Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BGC BGC Derivatives Markets, L.P. Rule Implementation Submission 2013-02 (Amended Rulebook) 11/01/2013 Certified 11/19/2013 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/24/2014 Certified 11/07/2014 2
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
TDERIV Amended language at the request of the CFTC Division of Enforcement to ensure these rules regarding fraudulent acts and market manipulation are consistent with the Commodity Exchange Act and CFTC Regulations. 09/21/2016 Certified 10/05/2016 4
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
BSEF Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) 09/15/2022 Certified 09/29/2022 1
BSEF BSEF fee schedule amendment 08/29/2023 Certified 09/13/2023 1
CBOESEF Javelin SEF Holiday Schedule for 2013 - 2014 11/21/2013 Certified 12/07/2013 1
CBOESEF Javelin SEF Amendments to its Rulebook: Rules 405, 512 and 520. Submission No. 14-03 Letter dated February 11, 2014 02/11/2014 Certified 02/27/2014 1
TPSEF tpSEF Inc. - Amending its Fee Schedule -- TPSEF Submission #14-02F 06/12/2014 Certified 06/27/2014 1
BSEF Bloomberg SEF LLC - 40.6(a) Rule Amendment - Amended Rulebook (BSEF-2021-R-06) 07/09/2021 Certified 07/23/2021 1
DWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 3
LGX Rulebook Amendment 07/27/2022 Certified 08/10/2022 2
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
RTX RTX revised Fee Schedule 10/19/2023 Certified 11/02/2023 2
TPSEF tpSEF, Inc. Rulebook Amendments to Rules 1000, 4003, 4011, 4016 and 8001. Letter dated February 14, 2014 02/18/2014 Certified 03/05/2014 1
MKAXSEF MarketAxess SEF Update Rulebook to reflect recent developments and to provide clarity. (February 14, 2014) 02/14/2014 Certified 03/04/2014 1
LGX Revised Enterprise Risk Management Plan 05/31/2019 Certified 06/14/2019 1
INFXSEF INFX SEF Amendments to Rulebook to incorporate changes requested by Commission Staff to ISEF Notice 13-02 submitted to the Commission on October 10, 2013. 10/25/2013 Certified 11/09/2013 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
SWAPX Advisory Notice 01-19 (SwapEx Trading Procedures and Protocols), updates Advisory Notice 01-15, revised December 14, 2015. The material change updated the maximum time allowed for the "Standard RFQ Review Period" and "Reverse RFQ Review Period". 06/03/2019 Certified 06/17/2019 1
INFXSEF INFX SEF, Inc. - Amendments to Rulebook - Notice 13-06 (Letter dated December 16, 2013) 12/17/2013 Certified 01/03/2014 1
ICAPSEF Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this filing. 01/30/2015 Certified 02/13/2015 3
GFISEF Amendments to Rulebook and Notice to Participants regarding the Block Trade Treatment of Package Transactions 01/04/2016 Certified 01/19/2016 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. The amended Rulebook will become effective on April 12, 2016. 03/28/2016 Certified 04/11/2016 1
ICAPSEF Amended Form SEF pursuant to Regulation 37.3(b)(3) 08/11/2016 Certified 08/25/2016 5
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook. 09/21/2016 Certified 10/05/2016 4
BSEF Bloomberg SEF LLC Compliance Manual 05/02/2019 Certified 05/16/2019 2
IGDL Amendments to the IGDL SEF Discount Structure Appendix 12/18/2020 Certified 01/05/2021 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the LATAM EBS NDF Streaming Incentive Program 03/14/2023 Certified 03/28/2023 2
RTX Revision of SEF Compliance Manual 03/07/2024 Certified 03/21/2024 3
IGDL Amendments to the IGDL SEF Discount Structure Appendix 04/24/2024 Certified 05/08/2024 1
GFISEF Launch of Interest Rate Swap Sponsored Access Incentive Program. GFISEF #13-0010 12/17/2013 Certified 01/03/2014 2
IGDL Revised Rulebook. Confidential Chapter 9 has been redacted from the Rulebook for this submission. 01/30/2015 Certified 02/13/2015 3
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook 12/01/2017 Certified 12/15/2017 2
BSEF Bloomberg SEF LLC Rulebook 05/02/2019 Certified 05/16/2019 1
GFISEF GFI Swaps is publishing certain revisions to its fee schedule. GFISEF #14-0010 05/06/2014 Certified 05/21/2014 1
BGC We are submitting on behalf of our client, BGC Derivative Markets L.P. ("BGC"), the attached proposed rule amendments. 01/05/2016 Certified 01/20/2016 1
SWAPX SwapEx, LLC amendment to its application for registration as a swap execution facility. (October 25, 2013) 10/28/2013 Certified 11/13/2013 0
RF SEF Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 11/22/2013 Certified 12/10/2013 1
RADSEF TeraExchange response to Staff's supplemental 43 and 45 reporting questions. 12/19/2014 Certified 01/06/2015 1
ICAPSEF Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 1
TDERIV Amendment of certain rules relating to Block trades and package transactions due to No-Action Letters 17-60 and 17-55 12/31/2017 Certified 01/16/2018 1
LGX Rulebook updates 04/08/2022 Certified 04/22/2022 2
ICE SEF ICE Swap Trade - Rule Amendment - Amended Rulebook - Submission 14-10 March 25, 2014 03/25/2014 Certified 04/09/2014 1
IGDL Amendment to reflect NAL 16-58 06/28/2016 Certified 07/13/2016 3
ICE SEF Part 40 Rule Amendment - Amended Fee Schedule 05/09/2017 Certified 05/23/2017 3
LGX A routine update to reflect details of intermediated trading on LedgerX's exchange. 12/04/2017 Certified 12/18/2017 1
GTX Amendments to the GTX SEF Rule Book. Please see table in the submission file for rule amendments. 02/16/2018 Certified 03/05/2018 1