Regulatory

Date Document
01/30/2017 Notice 17-02 - Introduction of the TraditionSEF StreamGlobal Credit Default Swap (CDS) Platform on February 6, 2017
01/11/2017 Notice 17-01 - Tradition SEF 2017 Holiday Schedule
12/21/2016 StreamGlobal Platform Supplement v 2.1 (January 10, 2017)
12/21/2016 StreamGlobal Platform Supplement v 2.1 Redline (January 10, 1017)
12/21/2016 CFTC Submission 2016-09 - Revisions to the StreamGlobal Platform Supplement (Cover Sheet)
12/21/2016 CFTC Submission 2016-09 - Revisions to the StreamGlobal Platform Supplement Cover Letter
12/21/2016 CFTC Submission 2016-09 - Rulebook Changes Cover Letter
12/21/2016 CFTC Submission 2016-09 - Rulebook Changes (Cover Sheet)
12/21/2016 Notice 16-23 - Revision to SEF Rulebook_StreamGlobal Platform Supplement
12/12/2016 Notice 16-22 - Addition of Certain IRS to Mandatory Clearing Pursuant to the Clearing Requirement Determination Under Section 2(h) of the CEA for IRS
12/12/2016 Notice 16-21 - Revised Fee Schedule
12/12/2016 CFTC Submission 2016-08 - Amendments to the Tradition SEF Fee Schedule (Cover Sheet)
12/12/2016 CFTC Submission 2016-08 - Amendments to the Tradition SEF Fee Schedule Cover Letter
12/05/2016 Notice 16-20 - Addition of MAT EUR and GBP IRS to the Trad-X Order Book
11/08/2016 Notice 16-19 - SEF Holiday Schedule
10/03/2016 Appendix C to Tradition SEF Rulebook - Foreign Currency Product Listing (October 3, 2016)
09/16/2016 Tradition SEF Rulebook - V20.1 (October 3, 2016)
09/16/2016 Tradition SEF Rulebook - V20.1 Redline (October 3, 2016)
09/16/2016 Appendix A to Tradition SEF Rulebook - IRS Product Listing (16 September, 2016)
09/16/2016 Appendix A to Tradition SEF Rulebook - IRS Product Listing Redline (16 September, 2015)
09/16/2016 Notice 16-18 - Revision to Tradition SEF Rulebook
09/16/2016 CFTC Submission 2016-07 - Rulebook Changes (Cover Sheet)
09/16/2016 CFTC Submission 2016-07 - Rulebook Changes Cover Letter
09/16/2016 CFTC Submission 2016-07 - Rulebook Changes (Cover Sheet)
09/16/2016 CFTC Submission 2016-07 - Rulebook Changes Cover Letter
09/07/2016 Notice 16-17 - Annual Participant Reminder
08/25/2016 Tradition SEF Rulebook - V20 (September 15, 2016)
08/25/2016 CFTC Submission 2016-06 - Rulebook Changes (Cover Sheet)
08/25/2016 CFTC Submission 2016-06 - Rulebook Changes (Cover Sheet)
08/25/2016 CFTC Submission 2016-06 - Rulebook Changes Cover Letter
08/25/2016 CFTC Submission 2016-06 - Rulebook Changes Cover Letter
08/25/2016 Notice 16-16 - CFTC Submission 2016-06 - Amendments to Tradition SEF Rulebook
08/19/2016 Trad-X Platform Supplement V 1.1 (August 15, 2016)
08/19/2016 Trad-X Platform Supplement V 1.1 Redline (August 15, 2016)
08/19/2016 Notice 16-15 - Trad-X USD Interest Rate Products Minimum Order Sizes
08/19/2016 CFTC Submission 2016-05 - Amendments to Tradition SEF Trad-X Platform Supplement Cover Letter
08/19/2016 CFTC Submission 2016-05 - Amendments to Tradition SEF Trad-X Platform Supplement (cover Sheet)
08/19/2016 CFTC Submission 2016-05 - FOIA Letter
07/15/2016 CFTC Submission 2016-04 - Rulebook Changes (Cover Sheet)
07/15/2016 CFTC Submission 2016-04 - Rule Submission (Rulebook Amendments Rule 544)
