Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TWSEF Amended TW SEF Rulebook 10/29/2015 Certified 11/13/2015 4
TWSEF Rulebook updates in response to rule 411 09/17/2021 Certified 10/01/2021 4
TWSEF The Rulebook has been amended in order to implement certain requirements with respect to error trades related to CFTC No-Action Letter 20-01. 04/09/2020 Certified 04/23/2020 2
TWSEF TW SEF Fee update for GBP swaps 08/30/2021 Certified 09/14/2021 3
TWSEF New Fee Schedule for TW SEF 06/16/2017 Certified 06/30/2017 1
TWSEF Rule Certification and Representation Pursuant to CFTC Letter No. 13-62 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification- provided by CFTC Letter No. 13-58 10/17/2013 Certified 11/01/2013 0
TWSEF Emergency Rule Certification - no-action relief in CFTC Letter 13-57 10/17/2013 Certified 11/01/2013 0
TWSEF Fee Updates 06/02/2021 Certified 06/16/2021 2
TWSEF TW SEF Emergency Rule Certification. to replace the amended Rules which TW filed with the Commission October 18, 2013, in response to the terms of no-action relief provided by CFTC Letter No. 13-66 dated October 25, 2013 11/01/2013 Certified 11/19/2013 1
TRAD Amendment to Tradition SEF's Trad-X Interest Rate Swap (IRS) trading platform supplement Rule S1-302. 04/17/2015 Certified 05/01/2015 1
TRAD Emergency Rule Submission. Amendments to Tradition SEF Trad-X Platform Supplement. 08/19/2016 Certified 09/02/2016 2
TRAD Amendments to Tradition SEF Rulebook. 01/11/2016 Certified 01/26/2016 2
TRAD Tradition SEF, Inc. - Notification of Amendments to Tradition SEF, Inc. Rulebook TRAD #14-0002 04/15/2014 Certified 04/30/2014 2
TRAD Amendments to Tradition SEF's Trad-X USD CME/LCH Auctions. 06/03/2015 Certified 06/17/2015 2
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 Modifications to Rules 101, 102, 209, 304, 308, 309, 311, 403, 404, 405, 409, 412, 503, 509, 510, 511, 512, 529, 706, and 902 within Tradition SEF's Rulebook, as well as other non-substantive revisions. 08/09/2024 Certified 08/23/2024 3
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