Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2023-R-02) 05/10/2023 Certified 05/24/2023 1
CBOESEF Introduction of second SEF Trading System in LD4. 05/02/2023 Certified 05/16/2023 1
LATAM 40.6(a) Certification of LatAm SEF Rulebook, Version 1.13 04/04/2023 Certified 04/18/2023 1
360T terminology update 03/24/2023 Certified 04/07/2023 7
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
CBOESEF Clarifies the SEF only supports Permitted Transactions in swaps not intended to be cleared, through the execution methods detailed in Chapter 5. 03/23/2023 Certified 04/06/2023 2
CBOESEF The Amendment makes various clarifications and enhancements to existing rules to conform to current practices. 03/22/2023 Certified 04/05/2023 2
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 03/20/2023 Certified 04/03/2023 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
NEXSEF Amendments to NEX SEF Limited Rulebook and Compliance Manual 03/13/2023 Certified 03/27/2023 4
AEGIS Amendments to Rulebook and Participant Agreement. 03/07/2023 Certified 03/21/2023 4
SPECTR In accordance with Commission Regulation 40.6(a), this is a submission by SpectrAxe LLC ("SpectrAxe") of amendments to its Rulebook for the reasons listed in Attachment A to this filing. 02/27/2023 Certified 03/13/2023 1
AEGIS Amended AEGIS SEF Exhibit K - Fee Schedule 02/24/2023 Certified 03/10/2023 3
TPSEF Amendments to the tpSEF Fee Schedule 02/22/2023 Certified 03/08/2023 2
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook 01/30/2023 Certified 02/13/2023 1
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
AEGIS Administrative changes to Participant Agreement and Market Participant Addendum. 01/27/2023 Notified 01/27/2023 2
RADSEF Inclusion of Product Terms and Conditions 12/21/2022 Certified 01/06/2023 4
CBOESEF Update Fee Schedule 12/15/2022 Certified 12/30/2022 1
RF SEF RSEF is proposing to amend its fee schedule in order to extend its Request for Stream Incentive through the first half of 2023 and clarify the separate fees for Request for Quote ("RFQ") and Request for Stream ("RFS"). 12/12/2022 Certified 12/27/2022 2
BSEF Bloomberg SEF LLC - Certification 2022-R-07 (Notice to Participants) 12/02/2022 Certified 12/16/2022 1
CBOESEF The Amendment memorializes Cboe SEF's policies regarding tag management and clarifies the SEF's ability to provide a counterparty settlement code during the ORT for non-firm liquidity. 12/01/2022 Certified 12/15/2022 1
CBOESEF Implementation of market maker program. 12/01/2022 Certified 12/15/2022 1
CBOESEF The Amendment will memorialize Cboe SEF's Statement of Commitment to the FX Global Code. 12/01/2022 Certified 12/15/2022 1
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2
DWSEF Notice to participants- SDR rewrite 11/22/2022 Certified 12/07/2022 2
RF SEF Refinitiv US SEF LLC ("RSEF") wishes to amend its Rulebook in order to reflect certain amendments related to the reporting counterparty hierarchy under Commission Regulation 45.8, and to clarify requirements when a Participant's LEI is changed in any way. 11/21/2022 Certified 12/06/2022 2
AEGIS Amendments to Rulebook and Participant Agreement 11/21/2022 Certified 12/06/2022 4
BSEF Bloomberg SEF LLC - 40.60 Rule Amendment - Amended Rulebook (BSEF-2022-R-06) 11/18/2022 Certified 12/05/2022 1
LATAM 40.6(a) certification of LatAm SEF Rulebook, version 1.12 11/16/2022 Certified 12/01/2022 1
CBOESEF Creates new rule 909, which defines, "Confidential Information," and imposes obligations on Participants that receive Confidential Information from Cboe SEF. 11/04/2022 Certified 11/21/2022 1
CBOESEF Clarifies Cboe SEF's practices in relation to the European Union (EU) General Data Protection Regulation (GDPR). 11/04/2022 Certified 11/21/2022 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2022-R-05) 11/03/2022 Certified 11/18/2022 1
LGX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
NEXSEF Modifications to the NEX SEF Fee Schedule for the Implementation of the EBS LatAm NDF SEF Connectivity Incentive Program & Termination of the African & Middle East NDF Market Maker Program 10/28/2022 Certified 11/14/2022 2
AEGIS Amendments to Exhibit N-1 Participant Agreement 11/03/2022 Notified 11/03/2022 2
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 Amendment to Exhibit A to Form SEF 10/18/2022 Certified 11/01/2022 1
AEGIS The rule amendment modifies SEF authority over Participants with respect to inspections, trade reviews, position transfers and record requests to be congruent with the transactions taking place on the SEF. 10/14/2022 Certified 10/28/2022 3
TWSEF TW SEF Fee Schedule Update 10/11/2022 Certified 10/25/2022 2
LGX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
LGX Self certification of revisions to compliance manual. 10/03/2022 Certified 10/18/2022 3
ISBV Updated Fee Structure and Incentives to reflect volatile markets. Nosubstantive changes to the quantum of fees or incentives 09/30/2022 Certified 10/14/2022 3
AEGIS The rule certification submission addresses the AEGIS SEF Liquidity Provider Program. 09/22/2022 Certified 10/06/2022 2
NEXSEF Amendments to the NEX SEF Limited Trading Participant Holder Agreement 09/15/2022 Certified 09/29/2022 2
BSEF Bloomberg SEF LLC - Certification 2022-R-1 (Notice to Participants) 09/15/2022 Certified 09/29/2022 1
AEGIS The rule amendment submission addresses Part (3) of the CFTC's Order of Registration In the Matter of the Application of AEGIS SEF, LLC for Registration as a Swap Execution Facility on July 19, 2022. 09/13/2022 Certified 09/27/2022 3
AEGIS Contract Position Accountability Levels Table 08/30/2022 Certified 09/14/2022 1
CBOESEF Update Rule 216 which defines the authority of the Regulatory Oversight Committee (ROC) to conform to recent changes the ROC made to itscharter. 08/18/2022 Certified 09/01/2022 1
CBOESEF Update the appeal provisions under Cboe SEF's Rules. 08/18/2022 Certified 09/01/2022 1