Swap Execution Facility Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
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
TWSEF TW SEF made certain updates to its Fully Integrated API Services Fee Schedule (Rate Swaps Currencies - Tokyo Hours Only) 01/07/2020 Notified 01/07/2020 2
TWSEF Market Regulation Notice Concerning Block Trades 10/19/2020 Certified 11/02/2020 1
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (Emerging Market Currencies) 02/21/2020 Certified 03/06/2020 2
TWSEF Fee Schedule update for Credit Default Swaps 07/15/2021 Certified 07/29/2021 2
TWSEF Notice to Participants re MAT / Agency MBS Package Transactions (4.20.15)Cover Letter re Notice to Participants (4.20.15) 04/20/2015 Certified 05/04/2015 2
TWSEF Amended TW SEF Rulebook 10/03/2016 Certified 10/18/2016 4
TWSEF Notice to All Participants of TW SEF LLC:RFQ1 Treatment for MAT Swap Leg of Specified Package Transactions 02/04/2015 Certified 02/19/2015 2
TWSEF Amended TW SEF Rulebook to account for recent CFTC No-Action Letters 15-24 and 15-25. 06/09/2015 Certified 06/23/2015 6
TWSEF Amended TW SEF Rulebook 09/30/2015 Certified 10/15/2015 4
TWSEF Notice to Participants that the SEF's US Dollar Interest Rate Swaps, Canadian Dollar Interest Rate Swaps and CDX markets will be closed on November 11, 2013. 11/12/2013 Certified 11/27/2013 1
TWSEF TW SEF LLC - Rule Amendments - Amended SEF Rulebook: (1) Staff Guidance and (2) comments and questions received on TW's SEF. (January 31, 2014) 01/31/2014 Certified 02/15/2014 1
TWSEF Updates to the TWSEF Compliance Manual 04/13/2022 Certified 04/27/2022 2
TWSEF Amendments to TW SEF Rulebook 02/21/2017 Certified 03/07/2017 4
TWSEF Amended TW SEF Rules 12/10/2015 Certified 12/24/2015 4
TWSEF Amended Fee Schedule for CAD Swaps for API Participants 11/28/2016 Certified 12/12/2016 1
TWSEF Amendment to TW SEF Rates Fee Schedule 07/23/2020 Certified 08/05/2020 4
TWSEF Amendments to TW SEF's Fully Integrated API Services Fee Schedule (All Credit Default Swap Indices). 06/03/2020 Certified 06/17/2020 2
TWSEF TW SEF Letter Re Rule Changes (11.18.15)Ex. A - TW SEF Chart of Rule Changes (11.18.15)Ex. B - TW SEF Rulebook (Clean 11.18.15)Ex. C - TW SEF Rulebook (Marked 11.18.15) 11/18/2015 Certified 12/03/2015 4
TWSEF Amendments to TW SEF Market Regulation Advisory Notice re Trading Protocols 01/15/2016 Certified 02/01/2016 3
TWSEF Amended TW SEF Rulebook 01/15/2016 Certified 02/01/2016 4
TWSEF Market Participant Notice- SDR reporting 11/22/2022 Certified 12/07/2022 2