07/15/2016 Notice 16-14 - Revision to Tradition SEF Rulebook - 10 minute rule
07/15/2016 CFTC Submission 2016-04 - Rulebook Changes (Cover Sheet)
07/15/2016 CFTC Submission 2016-04 - Rule Submission (Rulebook Amendments Rule 544)
06/29/2016 Notice 16-13 - SEF Holiday Schedule
06/22/2016 Notice 16-12 - Tradition SEF NY USD Interest Rate Swap Desk Hours
05/24/2016 Notice 16-11 - SEF Holiday Schedule
04/28/2016 Notice 16-10 - Addition of Continuous Trading Instruments to Trad-X Production Environment
04/11/2016 Notice 16-09 - Trad-X Reduction in Levels of Implied Depth
03/31/2016 Notice 16-08 - CFTC Submission 2016-03 - Amendment to the Tradition SEF Trad-X U.S. Dollar Interest Rate Swap Platform Supplement – Extension of Trading Hours
03/31/2016 CFTC Submission 2016-03 - Amendment to the Tradition SEF Trad-X U.S. Dollar Interest Rate Swap Platform Supplement – Extension of Trading Hours
03/31/2016 CFTC Submission 2016-03 - Amendment to the Tradition SEF Trad-X U.S. Dollar Interest Rate Swap Platform Supplement – Extension of Trading Hours. (Cover sheet)
03/22/2016 Notice 16-07 - Tradition SEF Holiday Schedule
03/16/2016 Notice 16-06 - Addition of 3s1s Basis Swaps to Continuous Trading Instruments to Trad-X Production Environment
02/10/2016 Notice 16-05 - SEF Holiday Schedule
01/22/2016 Notice 16-04 - CFTC Grants Registration to Tradition SEF
01/13/2016 CFTC Submission 2016-02 - Amendments to Tradition SEF Platform Supplements (Cover Sheet)
01/13/2016 Notice 16-03 - SEF Holiday Schedule
01/13/2016 Notice 16-02 - Revisions to Tradition SEF Platform Supplements
01/13/2016 CFTC Submission 2016-02 - Amendments to Tradition SEF Platform Supplements
01/12/2016 Notice 16-01 - Revisions to Tradition SEF Rulebook
01/11/2016 CFTC Submission 2016-01 - Rulebook Changes (Cover Sheet)
01/11/2016 CFTC Submission 2016-01 - Rulebook Changes Cover Letter
01/11/2016 CFTC Submission 2016-01 - Rulebook Changes (Cover Sheet)
01/11/2016 CFTC Submission 2016-01 - Rulebook Changes Cover Letter
12/18/2015 ISDA CFTC Reporting Party Requirements (April 2, 2015)
12/17/2015 Notice 15-33 - Tradition SEF Holiday Schedule
12/11/2015 CFTC Submission 2015-14 - IRS Product Certification (Cover Sheet)
12/11/2015 CFTC Submission 2015-14 - IRS Product Certification Cover Letter
12/11/2015 Notice 15-32 - Notice of Pending Product Certification Under Rule 40.6(a) for Interest Rate Swaps
11/24/2015 Notice 15-31 - Tradition SEF Holiday Schedule
11/06/2015 Notice 15-30 - Tradition SEF Holiday Schedule
10/16/2015 Notice 15-29 - Addition of "Split the Spread" Order Functionality to Trad-X Platform
10/08/2015 Notice 15-28 - SEF Holiday Schedule
09/22/2015 CFTC Submission 2015-13 – Rulebook Changes (Cover Sheet)
09/22/2015 CFTC Submission 2015-13 – Rulebook Changes Cover Letter
09/22/2015 CFTC Submission 2015-13 – Rulebook Changes (Cover Sheet)
09/22/2015 CFTC Submission 2015-13 – Rulebook Changes Cover Letter
09/01/2015 Notice 15-27 - Amendments to Tradition SEF Rulebook
09/01/2015 Notice 15-26 - SEF Holiday Schedule
08/24/2015 Appendix B to Tradition SEF Rulebook - Credit Product Listing (August 24, 2015)
