Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TDERIV Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates 11/18/2015 Certified 12/03/2015 1
BGC The attached amendments are technical changes in response to suggestions and guidance from CFTC staff. 11/18/2015 Certified 12/03/2015 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. 11/17/2015 Certified 12/02/2015 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. 11/11/2015 Certified 11/25/2015 1
GFISEF Various Rulebook Amendments 11/11/2015 Certified 11/25/2015 1
ICE SEF ICE Swap Trade, LLC ("IST") is amending its Rulebook and Block Trade FAQ. 11/06/2015 Certified 11/23/2015 3
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. 11/03/2015 Certified 11/18/2015 1
BSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of theregulations of the Commodity Futures Trading Commission (the "CFTC", or the "Commission"),Bloomberg SEF LLC ("BSEF") hereby notifies the Commission that it has 11/03/2015 Certified 11/18/2015 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 and Risk Mitigation Procedures. 10/30/2015 Certified 11/16/2015 1
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
DWSEF DW SEF Amended Rulebook 10/29/2015 Certified 11/13/2015 4
GFISEF Various Rulebook Amendments 10/23/2015 Certified 11/06/2015 1
GTX Fee schedule Amendment 10/22/2015 Certified 11/05/2015 1
TDERIV Notification of SEF pricing structure effective 11/3/15 10/20/2015 Certified 11/03/2015 1
CBOESEF Rule amendments related to Phase 1 Questions 10/16/2015 Certified 10/30/2015 1
CBOESEF Rule amendments related to Phase 2 Questions, SEF Review Document and SDR reporting 10/16/2015 Certified 10/30/2015 3
IGDL IGDL has revised its Fee Schedule 10/15/2015 Certified 10/29/2015 2
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. 10/15/2015 Certified 10/29/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 10/08/2015 Certified 10/23/2015 2
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 and Risk Mitigation Procedures. 10/07/2015 Certified 10/22/2015 1
BGC Amending rules for determining speculative position limits or position accountability. 10/06/2015 Certified 10/21/2015 1
BGC Amendments to the fee schedule. 10/06/2015 Certified 10/21/2015 2
BGC These rule amendments are cumulative and are in response to suggestions and guidance from the staff. 10/06/2015 Certified 10/21/2015 1
TDERIV Submission contains various rule amendments, many of which are being made at the request of DMO Staff as part of the review process of trueEX's SEF application. 10/05/2015 Certified 10/20/2015 1
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
DWSEF DW SEF Amended Rulebook 09/30/2015 Certified 10/15/2015 4
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebook to reflect recent developments are provide clarity. 09/30/2015 Certified 10/15/2015 4
GFISEF Various Rulebook Amendments 09/30/2015 Certified 10/15/2015 2
GFISEF Matching Session Description 09/30/2015 Certified 10/15/2015 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. 09/29/2015 Certified 10/14/2015 1
360T Rulebook and User Guides updated in view of CFTC comments and participant queries. 09/30/2015 Certified 10/14/2015 5
IGDL Amendment to Confidential Rule 902. 09/23/2015 Certified 10/07/2015 2
CMESEF Revisions to CME SEF Recordkeeping and Reporting Procedures and CME SEF Rules 526 and 528 09/22/2015 Certified 10/06/2015 1
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 10/05/2015 Notified 10/05/2015 1
TRAD Amendments to Tradition SEF Rulebook. 09/21/2015 Certified 10/05/2015 2
MKAXSEF MarketAxess SEF Corporation files this notification due to the series roll of several products MarketAxess SEF Corporation lists for trading. 09/28/2015 Notified 09/28/2015 1
RF SEF Thomson Reuters (SEF) LLC ("TR SEF") wishes to amend certain rules in its Rulebook. 09/11/2015 Certified 09/25/2015 2
BSEF Notification of Bloomberg SEF LLC's intention to release a Notice to Participants on September 11, 2015, which will provide guidance to Participants regarding Bloomberg SEF LLC's policy governing error trades. 09/10/2015 Certified 09/24/2015 1
BSEF Bloomberg SEF LLC hereby submits its self-certification of the BSEF Rulebook, to be effective on September 24, 2015. 09/09/2015 Certified 09/23/2015 2
SWAPX Clarifications and updates to existing rules 09/04/2015 Certified 09/21/2015 4
TDERIV Non-substantive Rulebook Amendments 09/21/2015 Notified 09/21/2015 2
BGC The attached amendments are made in response to suggestions and guidance from staff. 08/31/2015 Certified 09/15/2015 1
TPSEF CFTC Regulation 40.6(a) rule certification in connection with certain amendments to tpSEF's Rulebook being made in connection a request by the CFTC's Division of Market Oversight dated August 11, 2015. 08/27/2015 Certified 09/11/2015 1
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Certified 09/03/2015 3
GFISEF Various Rulebook Amendments 08/14/2015 Certified 08/28/2015 2
ICE SEF ICE Swap Trade, LLC is amending its Rulebook and Error Trade Policy. 08/13/2015 Certified 08/27/2015 3
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes below to update the MarketAxess SEF Rulebookto reflect recent developments and provide clarity. 08/07/2015 Certified 08/21/2015 4
IGDL Regulation 40.6(a) Rule Certification of Managed Order Rule 08/20/2015 Withdrawn 08/21/2015 3
GFISEF 40.6(a) Submission Announincg Notice 15-1 "Block Treatment of Packagae Transactions" 08/05/2015 Certified 08/19/2015 2