Participant Notices, CFTC Filings & Product Certifications

In order to provide a transparent regulatory framework for market users, GFI Swaps Exchange LLC publishes and maintains its own set of rules.

Rulebook

GFI Swaps Exchange LLC Rulebook Nov 15, 2022

Participant Notices

  
Notice 22-2: GFISEF CFTC P43 P45 Rewrite Dec 05, 2022
Notice 22-1: GFI SEF Holiday Calendar Feb 16, 2022
Notice 16-7: Straight Through Processing Jul 14, 2016
Notice 15-1: Block Trade Treatment of Package Transactions Aug 06, 2015
Notice 14-18: 2015 Holiday Closures Dec 23, 2014
Notice 14-17: Modifications to Fee Schedule Dec 03, 2014
Notice 14-16: Fee Schedule Revisions Nov 11, 2014
Notice 14-15: Rulebook Amendments Oct 17, 2014
Notice 14-14: New Fee Schedule Sep 23, 2014
Notice 14-13: Holiday Closures Jul 03, 2014
Notice 14-12: Revised Fee Schedule Jul 01, 2014
Notice 14-11: Amended Rulebook and CDS Error Policy Jun 11, 2014
Notice 14-10: Rulebook Amendments Jun 05, 2014
Notice 14-9: Submission of Participants' Disclosure Documents May 21, 2014
Notice 14-8: Revised Fee Schedule May 06, 2014
Notice 14-7: Rulebook Amendments Apr 07, 2014
Notice 14-6: Amended Rulebook Mar 26, 2014
Notice 14-2R: USD IRS Market Maker Incentive Program Mar 05, 2014
Notice 14-5: Submission of Participants' Financials Feb 27, 2014
Notice 14-4: Revised Fee Schedule Feb 27, 2014
Notice 14-3: Revised Rulebook Feb 20, 2014
Notice 14-2: USD IRS Market Maker Incentive Program Feb 05, 2014
Notice 14-1: Changes to post-trade protocols for credit default swaps Jan 28, 2014
Notice 13-0012: Revised Rule 507(c) Dec 20, 2013
Notice 13-0011: Rulebook Amendments Dec 20, 2013
Notice 13-0009: Revised Fee Schedule Dec 17, 2013
Notice 13-0010: IRS Sponsored Access Incentive Program Dec 16, 2013
Notice 13-0008: Revised Rulebook Dec 11, 2013
Notice 13-0006: Holiday Schedule Nov 27, 2013