08/24/2015 Appendix D to Tradition SEF Rulebook - Equity Product Listing (August 24, 2015)
08/24/2015 Appendix E to Tradition SEF Rulebook - Commodities Product Listing (August 24, 2015)
08/14/2015 Notice 15-25 - Revised Fee Schedule
08/14/2015 CFTC Submission 2015-12 Amendments to Tradition SEF Inc Fee Schedule (Cover Sheet)
08/14/2015 CFTC Submission 2015-12 Amendments to Tradition SEF Inc Fee Schedule Cover Letter
08/05/2015 CFTC Submission 2015-11 - Rulebook Changes (Cover Sheet)
08/05/2015 CFTC Submission 2015-11 - Rulebook Changes Cover Letter
08/05/2015 CFTC Submission 2015-11 - Rulebook Changes (Cover Sheet)
08/05/2015 CFTC Submission 2015-11 - Rulebook Changes - Cover Letter
08/05/2015 Notice 15-24 - Revisions to Tradition SEF Rulebook
07/10/2015 CFTC Submission 2015-10 - Rulebook Changes (Cover Sheet)
07/10/2015 CFTC Submission 2015-10 - Rulebook Changes - Cover Letter
07/10/2015 Notice 15-23 - Revisions to Tradition SEF Rulebook
07/08/2015 CFTC Submission 2015-09 - IRS Product Cerfication
07/08/2015 CFTC Submission 2015-09 -Revised IRS Product List - Redline
07/08/2015 Notice 15-22 -  Revised Product Listing - Rates
07/02/2015 CFTC Submission 2015-08 - Amendments to Tradition SEF, Inc. Fee Schedule (Cover Sheet)
07/02/2015 CFTC Submission 2015-08-Amendments to Tradition SEF, Inc. Fee Schedule
07/02/2015 Notice 15-21 - SEF Fee Schedule
07/01/2015 Notice 15-20 - SEF Holiday Schedule
06/18/2015 Notice 15-19 - Leap second
06/09/2015 CFTC Submission 2015-07 - Revision to Trad-X CCP Auctions (Cover Sheet)
06/09/2015 CFTC Submission 2015-07 - Revision to Trad-X CCP Auctions
06/09/2015 Notice 15-18 - Revision to CCP Auctions 06-09-15 (FINAL)
06/03/2015 CFTC Submissions  2015-06 - Rulebook Revisions Cover Letter
06/03/2015 CFTC Submission 2015-06 - Rulebook Revisions (Cover Sheet)
06/03/2015 CFTC Submission 2015-06-Rulebook Revisions - Cover Letter
06/03/2015 CFTC Submission 2015-06- (Cover Sheet)
06/03/2015 Notice 15-17- Amendments to Traditon SEF Rules 404, 4012 and 703 and Rule 404 Disclosure Reminder
05/13/2015 Notice 15-16 - SEF Holiday Schedule
04/24/2015 Trad-X Platform Supplement (April 24, 2015)
04/17/2015 CFTC Submisson 2015-05 - Revised 15 Second Rule - Cover Letter
04/17/2015 CFTC Submission 2015-05 - Revised 15 Second Rule - Cover Letter
04/17/2015 CFTC Submission 2015-05 - Revised 15 Second Rule (Cover Sheet)
04/17/2015 Notice 15-15- Rule S1-302 15 Second Rule
04/15/2015 CFTC Submission 14-15 R (Cover Sheet)
04/15/2015 Notice 15-14-Revised Product Listing Rates
04/14/2015 CFTC Submission 2015-05 - Revised 15 Second Rule - (Cover Sheet)
04/13/2015 CFTC Submission 2015-03R - Amendment to the Tradition SEF Fee Schedule - (Cover Sheet)
04/13/2015 CFTC Submission 2015-03R - Cover Letter (April 13, 2015)
04/13/2015 CFTC Submission 2015-03R - FOIA Letter
04/13/2015 Notice 15-10 -Revised  Fee Schedule
04/07/2015 Notice 15-13 -Trad-X IRS Product Supplement_Extenison of Hours
04/01/2015 Notice 15-12 - Trad-X Addition to Continuous Trading Instruments to Trad-X USD Production Environment
03/31/2015 Notice 15-11 - SEF Holiday Schedule
