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Tradition Related Sites Regulatory DBAs Tradition Securities and Derivatives LLC also conducts business as: BridgeView Execution Services Deepwell Liquidity Management High Point Securities Nova Execution Services TFS Derivatives TFSD Tradition Asiel Securities Tradition Private Markets Tradition Securities and Futures TSF Tradition Securities and Derivatives LLC Tradition is committed to guiding and supporting clients as they adapt to the new regulatory landscape. CFT Financials Posted Monthly Report Pursuant to SEC Rule 605 Posted Quarterly Report Pursuant to SEC Rule 606 14 JULY 2021 Business Continuity Plan MSRB Rule G43 Policies 5 JANUARY 2021 Anti-Money Laundering Policy Statement Disclosure Statement Extended Hours Trading Risk Disclosure FINRA Rule 5320 Disclosure OCC Options Disclosure & Supplement Securities Futures Disclosure Tradition Securities and Derivatives LLC is a member of NFA / FINRA / MSRB / SIPC / Tradition SEF LLC. / NASDAQ / NasdaqPHLX / NasdaqISE / NasdaqGEMX and the major exchanges. Check the background of our firm on FINRA's BrokerCheck. Contact New York, NY +1 212 791 4500 Stamford, CT +1 203 351 9520 Miami, FL +1 305 400 6721 Wayzata, MN: +1 952 476 9900 Oklahoma City, OK +1 713 568 2155 Houston, TX +1 713 609 9922 © 2021 Tradition Securities and Derivatives LLC. All rights reserved.

Tradition sites Useful links About Us Markets Onboarding Participation Regulatory News Contact FAQ Daily Activity The markets' marketplace Setting the standard for fully-flexible execution across all asset classes IRS FX Credit Equities Commodities About TraditionSEF Welcome to TraditionSEF, the swap execution facility operated by Tradition. TraditionSEF has been granted registration by the US Commodity Futures Trading Commission (CFTC) as a multi-asset class swap execution facility. TraditionSEF operates markets for interest rate swaps, credit swaps, equity derivatives, commodity derivatives, foreign exchange options and NDFs, in cleared and uncleared swaps as markets determine. More > News 31 MAY 2019 Tradition wins the GlobalCapital Americas Derivatives – Swap Execution Facility of the Year- CLOB Award. Read > 5 DEC 2018 TraditionSEF has been named SEF of the Year at the FOW International Awards. Read > Onboarding Please click on the link below to select the TraditionSEF onboarding documentation most suitable for your participation status. Download > Daily Activity File Please click on the link below to download the latest TraditionSEF daily activity file. Download > © 2021 Compagnie Financière Tradition Terms of use Privacy Policy Our Use of Cookies Disclaimer