Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TRAD Notification of Amendments to Tradition SEF, Onc. Rulebook. TRAD #14-18 06/25/2014 Certified 07/11/2014 1
TRAD Amendments to Tradition SEF Trad-X, Volbroker and StreamGlobal Platform Supplements. 01/12/2016 Certified 01/27/2016 2
TRAD Tradition SEF, Inc. - Rulebook Amendments - TRAD #14-18 06/26/2014 Certified 07/12/2014 1
TRAD Amendment to the the formula for calculating actual realized daily volatility of Volatility Swaps. 04/01/2019 Certified 04/15/2019 3
TRAD Amendments to Tradition SEF Rulebook. 07/15/2016 Certified 07/29/2016 2
TRAD Revisions to the StreamGlobal Platform Supplement 12/21/2016 Certified 01/06/2017 2
TRAD Changes to fee schedule 11/10/2014 Certified 11/25/2014 2
TRAD Amendments to Tradition SEF Rulebook. 08/04/2015 Certified 08/18/2015 2
TRAD Tradition SEF Rulebook and Form SEF Exhibits Q and V Amendments, letter dated January 3, 2014 Trad #14-0001 01/03/2014 Certified 01/18/2014 1
TRAD Amendment to Tradition SEF, Inc. Fee Schedule 09/06/2018 Certified 09/20/2018 3
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
TRAD Amendments to Tradition SEF Rulebook 08/25/2016 Certified 09/09/2016 3
TRAD Amendments to the Tradition SEF Fee Schedule. 12/12/2017 Certified 12/27/2017 2
TRAD 40.6(a) Certification for Tradition SEF Notice to Participants 21-08 "Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program" 11/17/2021 Certified 12/02/2021 1
TRAD Amendment to Fee Schedule 04/18/2022 Certified 05/02/2022 4
TRAD Changes to fee schedule 11/17/2014 Certified 12/02/2014 2
TRAD Amendment to the Tradition SEF fee schedule. 08/13/2015 Certified 08/27/2015 2
TRAD Public availability of the Tradition SEF StreamGlobal Credit Default Swap trading platform supplement. 03/23/2015 Certified 04/06/2015 2
TRAD Notice to Participants announcing revisions to Rulebook that update references to expired no action relief. 12/03/2020 Certified 12/17/2020 1
TRAD Amendment to the Tradition SEF fee schedule. 03/23/2015 Certified 04/06/2015 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
TRAD Modifications to Tradition SEF - Trad-X USD IRS Liquidity Provider Program 08/10/2020 Certified 08/24/2020 2
TRAD CFTC Submission 2024-01; Amendment regarding intended to be cleared swaps and uncleared swaps confirmations and other amendments to reflect expiration of No-Action Letter 17-17. We will not be relying on No Action Letter 17-17 after May 31, 2024. 05/20/2024 Certified 06/04/2024 6
TRAD Amendments to Appendix 3 (USD Interest Rate Products Minimum Order Size) of the Trad-X Interest Rate Swap Platform Supplement to revise the minimum order size applied to USD Spread Over Orders placed on the Trad-X Platform. 06/18/2018 Certified 07/02/2018 3
TRAD Implementation of a Trad-X USD IRS Liquidity Provider Program (the "LPP"). 08/02/2019 Certified 08/16/2019 4
TRAD Tradition SEF, Inc. Notice #14-03 - Observing the Martin Luther King Holiday on Monday, January 20, 2014 01/14/2014 Certified 01/30/2014 0
TRAD Rule amendments incorporating the concept of Authorized Agent and other miscellaneous changes. 12/12/2014 Certified 12/29/2014 2
TRAD Extension of the hours of operation of the Trad-X Interest Rate Swap trading platform. 03/27/2015 Certified 04/10/2015 1
TRAD Updates to Tradition SEF Rulebook Appendix A and Appendix B to add CAD Overnight Repo Rate Average (CORRA) and Markitr iBoxx USD Liquid Investment Grade (IG Index) Credit Index. 05/19/2023 Certified 06/05/2023 5
TRAD Tradition SEF, Inc. - Amendments to Trad-X Platform Supplement - TRAD #14-17 06/05/2014 Certified 06/20/2014 1
TRAD Amendment to the tradition SEF fee schedule 07/01/2015 Certified 07/16/2015 2
TRAD Amendments to the Tradition SEF Fee Schedule 11/27/2017 Certified 12/11/2017 2
TRAD Amendments to Fee Schedule 10/07/2019 Certified 10/22/2019 2
TRAD Amendments to Tradition SEF Rulebook and StreamGlobal Credit Default Swap Trading Platform Supplement 03/29/2018 Certified 04/12/2018 3
TRAD Amendments to Tradition SEF Rulebook. 08/31/2017 Certified 09/15/2017 2
TRAD Amendments to the StreamGlobal Platform Supplement. 08/31/2017 Certified 09/15/2017 2
TRAD Amendments to Tradition SEF Rulebook 07/09/2015 Certified 07/23/2015 2
TRAD Updated SEF Fee Schedule amending Section D (Trade Processing Fees). 05/12/2022 Certified 05/26/2022 3
TRAD Rule amendments regarding post-trade name give up for intended to be cleared swaps and other conforming amendements to reflect no-action letter expirations. 06/30/2021 Certified 07/15/2021 1
TRAD Amendments to Tradition SEF Rulebook. 11/28/2017 Certified 12/12/2017 2
TRAD Rule amendments adding a disregard order type and incorporating regulatory requirements to be explicit within the Rulebook; platform supplement amendments for which confidential treatment has been requested. 07/22/2014 Certified 08/05/2014 4
TRAD Amendments to the tradition SEF Fee Schedule. 12/12/2016 Certified 12/27/2016 1
TRAD Amendments to theTradition SEF Rulebook and Trad-X Interest Rate Swap Trading Platform Supplement. 03/08/2019 Certified 03/22/2019 3
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook and User Agreement. TRAD #13-0003 11/20/2013 Certified 12/06/2013 0
TRAD Amendments to Tradition SEF Rulebook. 09/21/2015 Certified 10/05/2015 2
TRAD Amendments to Tradition SEF Rulebook. 09/16/2016 Certified 09/30/2016 2
TRAD Revised rulebook to reflect new entity name following Commission approval to transfer SEF registration. 04/01/2021 Notified 04/01/2021 3
TRAD Amendments to Tradition SEF Rulebook 06/03/2015 Certified 06/17/2015 2
TRAD Emergency Rule Certification - amended to comply with the conditions for the time-limited no-action relief provided in CFTC Letter No. 13-58 TRAD #13-0002 10/17/2013 Certified 11/01/2013 1
TRAD Representation in Connection with Notice of Intent to Rely on Time-Limited No-Action Relief provided by CFTC Letter No. 13-62 from requirement to comply with Commission Regulation 37.702(b) 10/17/2013 Certified 11/01/2013 1