Swap Execution Facilities

Swap Execution Facilities: Forms and Submissions

This page contains forms and other documents related to the Swap Execution Facilities (SEFs) operating under the regulatory oversight of the CFTC, pursuant to Section 5h of the Commodity Exchange Act (CEA). More information about SEFs is available in the Industry Oversight section.

Submission

Forms

Rules

Instructions & Remarks

Application for Registration as a Swap Execution Facility

Form SEF (PDF)

Technology Questionnaire (PDF)

Part 37.3

 

Amendments to Registration

Form SEF (PDF)

Part 37.3

 

Rules – New and Amended
-- 40.5(a) Approval,
-- 40.6(a) Certification,
-- 40.6(d) Weekly Notification of Amendments

Submission Cover Sheet (PDF)

Part 40

Rules and Rule Amendments

Products
-- 40.2(a) Certification,
-- 40.2(d) Certification Swaps Class,
-- 40.3(a) Approval

Submission Cover Sheet (PDF)

Part 40

Listing Procedures

Product Terms and Conditions – New and Amended
-- 40.5(a) Approval,
-- 40.6(a) Certification,
-- 40.6(d) Weekly Notification of Amendments

Submission Cover Sheet (PDF)

Part 40

Rules and Rule Amendments

Clearing Member Data

FTP Submission

Part 16

Large Trader Reporting Program

Swaps Daily Price and Volume Activity Data Reporting

FTP Submission

Part 16.01

Part 16 Swap Reporting Daily Price and Volume Activity – Interim Standard (PDF)

NFA Product Taxonomy v. 1.4 for Swaps Daily Price and Volume Activity Data Reporting

FTP Submission

Part 16.01

NFA Product Taxonomy v. 1.4 (XLS)