Swap Execution Facility Rules

Search Swap Execution Facility Rules using the following criteria
Reset
Organization Filing Description Receipt Date Status Date Remarks Documents
CBOESEF Cboe SEF is making certain amendments to its Fee Schedule, and is concurrently filing these amendments as an amendment to Exhibit K of its Form SEF. 08/04/2020 Certified 08/18/2020 1
CBOESEF Cboe SEF is seeking to modify certain rules relating to the limitation of its liability and its indemnification obligations to its participants 07/28/2020 Certified 08/11/2020 2
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
DWSEF Amendments to the DW SEF IRS Fee Schedule 07/21/2020 Certified 08/04/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 07/17/2020 Certified 07/31/2020 2
CBOESEF Cboe SEF is making certain amendments to its rulebook to modify the manner in which transaction confirmations are delivered to its Participants. 07/13/2020 Certified 07/27/2020 1
IGDL Amendments to the IGDL SEF Discount Structure Appendix 07/01/2020 Certified 07/16/2020 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook 06/19/2020 Certified 07/06/2020 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 06/18/2020 Certified 07/02/2020 2
NEXSEF Modifications to the NEX SEF Fee Schedule 06/16/2020 Certified 06/30/2020 2
TRAD Notice to Participant 20-03: Modifications to the Trad-X USD IRS Liquidity Provider Program 06/12/2020 Certified 06/26/2020 1
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
LGX Revision to LedgerX Rulebook 05/29/2020 Certified 06/12/2020 1
BSEF Bloomberg SEF LLC - Amended Compliance Manual (BSEF-2020-R-05) 05/21/2020 Certified 06/05/2020 1
BSEF Bloomberg SEF LLC - Amended Rulebook (BSEF-2020-R-04) 05/21/2020 Certified 06/05/2020 1
NEXSEF Amendments to Chapter 9 (adding an additional advanced order type) and to Annex 1 (ISDA Reporting Party Rules) 05/21/2020 Certified 06/05/2020 3
BSEF Amended governance documentation (Operating Agreement and Information About Board of Directors) 05/22/2020 Certified 06/05/2020 1
CBOESEF Cboe SEF has proposed certain amendments to its rulebook to introduce, among other things, a disclosed trading matching logic available by request to its Participants. 05/08/2020 Certified 05/22/2020 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of May 15, 2020. 05/20/2020 Notified 05/20/2020 1
TRAD Amendment to Rule 412(a), (b), (d) and (e) to permit confirmation to e directed to Broker Firm Participants. Amendment to Rule 508 to permit a work-up process to commence upon execution via a Request for Continuous Stream. 04/30/2020 Certified 05/14/2020 1
TPSEF Amendments to tpSEF's Rulebook and Compliance Manual. 04/29/2020 Certified 05/13/2020 2
NEXSEF Revision of Rule 315(b) to reduce the amount of time a Participant has to request review of a transaction's price following the execution of such transaction on the Facility from 15 minutes to 8 minutes. 04/21/2020 Certified 05/05/2020 3
360T The Rulebook has been amended in response to 360T functionality development. 04/17/2020 Certified 05/01/2020 6
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 04/13/2020 Certified 04/27/2020 1
TWSEF The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. 04/09/2020 Certified 04/23/2020 2
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc. notifies the CFTC that it will release the attached Notice to Participants on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
IGDL Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), ICAP Global Derivatives Limited notifies the CFTC that it will release the attached Market Regulation Advisory Notice on March 26, 2020. 03/26/2020 Certified 04/09/2020 1
IGDL Amendments to ICAP Global Derivatives Limited's Rulebook, Governance Policy and Compliance Manual. 03/24/2020 Certified 04/07/2020 2
TWSEF TW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
DWSEF DW SEF is self-certifying a Market Regulation Advisory Notice entitled COVID-19 Emergency Notice 03/20/2020 Certified 04/03/2020 2
LGX LedgerX Participant Incentive Program 03/20/2020 Certified 04/03/2020 3
NEXSEF Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. 03/18/2020 Certified 04/01/2020 2
CBOESEF Cboe SEF is adding a new rule to govern its full amount platform. 03/13/2020 Certified 03/27/2020 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of March 20, 2020. 03/26/2020 Notified 03/26/2020 1
LGX Submission of Revised fee schedule 03/04/2020 Certified 03/18/2020 2
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Compliance Manual 02/26/2020 Certified 03/11/2020 1
BSEF Bloomberg SEF LLC - Rule Amendment - Amended Rulebook 02/26/2020 Certified 03/11/2020 1
BSEF Bloomberg SEF LLC - Certification 2020-R-03 (Notice to Participants) Rule 516.A: Alleged Error Trade Correction 02/26/2020 Certified 03/11/2020 1
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) 02/21/2020 Certified 03/06/2020 2
TPSEF tpSEF is adopting the attached form of Prime Broker Acknowledgment Letter as provided in Exhibit A. 02/21/2020 Certified 03/06/2020 1
SWAPX Updates to the SwapEx SEF Rulebook to align with relevant regulation. 02/19/2020 Certified 03/04/2020 2
NEXSEF Updates to rulebook that specify Pre-Arranged Crosses may only be intermediated by bulk risk mitigation services. Update to table of contents. 02/13/2020 Certified 02/28/2020 3
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 02/13/2020 Certified 02/28/2020 1
TPSEF Amendments to tpSEF Fee Schedule 02/04/2020 Certified 02/19/2020 2
CBOESEF Cboe SEF is amending its rules to clarify the privileges of Participants prior to its establishment of a Market Maker program, the Orders that may be entered into its order book and the Fair Trade Ranges in respect of certain available Currency Pairs. 01/16/2020 Certified 01/31/2020 2
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 12/23/2019 Certified 01/08/2020 2
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
NEXSEF Market Regulation Advisory Notice 2020-01 and related rulebook amendment 12/18/2019 Certified 01/03/2020 2
TPSEF Amendments to tpSEF Fee Schedule 12/13/2019 Certified 12/30/2019 2
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2