on the SEF Trading System 12/09/2015 Certified 12/23/2015 1
TDERIV Various Rule Amendments - TRUEEX #2014-12S 06/26/2014 Certified 07/12/2014 1
TDERIV Amendment to Rule 524, will promote trading on trueEX SEF by permitting limited pre-execution communication in respect of orders for Permitted Transactions. TRUSEF #2014-08S 04/24/2014 Certified 05/09/2014 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
TDERIV name change for GBP OIS floating rate index 04/30/2018 Notified 04/30/2018 1
TDERIV Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commission Regulation 40.6(a), trueEX LLC hereby submits to the U.S. Commodity Futures Trading Commission certain amendments to the trueEX Rulebook. 03/19/2015 Certified 04/02/2015 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders and Related Rule. TRUSEF #2014-02S 02/07/2014 Certified 02/25/2014 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
TDERIV Amendments related to extension of No-Action letters relating to Block Trades and Package Transactions. In addition, rule amendments related to uncleared trades. 11/01/2016 Certified 11/16/2016 1
TDERIV This is an EMERGENY RULE CERTIFICATION to incorporate the reference to CFTC no-action letter 16-58 and the new expiration date, and to remove reference to CFTC no-action letter 15-24 and its June 15, 2016 expiration. 06/14/2016 Certified 06/27/2016 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
TDERIV Notice of change to execution fees charged to respondents trading on the trueEX Trading System. 03/04/2019 Certified 03/18/2019 3
TDERIV Change of exchange opening hours 08/14/2018 Notified 08/14/2018 1
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
TDERIV non-substantive rule changes 04/11/2018 Notified 04/11/2018 1
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TDERIV Expansion of trading hours for IRS products 02/16/2018 Notified 02/16/2018 1
TDERIV Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 12/31/2017 Certified 01/16/2018 1
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
TDERIV LCH trueEX Execution Venue Agreement 10/30/2013 Certified 11/15/2013 0
TDERIV Self-certification of rule amendments 10/30/2014 Certified 11/14/2014 1
TDERIV self certification of fees on the SEF Trading System 08/16/2016 Certified 08/30/2016 1
TDERIV trueEX LLC Rule Amendments, Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-07S 04/09/2014 Certified 04/24/2014 1
TDERIV trueEX LLC Rule Amendment of Certain Rules including Updated Table of Amendments/Revisions to Rulebook. TRUEEX #2013-17 12/20/2013 Certified 01/08/2014 1
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
TDERIV Changes to Trading Hours on the SEF Trading System. PTC system closes at 5 pm Eastern time effective May 1, 2019. 05/10/2019 Notified 05/10/2019 1
TDERIV Policies and Procedures regarding Post-Trade Allocation of Bunched Orders. TRUSEF #2013-18 12/20/2013 Certified 01/08/2014 1
TDERIV notification of non-substantive amendments. 06/18/2017 Notified 06/18/2017 1
SWAPX Amendment of Rule 525 to reflect recent CFTC no-action letter 03/31/2017 Certified 04/14/2017 4
SWAPX Amendment to Application for Registration as a Swap Execution Facility. Letter dated December 3, 2013 12/04/2013 Certified 12/19/2013 0
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
SWAPX Updates to various rules, particularly rules concerning data reporting 01/19/2016 Certified 02/02/2016 4
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
SWAPX Added rule prohibiting disclosure of the identity of a counterparty for swaps executed, pre-arranged or pre-negotiated anonymously on SwapEx and deleted the requirement for Participants to provide post-trade allocation information to SwapEx. 06/16/2021 Certified 07/01/2021 4
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
SWAPX Amendments and updates to various rules. 12/14/2015 Certified 12/29/2015 10
SWAPX The Rulebook has been amended to align the rules to the guidance in relation to Core Principle 15 of section 5(d) of the CEA: Governance Fitness Standards set forth in Appendix B to the Part 38 of the CEA. 01/28/2022 Certified 02/11/2022 1
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
SWAPX SWAPX Amendment to Application for Registration as a SEF, letter dated October 2, 2013 10/17/2013 Certified 11/01/2013 2
SWAPX Amending its Rulebook in response to comments and questions received from CFTC staff and from potential users of SwapEX's SEF Submission 03-13 10/18/2013 Certified 11/02/2013 1
SWAPX Amendment to Application for Registration as a Swap Execution Facility, amendment to the original Form SEF and accompanying Exhibits. (November 15, 2013 letter) 11/15/2013 Certified 12/03/2013 1