Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NEXSEF Modifications to the NEX SEF LATAM EBS NDF Streaming Incentive Program 02/11/2022 Certified 02/28/2022 2
TPSEF This submission contains a selfcertification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit A. 10/14/2014 Certified 10/27/2014 2
DWSEF DW SEF Cover Letter re Rule Changes (11.30.15)Ex. A - DW SEF Chart of Rulebook Changes (11.30.15)Ex. B - DW SEF Rulebook (Clean 11.30.15)Ex. C - DW SEF Rulebook (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
IGDL Amended Rulebook 11/29/2017 Certified 12/13/2017 1
SEED CX Updating Various Rules in the Seed SEF Rulebook 08/14/2019 Certified 08/28/2019 1
BSEF Amending Rulebook in response to comments and questions received from Commisson staff, potential users of BSEF's SEF, and updated to reflect certain trading protocols to be made availablae by BSEF. 09/13/2013 Certified 09/28/2013 5
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
TWSEF TW SEF Letter re Rule Changes (11.30.15)Ex. A - Chart of TW SEF Rule Changes (11.30.15)Ex. B - TW SEF Rules (Clean 11.30.15)Ex. C - TW SEF Rules (Marked 11.30.15) 11/30/2015 Certified 12/14/2015 4
SWAPX Rule amendment to update a reference to a CFTC no-action letter and other clarifying rule amendments 06/15/2016 Certified 06/29/2016 4
IGDL Fee Card and Discount Appendix amendment 12/12/2016 Certified 12/27/2016 2
SWAPX amendment of rule concerning policies on screening of customers 03/05/2015 Certified 03/19/2015 4
IGDL Revised Rulebook 05/28/2015 Certified 06/11/2015 7
CBOESEF Introduction of Order Operator ID and amendments to Authorized Trader registration. 05/31/2023 Certified 06/14/2023 1
ICAPSEF Revised Rulebook 05/28/2015 Certified 06/11/2015 7
BSEF Bloomberg SEF LLC - Certification 2023-R-05 (Notice to Participants). Note that Product was already subject to a 40.2(a) certification, therefore trading will resume on June 3, 2023. 05/31/2023 Certified 06/14/2023 1
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
NEXSEF Amendments to NEX SEF Limited Form SEF Exhibits for Migration to the CME Globex Electronic Trading Platform and General NEX SEF/CME Group Integration (Phase II) 06/14/2022 Certified 06/29/2022 2
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
ICE SEF ICE Swap Trade - Rulebook amendments: clarify the process by which IST intends to implement and enforce its rules; responding to relevant CFTC guidance/comments. ICE SEF #14-08 03/18/2014 Certified 04/02/2014 1
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. 03/24/2020 Certified 04/07/2020 2
ICE SEF Issuance of a "SEF Notice" concerning acceptable trading protocols under SEF Rule 702 (Brokered Trades). ICE SEF #14-09 03/19/2014 Certified 04/03/2014 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 12/22/2015 Certified 01/07/2016 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 11/02/2018 Certified 11/19/2018 1
GFISEF GFI Swaps - Amendments to GFI Rules 101, 508, 528, 529, 533, 601, 602, 1001. GFISEF #14-0007 03/18/2014 Certified 04/02/2014 1
CBOESEF Javelin SEF, LLC - New Fee Schedule - Submission #14-07 06/10/2014 Certified 06/25/2014 0
TPSEF Updates to the tpSEF Risk Mitigation Procedures 07/01/2019 Certified 07/16/2019 1
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
SWAPX Various amendments that generally clarify existing rules. 11/25/2014 Certified 12/10/2014 4
CBOESEF Rule Amendment related to CFTC No-Action Letter 16-84 06/16/2016 Certified 06/30/2016 3
ICE SEF ICE Swap Trade, LLC is amending its Rulebook, Block Trade FAQ and Error Trade Policy. 07/10/2015 Certified 07/24/2015 3
MKAXSEF MarketAccess SEF Corporation has updated Exhibit Q-2 to reflect recent developments and provide clarity. 12/18/2015 Certified 01/05/2016 4
TWSEF Notice to Participants- Cleared Error Swaps- procedures and requirements 08/22/2023 Certified 09/06/2023 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
GFISEF Revised fee schedule 11/25/2014 Certified 12/10/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Error Trade Policy. 03/06/2015 Certified 03/20/2015 6
TRAD Amendments to the tradition SEF Fee Schedule. 12/12/2016 Certified 12/27/2016 1
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and to provide clarity. 09/09/2014 Certified 09/23/2014 4
ICAPSEF Fee Card Amendment 06/16/2016 Certified 06/30/2016 2
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TWSEF Updated Notice to all TW SEF Participants regarding when block treatment of a Package Transactions is appropriate. 10/16/2014 Certified 10/30/2014 2
ICAPSEF Revised Fee Schedule and New Market Maker Incentive Programs 03/06/2015 Certified 03/20/2015 2
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
IGDL Fee Card amendment 06/16/2016 Certified 06/30/2016 2
TDERIV Certification of fee schedule and designation market maker program for trueDigital Products 11/06/2018 Certified 11/21/2018 2
DWSEF Updated Notice to all DW SEF Participants regarding when block treatment of a Package Transaction is appropriate. 10/16/2014 Certified 10/30/2014 2
BSEF CFTC Regulation 40.6(a) Certification. Product Related Amendment to the BSEF LLC Rulebook. 11/29/2023 Certified 12/13/2023 1
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 11/20/2013 Certified 12/06/2013 0
RADSEF Added and amended rules clarify the information that may be requested of Participants during onboarding; the relationships to Tera; the process for pre-order credit checks and other procedural clarifications. TERAEXC #2014-01 01/16/2014 Certified 02/01/2014 1
ICAPSEF Revised Fee Card market maker program 11/11/2016 Certified 11/28/2016 2