Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 09/16/2014 Certified 09/30/2014 2
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 09/16/2014 Certified 09/29/2014 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit B. 09/10/2014 Certified 09/24/2014 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 Revised Facility Rulebook 09/09/2014 Certified 09/23/2014 2
GFISEF Revised Fee Schedule 09/08/2014 Certified 09/22/2014 2
BGC The following amendments to BGC Derivative Markets L.P.'s ("BGCDM") Rules update the BGC Derivative Markets, L.P. Contract Specifications ("Contract Specifications") in light of the ISDA 2014 Credit Event definitions. 09/17/2014 Withdrawn 09/18/2014 4
ICE SEF ICE Swap Trade, LLC is amending its Rulebook in order to (i) affect certain administrative/clerical revisions, and (ii) clarify the process by which IST intends to implement and enforce certain of its rules. 08/29/2014 Certified 09/15/2014 2
IGDL Revised Facility Rulebook 08/29/2014 Certified 09/15/2014 2
MKAXSEF MarketAxess SEF Corporation has made the rule changes listed below to update the MarketAxess SEF Rulebook to reflect recent developments and provide clarity. 08/25/2014 Certified 09/09/2014 4
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as more fully described in Exhibit B. 08/21/2014 Certified 09/05/2014 2
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
TDERIV Self-certification of rule amendments 08/07/2014 Certified 08/21/2014 4
IGDL Revised Facility Rulebook 08/06/2014 Certified 08/20/2014 2
TWSEF Revised and amended Rulebook for TW SEF LLC. 07/29/2014 Certified 08/12/2014 13
DWSEF Revised and amended Rulebook for DW SEF LLC. 07/29/2014 Certified 08/12/2014 13
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
ICAPSEF Revised Facility Rulebook 07/28/2014 Certified 08/11/2014 3
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
TDERIV Non-substantive and typographical and grammatical rulebook revisions. 07/22/2014 Certified 08/05/2014 2
TDERIV Weekly notification of non-substantive rulebook revisions. 08/05/2014 Notified 08/05/2014 2
ICE SEF ICE Swap Trade, LLC is revising its Trade Error Policy. 07/21/2014 Certified 08/04/2014 4
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
CMESEF Amendments to CME SEF Rule 803 to Reflect Recent Expiration of CFTC No-Action Relief 07/18/2014 Certified 08/01/2014 2
BGC Resubmission of Rule 505 - Contract Specifications are being amended to provide that persons entering into pre-discussed trades or cross trades in the specified Interest Rate Swaps, must wait at least 5 seconds after the Initial Order. BGC #2013-03 01/30/2014 Certified 07/29/2014 7
BSEF Bloomberg SEF LLC - Rule amendment - Amended Rulebook, (letter dated November 8, 2013) : Exhibit A, Exhibit B, Exhibit C, Cover Sheet 2013-R-7 11/12/2013 Certified 07/29/2014 1
TPSEF tpSEF Inc. Amended Fee Schedule (January 31, 2014) 02/03/2014 Certified 07/29/2014 1
TPSEF tpSEF Inc. Rulebook Amendments to Rule 4011(b) (February 20, 2014) 02/21/2014 Certified 07/29/2014 1
MKAXSEF Amended MarketAxess application for registration as a SEF. (September 30, 2013) 09/30/2013 Certified 07/29/2014 2
ICAPSEF Amendment to SEF Registration (9-27-13) 09/27/2013 Certified 07/29/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - Specifically Rules 204, 404, 503 and 506 ICAP 2014-R-6 07/11/2014 Certified 07/25/2014 0
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook IGDL - 2014-R-4 07/11/2014 Certified 07/25/2014 0
BSEF Bloomberg SEF LLC - Rule Amendment - Revised Fees 07/10/2014 Certified 07/24/2014 1
RF SEF Thomas Reuters - Amendments to Rulebook - Submission #14-03 07/08/2014 Certified 07/23/2014 1
GFISEF GFI Swaps Exchange - Submission #14-0015 - Notice to Participants regarding Holiday Closures and Modified Trading Hours. 07/03/2014 Certified 07/19/2014 1
LATAM LatAm SEF - Rule Amendment - Amended Rulebook LATAM #14-0002 07/03/2014 Certified 07/19/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAPSEF #2014-R-5 07/02/2014 Certified 07/18/2014 1
RF SEF Thomas Reuters SEF - Amendments to Rulebook - Submission 14-03 07/02/2014 Certified 07/18/2014 1
IGDL Revised Facility Rulebook 07/15/2014 Withdrawn 07/18/2014 5
GFISEF GFI Swaps Exchange LLC - Revised Fee Schedule - Submission #14-0014 07/01/2014 Certified 07/17/2014 1
TDERIV Policies and Procedures regarding trades not accepted for clearing; TRUSEF #2014-13S 06/30/2014 Certified 07/16/2014 1
TDERIV Updated Table of Amendments/Revisions to Rulebook. TRUSEF #2014-12SR 06/30/2014 Certified 07/16/2014 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook - effective July 1, 2014 Submission #2014-R-4 06/27/2014 Certified 07/15/2014 1
ICAPSEF ICAP SEF LLC - Rule Amendments - Amended Rulebook - ICAP SEF #2014-R-4A 06/27/2014 Certified 07/15/2014 1
IGDL ICAP Global Derivatives Limited - Rule Amendments - Amended Rulebook - IGDL #2014-R-3A 06/27/2014 Certified 07/15/2014 1
GFISEF Amendments to GFI Rule 1001(c) - to remove provisions that were adopted by GFI enacted to accommodate Staff No-Action Letter number 13-66 regarding transactions that failed to clear due to clerical or operational errors. Submission #14-0013 06/27/2014 Certified 07/15/2014 1
SWAPX SwapEX LLC - Rule Amendments - effective July 15, 2014 06/27/2014 Certified 07/15/2014 1
TDERIV Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S 06/26/2014 Certified 07/12/2014 1
IGDL Rulebook Amendment, specifically Rule 204. IGDL #2014-R-3 06/26/2014 Certified 07/12/2014 1
ICAPSEF ICAP SEF - Amended Rulebook - ICAPSEF #2014-R4 06/26/2014 Certified 07/12/2014 1