Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
IGDL Amendment to IGDL Facility Rulebook pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a). 11/29/2018 Certified 12/13/2018 1
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook: Chapter 12 Rules 1210, 1238, 1239, 1240 Submission 14-07 March 5, 2014 03/06/2014 Certified 03/21/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
TWSEF Fee Schedule Amendments 08/22/2017 Certified 09/06/2017 2
GFISEF GFI Swaps Exchange LLC Submission #13-0008 - Rulebook Amendments (December 10, 2013) 12/11/2013 Certified 12/27/2013 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF. March 31, 2014 BSEF #2014-R-2 04/01/2014 Certified 04/16/2014 1
SWAPX Rule Amendment to Refer to Recent No-Action Letter 06/02/2017 Certified 06/16/2017 4
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Initial Administrator(s) Authorization Form (BSEF-2021-R-04) 03/15/2021 Certified 03/29/2021 2
NEXSEF Revisions to the rulebook of NEX SEF Limited. 10/13/2017 Certified 10/27/2017 3
NEXSEF Rulebook updated to reflect certain new trading hours and updated product information 01/17/2019 Certified 02/01/2019 3
NEXSEF Amendment to Market Regulation Advisory Notice 2018-04 02/15/2019 Certified 03/04/2019 2
GFISEF Addition of Addendum A to Fee Schedule 05/13/2015 Certified 05/28/2015 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 12/14/2015 Certified 12/29/2015 4
NEXSEF Revised Fee Program 06/18/2018 Certified 07/02/2018 4
NEXSEF Updated Fee Program 01/17/2019 Certified 02/01/2019 2
LGX Revised Enterprise Risk Management Plan 06/18/2019 Certified 07/02/2019 3
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
SEED CX Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) 08/02/2019 Certified 08/16/2019 1
ICE SEF ICE Swap Trade, LLC is revising the Minimum Price Fluctuation for three (3) Credit Contracts. 03/24/2015 Certified 04/07/2015 2
ICAPSEF Amended fee card and discount program documents. 04/12/2017 Certified 04/26/2017 2
GTX Fee Schedule 08/24/2017 Certified 09/08/2017 1
NEXSEF Amendment to Rule 802(1) IRS Specifications 05/07/2018 Certified 05/21/2018 3
BSEF Rulebook Amendment 08/02/2019 Certified 08/16/2019 1
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
CBOESEF Amendments to Rules 515 and 606 to conform those rules with NAL 14-118, Expiring December 15, 2015. 09/30/2014 Certified 10/15/2014 1
MKAXSEF MarketAxess SEF Corporation has updated its Rulebook to specify the methods of execution available for packages trades. 02/17/2015 Certified 03/03/2015 4
CMSEF Amendment to Rule 406 09/07/2016 Certified 09/21/2016 2
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
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 08/29/2014 Certified 09/15/2014 2
CBOESEF Bats Hotspot SEF is amending its rulebook to (a) more closely align its disciplinary procedures with those of its affiliate, CBOE Futures Exchange LLC, and (b) make certain other changes relating to the trading of non-deliverable forwards. 08/25/2017 Certified 09/11/2017 3
CBOESEF Cboe SEF is submitting proposed changes to its rules to, among other things, (a) modify the limitation of liability applicable to Cboe SEF, and (b) add an intellectual property indemnification obligation of Cboe SEF. 05/07/2018 Certified 05/21/2018 1
CBOESEF Amendments to Rules 523, 706, 720, 807, 904, 905 and various definitions to correct typographical errors and clarify definitions. 09/30/2014 Certified 10/15/2014 1
GTX Rulebook Amendments 07/11/2017 Certified 07/25/2017 1
NEXSEF Revised Fee Program to include new market maker program for certain Non Deliverable Forwards 09/17/2019 Certified 10/01/2019 2
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
CBOESEF Rule amendments regarding trading protocols and scope of disciplinary proceedings 01/15/2015 Certified 01/30/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Trading Hours. 02/18/2015 Certified 03/04/2015 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 03/25/2015 Certified 04/08/2015 2
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, Bloomberg SEF LLC hereby notifies the Commission that it has amended its Rulebook. 05/13/2015 Certified 05/28/2015 1
NEXSEF Amendments to the NEX SEF Limited Governance Policy and Compliance Manual 08/06/2021 Certified 08/20/2021 2
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed amendments to the Code of Ethics. Confidential treatment is requested. 06/08/2016 Certified 06/22/2016 1
CBOESEF Rule filing to (a) change the name of Bats Hotspot SEF LLC to Cboe SEF, LLC, and (b) make certain other changes as more fully set forth in the submission. 10/17/2017 Certified 10/30/2017 1
CMSEF Rulebook Amendments 06/21/2021 Certified 07/06/2021 1
IGDL Rule 40.6 Rule Change for revised Fee Card 01/15/2015 Certified 01/30/2015 2
CMSEF Update of Exhibit N 09/08/2016 Certified 09/22/2016 1
TDERIV Self certification of SEF fees 10/17/2017 Certified 10/30/2017 1
IGDL Rule 40.6 Rule Change for revised Fee Card. I received an error message when I submitted submission 1501-1517-2029-78 that indicated the files did not upload. I am therefore resubmitting to ensure the files were included. 01/15/2015 Certified 01/30/2015 6