03/27/2015 CFTC Submission 2015-04 - Trad-X Platform Supplement - Cover Letter
03/27/2015 CFTC Submission 2015-04 - Trad-X Platform Supplement (Cover Sheet)
03/27/2015 CFTC Submission 2015-04 - Trad-X Platform Supplement - Cover Letter
03/27/2015 CFTC Submission 2015-04 - Trad-X Platform Supplement (Cover Sheet)
03/23/2015 CFTC Submission 15-02- StreamGlobal Platform Supplement (Cover Sheet)
03/23/2015 CFTC Submission 15-02- StreamGlobal Platform Supplement (Cover Letter)
03/23/2015 CFTC Submission 2015-03- StreamGlobal Platform Submission Fee Schedule - (Cover Sheet)
03/23/2015 CFTC Submission 2015-03 - StreamGlobal Platform Fee Schedule Cover Letter
03/23/2015 CFTC Submission 2015-02 - StreamGlobal Platform Supplement - (Cover Letter)
03/23/2015 CFTC Submission 2015-02 - StreamGlobal Platform Supplement - (Cover Sheet)
03/23/2015 Notice 15-10 - StreamGlobal Fee Schedule
03/23/2015 Notice 15-09 -StreamGlobal Platform Supplement
03/06/2015 Notice 15-08 - Addition of MAC Swaps to Trad-X EAT
02/13/2015 Notice 15-07 - Volbroker Holiday Schedule
02/09/2015 Notice 15-06 - Trad-X Addition to Continuous Trading Instruments
02/09/2015 Notice 15-05 - Trad-X USD SEF Holiday Schedule
01/20/2015 Notice 15-04 - Addition to Continuous Trading Products to Trad-X USD EAT Environment
01/16/2015 Notice 15-03 - Amendments to the Tradition SEF Volbroker Currency Options Platform Supplement
01/15/2015 CFTC Submission 2015-01 -Volbroker Platform Supplement - Cover Letter
01/15/2015 CFTC Submission 2015-01- Volbroker Platform Supplement (Cover Sheet)
01/09/2015 Notice 15-02 - Trad-X USD Holiday Notice
01/08/2015 Notice 15-01 - Trad-X Fat Finger Protection
12/29/2014 Notice 14-29 - Trad-X USD Holiday Schedule Revised
12/22/2014 Notice 14-28 - Trad-X USD Holiday Schedule Reminder
12/19/2014 Notice 14-27 - Revisions to Rule 412 and TradX Supplement
12/18/2014 CFTC Submission 14-24 - Cover Sheet
12/18/2014 CFTC Submission 14-24 - Amendment to Rule 412 - Cover Letter
12/18/2014 CFTC Submission 14-23 - Trad-X Platform Supplement Public Submission  (December 18, 2014)
12/18/2014 CFTC Submission 14-23 - Trad-X Cover Sheet (December 18, 2014)
12/18/2014 CFTC Submission 14-24 - Cover Sheet
12/18/2014 CFTC Submission 14-24 - Amendment to Rule 412 - Cover Letter
12/18/2014 CFTC Submission 14-23 - Trad-X Cover Sheet (December 18, 2014)
12/18/2014 CFTC Submission 14-23 - Trad-X Platform Supplement Public Submission  (December 18, 2014)
12/15/2014 Notice 14-26 – Introduction of USD CME/LCH CCP Auctions on Trad-X Interest Rate Swap Platform
12/12/2014 CFTC Submission 14-22 - Cover Sheet
12/12/2014 CFTC Submission 14-22 - Cover Letter (December 12, 2014)
12/12/2014 CFTC Submission 14-22 - Cover Sheet
12/12/2014 CFTC Submission 14-22 - Cover Letter (December 12, 2014)
12/12/2014 Notice 14-25 - Rulebook Revisions
12/05/2014 Notice 14-24 - Addition of IMM Continuous Trading instruments to TRAD-X USD EAT Environment
11/10/2014 CFTC Submission 14-21 - Cover Sheet
11/10/2014 CFTC Submission 14-21 - Revised Fee Schedule
11/10/2014 CFTC Submission 14-21 - Cover Sheet
