| 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 |
| 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 |
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 |
| TPSEF |
40.6(d) Weekly Notification of Rule Amendments |
03/05/2021 |
Notified |
03/05/2021 |
|
1 |
| TPSEF |
tpSEF Inc. - Amended its Fee Schedule - letter date May 19, 2014 - Effective June 3, 2014 tpSEF Submission #14-01F |
05/19/2014 |
Certified |
06/04/2014 |
|
1 |
| TPSEF |
Amendments to Rule 5103.C. (Review of Transactions for Errors) of the tpSEF Rulebook. |
12/18/2023 |
Certified |
01/03/2024 |
|
1 |
| TPSEF |
Supplement to Exhibit N to Form SEF |
10/11/2016 |
Certified |
10/25/2016 |
|
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. |
11/17/2015 |
Certified |
12/02/2015 |
|
1 |