Notice of Disciplinary Actions

  
Disciplinary Action 2022-01 Nov 18, 2022

CFTC Filings

  
Submission 22-0002: Rulebook Amendments Oct 31, 2022
Submission 22-0001: Rulebook Amendments Feb 28, 2022
Submission 21-0002: Rulebook Amendments Jan 04, 2022
Submission 21-0001: Rulebook Amendments Mar 08, 2021
Submission 20-0001r: Rulebook Amendments Oct 22, 2020
Submission 17-0001: Rulebook Amendments Jan 09, 2017
Submission 15-0006R: Rulebook Amendments Oct 13, 2015
Submission 15-0006: Rulebook Amendments Sep 30, 2015
Submission 15-0007: Matching Session Description Sep 30, 2015
Submission 15-0005R: Rulebook Amendments Aug 25, 2015
Submission 15-0005: Rulebook Amendments Aug 14, 2015
Submission 15-0004: Rulebook Amendments Aug 06, 2015
Submission 15-0003: Modifications to Fee Schedule May 13, 2015
Submission 15-0002 - Rule Amendment Apr 15, 2015
Submission 15-0001: Rulebook Amendments Mar 05, 2015
Submission 14-0024PW: Rulebook Amendments Jan 26, 2015
Submission 14-0024: Rulebook Amendments Jan 26, 2015
Submission 14-0022: 2015 Holiday Closures Dec 23, 2014
Submission 14-0021: Modification of Fee Schedule Dec 03, 2014
Submission 14-0020: Fee Schedule Revisions Nov 11, 2014
Submission 14-0019: Rule Amendment Oct 17, 2014
Submission 14-0018PW: Partial Withdrawal of Rulebook Amendment Oct 17, 2014
Submission 14-0018: Rulebook Amendments Oct 17, 2014
Submission 14-0017: Agricultural Swaps Certification Sep 23, 2014
Submission 14-0016: New Fee Schedule Sep 23, 2014
Submission 14-0015: Holiday Closures Jul 03, 2014
Submission 14-0014: Revised Fee Schedule Jul 01, 2014
Submission 14-0013: Amended Rule 1001(c) Jul 01, 2014
Submission 14-0012: Amended Rulebook and CDS Error Policy Jun 11, 2014
Submission 14-0011: Amended Rulebook Jun 02, 2014
Submission 14-0010: Revised Fee Schedule May 06, 2014
Submission 14-0009: iBoxx Standardized TRS Indices Certification Apr 09, 2014
Submission 14-0008: Amended Rulebook Apr 07, 2014
Submission 14-0007: Amended Rulebook Mar 26, 2014
Submission 14-0006: Power Options Certification Mar 13, 2014
Submission 14-0005: Amendments to Natural Gas Options Contract Specification Mar 10, 2014
Submission 14-0001RA: USD IRS Market Maker Incentive Program Mar 05, 2014
Submission 14-0004: Revised Fee Schedule Feb 27, 2014
Submission 14-0003: Withdrawal of 507(c) and Portion of 14-0002 Feb 20, 2014
Submission 14-0002: Revised Rulebook Feb 20, 2014
Submission 14-0001: USD IRS Market Maker Incentive Program Feb 20, 2014
Submission 14-0001R: USD IRS Market Maker Incentive Program Feb 07, 2014
Submission 13-0012: Revised Rule 507(c) Dec 20, 2013
Submission 13-0011: Rulebook Amendments Dec 20, 2013
Submission 13-0009: Revised Fee Schedule Dec 17, 2013
Submission 13-0010S: Supplemental Filing to IRS SA Program Dec 16, 2013
Submission 13-0010: IRS Sponsored Access Incentive Program Dec 16, 2013
Submission 13-0008: Revised Rulebook Dec 11, 2013
Submission 13-0007S: Supplemental Filing to Markit CDX MM Incentive Program Dec 11, 2013
Submission 13-0007: Markit CDX Market Maker Incentive Program Dec 05, 2013
Submission 13-0005: Amendment to Rule 509(c) Nov 26, 2013
Submission 13-0004: Modifications to Fee Schedule Nov 26, 2013
Submission 13-0003: Rulebook Amendments Oct 31, 2013
Notice of Reliance on CFTC No-Action Letter 13-62 Oct 10, 2013
Submission 13-0002: Amended Rulebook Oct 03, 2013
Submission 13-0001: Modifications to Fee Schedule Oct 02, 2013

Product Certifications

  
Certification of Agricultural Swaps Sep 23, 2014
Certification of iBoxx Standardized TRS Indices Apr 09, 2014
Certification of Power Options Mar 13, 2014
Amended Certification of Nat Gas Options Mar 10, 2014
Certification of ERCOT Ancillary Services Swaps Nov 05, 2013
Certification of European Power Swaps Oct 17, 2013
Certification of Freight Swaps & Freight Options Oct 17, 2013
Certification of Iron Ore, Coal & Fuel Oil Swaps Oct 17, 2013
Certification of Precious Metals Options Oct 17, 2013
Withdrawal of Certain Certifications Oct 07, 2013
Certification of BRL IRS (FTF-FRAs) Sep 29, 2013
Certification of CLP Inflation Swaps & Forward Sep 29, 2013
Certification of CLP IRS FTF, Basis & FRAs Sep 29, 2013
Certification of COP Inflation Swap & Forward Sep 29, 2013
Certification of COP IRS FTF, Basis & FRAs Sep 29, 2013
Certification of Exotic FXO Sep 29, 2013
Certification of MXN IRS FTF, Basis & FRAs Sep 29, 2013
Certification of MXN UDI Swaps Sep 29, 2013
Certification of Nat Gas Options Sep 29, 2013
Certification of Nat Gas Swap Sep 29, 2013
Certification of NDFs Sep 29, 2013
Certification of NDX Var Swap Sep 29, 2013
Certification of Power Swap Sep 29, 2013
Certification of Russell 1000 Var Swap Sep 29, 2013
Certification of S&P 500 Var Swap Sep 29, 2013
Certification of S&P/TSX Dividend Swap Sep 29, 2013
Certification of S&P/TSX Var Swaps Sep 29, 2013
Certification of Swaptions Sep 29, 2013
Certification of Vanilla FXO Sep 29, 2013
Certification of CDS Index CDX & iTraxx Sep 29, 2013
Certification of Credit Options & Exotic Credit Options Sep 29, 2013
Certification of EURO EURIBOR IRS Sep 29, 2013
Certification of GBP LIBOR IRS Sep 29, 2013
Certification of JPY LIBOR IRS Sep 29, 2013
Certification of Uncleared CDS Sep 29, 2013
Certification of USD Libor IRS Sep 29, 2013