11/10/2014 CFTC Submission 14-21 - Revised Fee Schedule
11/10/2014 Notice 14-23 - Trad-X LCH Issue Nov 7th 2014
11/10/2014 Notice 14-22 - Revised Fee Schedule
10/23/2014 Notice 14-21 - NFA Regulatory Services Agreement
10/16/2014 Notice 14-20 - Addition of CME Trading instruments to TRAD-X USD Production Environment
10/15/2014 Notice 14-19 - Trad-X USD Holiday Schedule
09/08/2014 Notice 14-17 - Addition of CME Trading instruments to TRAD-X USD EAT Environment
07/29/2014 CFTC Submission 14-20 - Revised - Product Listing - FX
07/29/2014 Notice 14-16 - Revised Product Listing - FX
07/18/2014 CFTC Submission 14-19 - Cover Sheet
07/18/2014 CFTC Submission 14-19 – Amendments of Rulebook
07/18/2014 CFTC Submission 14-19 - Cover Sheet
07/18/2014 CFTC Submission 14-19 – Amendments of Rulebook
07/18/2014 Notice 14-15 - Rule Revisions
06/25/2014 CFTC Submission 14-18 - Amendment to Rule 703
06/25/2014 CFTC Submission 14-18 - Amendment to Rule 703
06/25/2014 CFTC Submission 14-18 - Rule Submission Coversheet
06/25/2014 Notice 14-14 - Technology - Trad-X Katana Release
06/25/2014 Notice 14-13 - Revision to Rule 703 - Expiration of No-Action
06/11/2014 Notice 14-12 - Mandatory Execution of USD Interest Rate Swap Spread Over Trades
06/05/2014 CFTC Submission 14-17 – Rule 529
06/05/2014 CFTC Submission 14-17 – Rule 529
06/05/2014 Notice 14-11 - REVISION TO TRAD-X PLATFORM SUPPLEMENT and SEF Rule 529
06/05/2014 Notice 14-10 - Revised Fee Schedule
05/07/2014 Notice 14-09 - Technology - USD IRS Platform Update
04/29/2014 CFTC Submission 14-16 - Credit Product Listing
04/28/2014 Notice 14-08 - Revised Product Listing - Credit
04/25/2014 Notice 14-13 - Revision to Rule 703 - Expiration of No-Action
04/22/2014 Notice 14-07 - Amendment of Rulebook
04/22/2014 Notice 14-07 - Amendment of Rulebook
04/15/2014 Notice 14-0002 - Amendment of Rulebook
04/15/2014 CFTC Submission 14-15R - Exhibit A - IRS Product List
04/15/2014 CFTC Submission 14-0002 - Amendment of Rulebook
04/15/2014 CFTC Submission 14-15R Cover Letter
02/06/2014 CFTC Submission 14-15 - IRS Product Listing
02/06/2014 Notice 14-06 - Revised Product Listing - IRS
02/06/2014 Notice 14-05 - Hours of Operation
02/06/2014 Notice Of Listing - IRS
01/15/2014 CFTC Submission 14-04 - Equity Product Listing
01/15/2014 Notice 14-04 - Equity Product Revision
01/14/2014 Notice 14-03 - MLK
01/03/2014 Notice 14-01 - Amendment of Rulebook
01/03/2014 Notice 14-02 - Notice of Product Removal - Broad Market Equity Index Dividend Swaps
11/25/2013 Notice Of Holiday Schedule
11/19/2013 Notice 13-03 – Notice of Pending Certification - Amendments to Tradition SEF Inc. Rulebook
10/10/2013 Notice 13-01 - Amendment To Rules 703 and 704
10/10/2013 Notice 13-02 - Amendment To Rule 411
10/10/2013 Tradition Notice Regarding CFTC Letter 13-55 Commodities
10/10/2013 Tradition Notice Regarding CFTC Letter 13-55 Equities
10/10/2013 Tradition Emergency Rule Certification Regarding CFTC Letter 13-58
10/10/2013 Tradition Emergency Rule Certification Regarding CFTC Letter 13-62
10/01/2013 Notice Of Listing - FX
10/01/2013 Notice Of Listing - Credit
10/01/2013 Notice Of Listing - Commodities