Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TDERIV self certification of fees for the SEF Trading System 11/06/2016 Certified 11/21/2016 1
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
BGC BGC Derivative Markets, L.P. submits these proposed rule amendments to add two order types for the execution of Required Transactions. 12/14/2020 Certified 12/29/2020 1
LGX LedgerX Updated Rulebook 01/31/2021 Certified 02/12/2021 1
AEGIS The rule amendment submission enables AEGIS SEF to accept pre-arranged or pre-negotiated trades which can be brought to the SEF for execution by a Broker Firm, similar to other SEFs. 10/19/2022 Certified 11/02/2022 6
CBOESEF Javelin SEF, LLC Submission 14-05 Rule Amendment - Rules 213, 309, 511, 515, 901, 905. April 4, 2014 04/04/2014 Certified 04/19/2014 1
GFISEF GFI Swaps Exchange - Various Rule Amendments - GFISEF #14-0011M 06/09/2014 Certified 06/24/2014 1
360T Revision of Rulebook and User Guides 11/26/2015 Certified 12/09/2015 14
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
RADSEF Rule amendments to remove references to expired No-Action Letters and add references to new No-Action Letters 03/30/2018 Certified 04/13/2018 3
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
IGDL Amendments to IGDL rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
DWSEF DW SEF Cover Letter re Incentive Program (12.21.15)DW SEF Electronic Participation Incentive Program (Dec 2015)DW SEF FOIA Request and Justification (12.21.15) 12/21/2015 Certified 01/06/2016 1
BSEF Emergency Rule Certification 12/09/2016 Certified 12/23/2016 1
TPSEF Amendments to tpSEF rulebook and compliance manual. 12/07/2021 Certified 12/21/2021 2
DWSEF Amending Rulebook in response to comments and questions received from CFTC staff and potential participants of DW's SEF (October 18, 2013) 10/21/2013 Certified 11/05/2013 0
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
NEXSEF Market Regulation Advisory Notices and Rulebook Amendment 12/15/2017 Certified 01/02/2018 4
BSEF Amended Compliance Manual 04/02/2018 Certified 04/16/2018 2
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 08/10/2018 Certified 08/24/2018 2
TWSEF TW SEF LLC has amended its Rulebook in response to comments and questions received from the Commission staff and potential participants of its SEF. (10-18-13) 10/21/2013 Certified 11/05/2013 0
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
BGC Amendment to the Volume Match and Volume Match prices rules. 05/27/2015 Certified 06/10/2015 1
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
DWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
BGC Technical corrections and amendments to rules. 05/27/2015 Certified 06/10/2015 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
TWSEF Rule book amendments in response to recent changes to the SEF rules by the CFTC 02/02/2021 Certified 02/17/2021 3
CBOESEF Rule amendments relate to Package Trades and setting pre-trade credit check limits for Javelin SEF Participants that are self clearing. 07/21/2014 Certified 08/04/2014 3
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
RTX Self Certification of our Fee Schedule 10/03/2023 Certified 10/18/2023 2
GFISEF GFI Swap Submission #14-0004 - Amendments to Rules 101, 508, 528, 529, 533, 601, 602, 1001. (March 17, 2014) 03/18/2014 Certified 04/02/2014 0
ICAPSEF Amended Rulebook 10/10/2014 Certified 10/27/2014 1
TWSEF Market Regulation Advisory Notice: Trading and Execution Protocols 04/06/2015 Certified 04/20/2015 2
BSEF Rulebook Amendment 04/27/2017 Certified 05/11/2017 1
NEXSEF Rule change to reflect that interest rate swaps in SGD are now cleared. 11/02/2018 Certified 11/19/2018 3
NEXSEF Conforming Amendments to NEX SEF Limited Form SEF to Reflect Revisions to the NEX SEF Board of Directors Composition 12/14/2020 Certified 12/29/2020 2
SEED CX An updated rulebook, modified during usual review of rule consistencies and market structure. 09/01/2017 Certified 09/18/2017 3
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
TWSEF TW SEF Cover Letter (12.22.15)Ex. A - TW SEF Chart of Rule ChangesEx. B - TW SEF Rulebook (Clean 12.22.15)Ex. C - TW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
MKAXSEF Rulebook changes to reflect recent developments and to provide clarity. 11/09/2016 Certified 11/25/2016 4
IGDL Amendment to IGDL's Rulebook. 12/18/2017 Certified 01/03/2018 1
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
CBOESEF Javelin SEF LLC - Rule Amendment - Amended Rule 516 - effective June 23, 2014 06/09/2014 Certified 06/24/2014 1
DWSEF DW SEF Cover Letter re Rule ChangesEx. A - Chart of DW SEF Rule ChangesEx. B - DW SEF Rulebook (Clean 12.22.15)Ex. C - DW SEF Rulebook (Marked 12.22.15) 12/22/2015 Certified 01/07/2016 4
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
DWSEF DW SEF LLC Amendment of Rule 901 (Swap Specifications) 12/09/2021 Certified 12/23/2021 3
360T 360 Trading Networks Inc. - Rulebook Amendments - Rules 524(b),...,709(d),..., 715(f) 04/03/2014 Certified 04/18/2014 1