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North America Disclosure

 

Tradeweb’s operations span jurisdictions across the Americas, Europe and Asia, and Tradeweb offers its products and services through various regulated entities throughout the world.

Tradeweb LLC is a Securities and Exchange Commission (“SEC”) registered Broker-Dealer, a member of Financial Industry Regulatory Authority (“FINRA”) and a member of Municipal Securities Rulemaking Board (“MSRB”).  Tradeweb LLC is also a Commodity Futures Trading Commission (“CFTC”) registered Introducing Broker and a member of the National Futures Association (“NFA”). Tradeweb LLC relies on the International Dealer Exemption in the Canadian provinces of Ontario, Alberta, and Manitoba, and is recognized as a foreign trading venue in Switzerland.

Tradeweb Direct LLC is an SEC-registered Broker-Dealer, operates an Alternative Trading System (“ATS”), and is a member of FINRA and MSRB. Tradeweb Direct LLC relies on the International Dealer Exemption in the Canadian provinces of Ontario and Quebec.

Dealerweb Inc. is an SEC-registered Broker-Dealer, operates an ATS, and is a member of FINRA and MSRB.  Dealerweb Inc. is also a CFTC-registered Introducing Broker and a member of NFA. Dealerweb Inc. is recognized as a foreign trading venue in Switzerland.

TW SEF LLC is a CFTC-registered Swap Execution Facility (“SEF”). TW SEF is exempt from registration as an exchange in the Canadian provinces of Alberta, Ontario and Quebec and recognized as a foreign trading venue in Switzerland. TW SEF LLC is formally exempt from registration by the Australian Securities and Investments Commission (“ASIC”).

DW SEF LLC is a CFTC-registered SEF. DW SEF LLC is formally exempt from registration in the Canadian province of Ontario and is recognized as a foreign trading venue in Switzerland.