Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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 Amendment of platform trading hours for USD, EUR and GBP currencies on Tradition SEF Platform Supplement 1 effective October 17, 2024. 10/02/2024 Certified 10/17/2024 3
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
TRAD Amendments to Tradition SEF Trad-X Platform Supplement. 03/31/2016 Certified 04/14/2016 1
TRAD Amendments to Tradition SEF Rulebook and Trad-X IRS Platform Supplement. 03/18/2019 Certified 04/01/2019 4
TRAD CFTC Submission 2023-04 self-certification contains a rule change requiring certain SOFR and SONIA swaps to be subject to the trade execution requirement. The effective date for this rule change is August 7, 2023. Appendix A is being amended. 07/24/2023 Certified 08/07/2023 3
TRAD Notification of Amendments to Tradition SEF, Inc. Rulebook 10/16/2020 Certified 10/30/2020 5
TRAD Amendment to Tradition SEF's StreamGlobal Credit Default Swap Trading Platform Supplement. 05/31/2018 Certified 06/14/2018 3
TPSEF tpSEF 20-09R - 40.6(a) Rule Certification (10.19.2020) 10/19/2020 Certified 11/02/2020 2
TPSEF Amendments to the tpSEF Fee Schedule 03/23/2023 Certified 04/06/2023 2
TPSEF tpSEF is adopting the attached form of Prime Broker Acknowledgment Letter as provided in Exhibit A. 02/21/2020 Certified 03/06/2020 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 11/20/2020 Notified 11/20/2020 1
TPSEF Amendments to the tpSEF Rulebook as provided in Exhibit A 01/25/2023 Certified 02/08/2023 1
TPSEF Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/03/2015 Certified 02/18/2015 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC regulations, tpSEF is submitting the attached Rulebook amendment. 09/29/2015 Certified 10/14/2015 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act (the "Act") and Section 40.6(a) of the regulations of the Commodity Futures Trading Commission, tpSEF Inc. ("tpSEF") wishes to amend its rulebook as provided in Exhibit A. 11/04/2014 Certified 11/19/2014 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the Commission that it wishes to amend its Rulebook as described in the attached submission. 10/03/2016 Certified 10/18/2016 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on January 27, 2016. 01/12/2016 Certified 01/27/2016 1
TPSEF This submission contains a self-certification by tpSEF Inc. of amendments to its Rulebook as described in Exhibit A. 09/16/2014 Certified 09/29/2014 1
TPSEF Amendments to tpSEF Fee Schedule 10/02/2017 Certified 10/17/2017 2
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/16/2021 Notified 04/16/2021 1
TPSEF This submission contains a self-certification by tpSEF Inc. of an amendment to its fee schedule as morefully described in Exhibit B. 08/13/2014 Certified 08/27/2014 2
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. 11/11/2015 Certified 11/25/2015 1
TPSEF Commission Regulation 40.6(a) certification of certain amendments to tpSEF's Rulebook. 02/05/2015 Certified 02/20/2015 1
TPSEF Amendments to Exhibit Q to tpSEF's Form SEF. 08/30/2019 Certified 09/16/2019 2
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 08/30/2019 Certified 09/16/2019 1
TPSEF tpSEF Inc - Rulebook Amendments - effective July 14, 2014 (Submission 14-04R) 06/26/2014 Certified 07/12/2014 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/26/2021 Notified 02/26/2021 1
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the CFTC's Regulations, tpSEF is hereby submitting to the CFTC an amendment to its Rulebook. The amended Rulebook will become effective on December 23, 2015. 12/08/2015 Certified 12/22/2015 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of October 2, 2018. 10/09/2018 Notified 10/09/2018 1
TPSEF Pursuant to CEA Section 5c(c) and CFTC Regulation 40.6(a), tpSEF Inc., a registered swap execution facility, hereby notifies the CFTC that it wishes to amend its Rulebook as provided in the attached submission. 08/23/2016 Certified 09/07/2016 1
TPSEF Amendments to tpSEF Fee Schedule 12/09/2019 Certified 12/23/2019 2
TPSEF Amendments to Rules 4003.A. (Execution of Transactions) and 4011 (Time Delay Requirement for Required Cross Transactions) of the tpSEF Rulebook. 12/03/2024 Certified 12/17/2024 1
TPSEF Amendments to tpSEF Inc. Risk Mitigation Procedures. 12/03/2024 Certified 12/17/2024 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 04/23/2021 Notified 04/23/2021 1
TPSEF Revisions to Rules 1000 and 4013.A of the tpSEF Rulebook. 07/31/2023 Certified 08/14/2023 1