Form SBSEF security-based swap execution facility applications

Form SBSEF: applications for registration of a security-based swap execution facility under the SEC's Regulation SE.

24filings on EDGAR

2024first filed

2025-01-28latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22SBSEF%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"SBSEF"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is SBSEF?

The SEC adopted Regulation SE in 2023 to register and regulate security-based swap execution facilities (SBSEFs), the SEC side counterpart of the CFTC's swap execution facilities. EDGAR titles SBSEF "Application for Registration of Security-based Swap Execution Facility".

Applicants are trading platform operators that already run CFTC registered SEFs, such as interdealer brokers and exchange groups. The applications describe rulebooks, governance and compliance programs.

Who files

Operators of trading platforms for security-based swaps seeking SEC registration as an SBSEF.

When it is filed

When the platform applies for registration, with amendments during review.

Filings per year

Every SBSEF filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.

What is inside

Section	Contents
Applicant	Platform operator, ownership and governance.
Rulebook	Trading rules and participant requirements.
Compliance	Surveillance, conflicts of interest and core principles.

Get SBSEF data with SecFeed

Search the filings with formType:"SBSEF", read any document as text or PDF, and use these APIs for structured data:

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Latest SBSEF filings

Company	Form	Filed
WEMATCH.LIVE LLC	`SBSEF/A`	2025-01-28	EDGAR ↗
WEMATCH.LIVE LLC	`SBSEF/A`	2025-01-28	EDGAR ↗
GLMX TECHNOLOGIES, LLC	`SBSEF/A`	2025-01-27	EDGAR ↗
GFI Swaps Exchange LLC	`SBSEF/A`	2025-01-24	EDGAR ↗
Tradition SEF, LLC	`SBSEF/A`	2025-01-23	EDGAR ↗
TW SEF LLC	`SBSEF/A`	2025-01-17	EDGAR ↗
Bloomberg SEF LLC	`SBSEF/A`	2025-01-17	EDGAR ↗
tpSEF Inc	`SBSEF/A`	2025-01-10	EDGAR ↗

Use cases

Track the build out of security-based swap trading venues
Research market structure for credit default swaps on single names

Form SBSE registrations of security-based swap dealers and major security-based swap participants since 2021, with amendments and withdrawals.

ATS-NAlternative trading system disclosure

Form ATS-N disclosures of dark pools and other NMS stock alternative trading systems: order types, fees, segmentation and operator conflicts.

FAQ

What is an SBSEF?

A security-based swap execution facility, a trading platform for security-based swaps registered with the SEC.

What rule governs SBSEFs?

The SEC's Regulation SE, adopted in 2023.

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