North America
CUSTOMER-TO-DEALER
U.S.
In the U.S., the Tradeweb multi-dealer to customer system is
operated and offered by Tradeweb LLC. Tradeweb LLC is a broker-dealer
registered with the SEC and a member of FINRA. Tradeweb LLC has registered
office locations in New York, New Jersey, Florida, and California. Tradeweb's
retail and mid-market business is offered through Tradeweb Direct LLC,
formerly known as BondDesk Trading LLC. Tradeweb Direct LLC is a
broker-dealer registered with the SEC, and is a member of FINRA and MSRB.
Tradeweb Direct's services are only offered in the United States.
Canada
Tradeweb LLC is also registered with the Ontario Securities
Commission in Ontario, Canada. With respect to Tradeweb's operations in
Canada, Tradeweb and CanDeal.ca.Inc. ("CanDeal") have entered into a
technology and services agreement whereby Tradeweb, utilizing CanDeal as the
"client-facing entity," offers trading in Non-Canadian fixed-income
securities to certain approved customers in Canada. Through this
relationship, Tradeweb was granted Mutual Reliance Review System (MRRS)
Exemptive Relief from the Ontario Securities Commission and the local
securities regulatory authorities of the other respective Canadian
provinces.
INTER-DEALER
In the U.S., the Tradeweb group of
companies operates an inter-dealer broker for TBA Mortgage-Backed
Securities, U.S. Government Securities and Municipal Securities through
Dealerweb Inc. ("Dealerweb"). Dealerweb is registered with the Securities
and Exchange Commission ("SEC") and is a member of the Financial
Industry Regulatory Authority ("FINRA"). Dealerweb offers voice and
electronic brokerage for the dealer community. The Dealerweb electronic
platform is registered with the SEC as Alternative Trading System
promulgated under the Securities Exchange Act of 1934.
GLOBAL PARTICIPATION CRITERIA
Global participation
criteria is available here