SEF Registration

SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance

The Commission has issued proposed rules to implement the SEF Registration Requirements and Core Principle rules, Interpretations, and Guidance under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Additional information regarding SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Proposed Rule: 85 FR 9407 // PDF Version
2/19/2020
17 CFR Parts 36, 37, and 43
Swap Execution Facility Requirements and Real-Time Reporting Requirements
Comment File – Closing Date: 4/20/2020

Proposed Rule: 84 FR 72262 // PDF Version
12/31/2019
17 CFR Chapter 37
Post-Trade Name Give-Up on Swap Execution Facilities
Comment File - Closing Date: 3/2/2020

See also:

83 FR 61571, 11/30/2018 // PDF Version
17 CFR Chapter I Post-Trade Name Give-Up on Swap Execution Facilities

84 FR 3350, 2/12/2019 // PDF Version
17 CFR Chapter I Post-Trade Name Give-Up on Swap Execution Facilities

Proposed Rule: 84 FR 3350 // PDF Version
02/12/2019
17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement
Extension of comment period
Comment File - Closing Date: 03/15/2019

See also:

83 FR 61946 // PDF Version
11/30/18
17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement

Final Rule: 78 FR 36606 // PDF Version
6/04/2013
17 CFR Parts 37 and 38
Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Effective Date: Monday, August 05, 2013

Final Rule: 78 FR 33476 // PDF Version
06/04/2013
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Effective Date: Monday, August 05, 2013

See also:

78 FR 47154 // PDF Version
8/05/2013
17 CFR Part 37
Correction: Core Principles and Other Requirements for Swap Execution Facilities; Correction

Proposed Rule: 76 FR 77728 // PDF Version
12/14/2011
17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act
Comment File - Closing Date: 2/13/2012

Proposed Rule: 76 FR 58186 // PDF Version
9/20/2011
17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
Comment File - Closing Date: 11/4/2011

Proposed Rule: 76 FR 1214 // PDF Version
1/7/2011
17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
Comment File - Extended Date: 6/3/2011