Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade, LLC is amending its Compliance Manual. 01/17/2017 Certified 01/31/2017 4
BSEF Amended Compliance Manual (BSEF-2018-R-08) 11/01/2018 Certified 11/16/2018 2
CBOESEF Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. 05/21/2015 Certified 06/05/2015 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
LGX Updated Operations Manual 12/03/2021 Certified 12/17/2021 3
INFXSEF Amendments to Rulebook -- Notice 13-05 11/19/2013 Certified 12/05/2013 1
CBOESEF Rule amendments related to new pre-trade credit check functionality for Block Trades. 02/25/2015 Certified 03/11/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 12/17/2015 Certified 01/04/2016 3
CMESEF Conforming Amendments to Various CME SEF Rules. 12/14/2017 Certified 12/29/2017 2
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
BSEF Bloomberg SEF LLC hereby notifies the CFTC that it wishes to amend the May 13 Rulebook Certification to respond to certain comments received from CFTC staff. We understand that the amended Rulebook will become effective on May 28, 2015. 05/22/2015 Certified 06/08/2015 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook in order to affect certain administrative/clerical revisions and an additional order type. 04/24/2017 Certified 05/08/2017 4
NEXSEF Amended Fee Program 07/17/2017 Certified 07/31/2017 2
TPSEF Rulebook amendment. 10/20/2017 Certified 11/03/2017 1
BSEF Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it hasamended its Rulebook. The amended Rulebook will become effective on April 13, 2018. 03/28/2018 Certified 04/11/2018 1
BSEF CFTC Regulation 40.6(a) Certification. Issuance of BSEF Notice to Participants. 02/23/2024 Certified 03/08/2024 1
TDERIV self-certification of fees on the SEF Trading System 03/17/2016 Certified 03/31/2016 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/18/2022 Certified 08/01/2022 1
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
TRAD Amendments to the Tradition SEF Fee Schedule 11/27/2017 Certified 12/11/2017 2
NEXSEF Fee Program Amendment 12/15/2017 Certified 01/02/2018 2
NEXSEF Market Regulation Advisory Notice 2020-01 and related rulebook amendment 12/18/2019 Certified 01/03/2020 2
ICAPSEF Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend its Rulebook in order to reflect the new name of the SEF, which was changed to Refinitiv US SEF LLC on February 28, 2019. 03/01/2019 Certified 03/15/2019 2
IGDL Notification of Amendments to Rulebook. 01/29/2021 Certified 02/12/2021 1
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 02/09/2022 Certified 02/24/2022 1
BSEF The Rulebook of Bloomberg SEF LLC ("Bloomberg SEF") has been amended in response to comments and questions received from the staff of the Commodity Futures Trading Commission, as well as potential users of Bloomberg SEF's swap execution facility. 10/08/2014 Certified 10/23/2014 2
TRAD Amendments to Fee Schedule 10/07/2019 Certified 10/22/2019 2
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
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 10/08/2014 Certified 10/23/2014 4
IGDL Rule Change to reflect NALs 15-55 and 15-60 11/25/2015 Certified 12/10/2015 3
CMESEF Elimination of CME SEF Rule 524 ("Uncleared Swaps") 12/18/2015 Certified 01/05/2016 1
RADSEF TeraExchange is modifying its credit support obligations and daily notional limits for its USD/Bitcoin Non-deliverable Forwards and posting a Notice to Participants 06/15/2016 Certified 06/29/2016 3
CBOESEF Rule amendments related to Hotspot Holdings LLC acquisition of Javelin SEF, LLC. Amendments include change of Javelin SEF, LLC name to Bats Hotspot SEF LLC, committees, methods of trade execution and product listings. 12/09/2016 Certified 12/23/2016 2
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
SWAPX Amendment of certain trade practice and disciplinary rules 09/15/2016 Certified 09/29/2016 4
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
SPECTR Amending Rulebook, Submission of Fee Schedule, Submission of Discount Program 01/05/2024 Certified 01/22/2024 4
MKAXSEF MarketAxess SEF Corporation - Amended Request for Full Registration as a SEF (letter dated December 11, 2013) 12/12/2013 Certified 12/28/2013 1
ICAPSEF ICAP SEF Submission #ICAP-2014-R-2 - US Dollar Interest Rate Swap Central Limit Order Book Market Making Incentive Program. 04/03/2014 Certified 04/18/2014 1
NEXSEF Revised Fee Schedule, market maker program and discount program 06/12/2017 Certified 06/26/2017 4
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
LGX Revised Operations Manual 10/23/2021 Certified 11/05/2021 3
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - Adding rules regarding methods of using BSEF's SEF - effective June 21, 2014 BSEF 2014-R-3 06/06/2014 Certified 06/21/2014 1