Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
TPSEF Pursuant to Section 5c(c) of the CEA and Section 40.6(a) of the regulations of the CFTC, tpSEF, a registered SEF, hereby notifies the CFTC that it wishes to amend its Risk Mitigation Procedures. 09/21/2016 Certified 10/05/2016 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 12/18/2020 Notified 12/18/2020 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 April 12, 2016. 03/28/2016 Certified 04/11/2016 1
TPSEF Non-substantive revisions to the tpSEF Rulebook effective February 12, 2021. 02/11/2021 Notified 02/11/2021 1
TPSEF Rulebook amendment 12/04/2017 Certified 12/18/2017 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 and Risk Mitigation Procedures. 10/30/2015 Certified 11/16/2015 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 02/25/2022 Notified 02/25/2022 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. 12/01/2015 Certified 12/15/2015 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 12/17/2020 Certified 01/04/2021 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 Fee Schedule. 12/01/2015 Certified 12/15/2015 2
TPSEF tpSEF Inc. - Rulebook Amendments - Effective May 23, 2014 TPSEF #14-01R 05/12/2014 Certified 05/27/2014 1
TPSEF Notification of certain non-substantive revisions to Appendix B of the tpSEF Rulebook (tpSEF Inc. Swap Specifications) effective as of August 21, 2019. 08/26/2019 Notified 08/26/2019 1
TPSEF 40.6(d) Weekly Notification of Rule Amendments 05/28/2021 Notified 05/28/2021 1
TPSEF Deletion of Rules 4013(e) and (f) to reflect the expiration of the no-action relief granted in CFTC 14-121. 03/11/2015 Certified 03/25/2015 1
TPSEF tpSEF Inc. is amending its Rulebook as provided in Exhibit A. 02/13/2020 Certified 02/28/2020 1
TPSEF Updates to the tpSEF Inc. Risk Mitigation Procedures 04/13/2020 Certified 04/27/2020 1
TPSEF tpSEF Inc. Rulebook Amendments - Submission #14-03R - July 1, 2014 06/16/2014 Certified 07/01/2014 1
TPSEF tpSEF Inc. - Amendment of its Fee Schedule, intended to be implemented on November 21, 2013. 11/06/2013 Certified 11/22/2013 0
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. 11/03/2015 Certified 11/18/2015 1
TPSEF Pursuant to Section 5c(c) of the Commodity Exchange Act and CFTC Regulation 40.6(a), tpSEF hereby notifies the Commission that it wishes to amend its Risk Mitigation Procedures as provided in the attached submission. 03/27/2017 Certified 04/10/2017 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 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 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