SUBMISSION COVER SHEET

IMPORTANT: Check box if Confidential Treatment is requested

Registered Entity Identifier Code (optional): 19-255

Organization: Chicago Mercantile Exchange Inc. ("CME")

Filing as a: DCM SEF DCO SDR 

Please note - only ONE choice allowed.

Filing Date (mm/dd/yy): June 14, 2019 Filing Description: Acceptance of Swap Data 

Submissions for the Equity Asset Class

SPECIFY FILING TYPE 

Please note only ONE choice allowed per Submission.

Organization Rules and Rule Amendments

Certification § 40.6(a)

Approval § 40.5(a)

Notification § 40.6(d)

Advance Notice of SIDCO Rule Change § 40.10(a)

SIDCO Emergency Rule Change § 40.10(h)

Rule Numbers: N/A

New Product Please note only ONE product per Submission.

Certification § 40.2(a) 

Certification Security Futures § 41.23(a)

Certification Swap Class § 40.2(d)

Approval § 40.3(a)

Approval Security Futures § 41.23(b)

Novel Derivative Product Notification § 40.12(a)

Swap Submission § 39.5

Official Product Name: 

Product Terms and Conditions (product related Rules and Rule Amendments)

Certification § 40.6(a) 

Certification Made Available to Trade Determination § 40.6(a)

Certification Security Futures § 41.24(a)

Delisting (No Open Interest) § 40.6(a) 

Approval § 40.5(a)

Approval Made Available to Trade Determination § 40.5(a)

Approval Security Futures § 41.24(c)

Approval Amendments to enumerated agricultural products § 40.4(a), § 40.5(a)

“Non-Material Agricultural Rule Change” § 40.4(b)(5)

Notification § 40.6(d)

Official Name(s) of Product(s) Affected: 

Rule Numbers: 
20 South Wacker Drive Chicago, Illinois 60606 T 312 466 7478 F 312 930 3323 tim.elliott@cmegroup.com cmegroup.com

Tim Elliott

Executive Director and Associate General Counsel

Legal Department

June 14, 2019

VIA ELECTRONIC PORTAL

Christopher J. Kirkpatrick

Office of the Secretariat

Commodity Futures Trading Commission

Three Lafayette Centre

1155 21st Street, N.W.

Washington, DC 20581

RE: CFTC Regulation 40.6(a) Certification. Notification Regarding Acceptance of Swap Data 

Submissions for the Equity Asset Class. 

CME SDR Submission No. 19-255

Dear Mr. Kirkpatrick:

The Swap Data Repository Division of Chicago Mercantile Exchange Inc. (“CME SDR” or “SDR”) hereby notifies 

the Commodity Futures Trading Commission (“CFTC” or “Commission”) that it is self-certifying the expansion of

its offering to include the acceptance of data submissions for the Equity asset class to complement the existing

assets currently accepted by CME SDR, including Interest Rates, Credit, Foreign Exchange, and Commodities. 

CME SDR will begin accepting Equity swap data submissions on July 1, 2019.

The CME SDR Rulebook can be found on the CME Group website at https://www.cmegroup.com/marketdata/files/cme-sdr-rulebook-c.pdf. No CME SDR Rulebook changes are required in relation to this proposal.

CME SDR reviewed the requirements of the Commodity Exchange Act (“CEA” or “Act”) relating to the business 

of SDRs including applicable SDR core principles (“Core Principles”) in relation to the proposed acceptance of 

swap data submissions for the Equity asset class that is the subject of this submission. As a result of this review, 

CME SDR identified that the addition described in this submission may have some bearing on SDR Core 

Principle 2 (“Governance Arrangements”) and SDR Core Principle 4 (“Additional Duties”) as discussed below:

• Core Principle 2: Registered SDRs are required to make information regarding significant decisions 

implicating the public interest available to the public and relevant authorities, including the CFTC. The 

acceptance of data submissions for the Equity asset class will be disclosed and transparent to all 

market participants. CME SDR will make publicly available the details of this proposal by publishing a 

CME Global Repository Services Advisory (“Advisory”) to the marketplace. The Advisory will be 

available on the CME Group website.

• Core Principle 4: Registered SDRs are required to maintain sufficient financial resources as set forth in 

CFTC Regulation 49.25. The addition of fees for the Equity asset class service is clearly aligned with 

the requirement to maintain sufficient financial resources. Further, as set forth in CFTC Regulation 

49.26, CME SDR will disclose a schedule of fees and a description of the SDR’s services to market 

participants. Registered SDRs also must adhere to CFTC requirements regarding fair and open access 

and the charging of any fees, dues, or other similar type charges as detailed in CFTC Regulation 

49.27. The fees for the Equity asset class service are equitable and will be established in a nondiscriminatory manner. 

Pursuant to Section 5c(c) of the Act and CFTC Regulation 40.6(a), CME SDR hereby certifies that the 

acceptance of swap data submissions for the Equity asset class complies with the Act, including regulations 

thereunder. There were no substantive opposing views related to this proposal.

CME SDR certifies that this submission has been concurrently posted on the CME Group website at

http://www.cmegroup.com/market-regulation/rule-filings.html.

If you require any additional information regarding this submission, please e-mail 

CMEGSubmissionInquiry@cmegroup.com or contact Rachel Johnson at 312-466-4393 or via e-mail at 

Rachel.Johnson@cmegroup.com. Please reference our CME SDR Submission No. 19-255 in any related 

correspondence.

Sincerely, 

/s/ Tim Elliott

Executive Director and Associate General Counsel