Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual (BSEF-2021-R-03) 03/12/2021 Certified 03/26/2021 1
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
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 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
BSEF Rulebook Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Rulebook 07/25/2018 Certified 08/08/2018 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
LGX LedgerX Amended Rulebook 03/12/2021 Certified 03/26/2021 1
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook and Exhibit Q-2 to reflect recent developments and provide clarity. 11/23/2015 Certified 12/08/2015 6
NEXSEF Amendment to Facility Rulebook 05/31/2017 Certified 06/14/2017 7
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/19/2018 Certified 11/02/2018 1
TRAD Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. 12/03/2020 Certified 12/17/2020 1
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 2
TRAD Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program 06/12/2020 Certified 06/26/2020 1
TWSEF TW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
BSEF Bloomberg SEF LLC - Certification 2023-R-08 (BSEF Notice to Participants 2023-4) 06/28/2023 Certified 07/13/2023 1
DWSEF SW SEF LLC - Rule Amendments - Amended SEF Rulebook - Effective June 9, 2014 05/22/2014 Certified 06/07/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
DWSEF DW SEF Rulebook Amendments 03/24/2015 Certified 04/07/2015 4
IGDL Amendments to Fee Card 06/16/2015 Certified 06/30/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
NEXSEF Revised Fee Program 03/16/2018 Certified 03/30/2018 2
LGX LedgerX Unredacted Operations Manual 03/12/2021 Certified 03/26/2021 2
IGDL Amendments to Fee Card 03/24/2015 Certified 04/07/2015 1
LGX LedgerX Redacted Operations Manual 03/12/2021 Certified 03/26/2021 1
ISBV Updated Rulebook with amendments to Orderbook market appendix and Targeted Streaming market appendix. Targeted Streaming market to be removed as a transaction method from SEF. 06/29/2023 Certified 07/14/2023 11
SWAPX SwapEx Submission 06-14 - Amended Rulebook (April 1, 2014) 04/01/2014 Certified 04/16/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
SWAPX Amendments and updates to various rules. 12/14/2015 Certified 12/29/2015 10
CMSEF Rule Amendment 11/30/2016 Certified 12/14/2016 2
BSEF Bloomberg SEF LLC - Certification 2021-R-09 (Notice to Participants) 11/24/2021 Certified 12/09/2021 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 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. 11/24/2015 Certified 12/09/2015 1
TWSEF Amended TW SEF Fees Schedule 06/02/2016 Certified 06/16/2016 3
BSEF Compliance Manual Amendment 11/30/2016 Certified 12/14/2016 4
IGDL Revised Facility Rulebook 03/24/2015 Certified 04/07/2015 4
TWSEF Market Regulation Advisory Notice to TW SEF Participants re straight through processing. 06/02/2016 Certified 06/16/2016 2
LGX LedgerX Revised Participant Agreement 03/12/2021 Certified 03/26/2021 1
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
BSEF Notice to Participants 06/01/2017 Certified 06/15/2017 1
BSEF Bloomberg SEF LLC-Rule Amendment-Amended Compliance Manual (BSEF-2018-R-06) 07/26/2018 Certified 08/09/2018 2
LGX Amendment to rule regarding participant eligibility criteria, and introduction of rules regarding transfers of trades. 10/22/2018 Certified 11/05/2018 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
ICE SEF ICE Swap Trade, LLC's regular and holiday Trading Hours for 2016. 12/14/2015 Certified 12/29/2015 3
BSEF Amendment to BSEF Rule 533 09/02/2016 Certified 09/19/2016 1
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
GFISEF Rulebook amendments 12/14/2015 Certified 12/29/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to affect certain administrative/clerical revisions. 10/26/2016 Certified 11/09/2016 4