SUBMISSION COVER SHEET

IMPORTANT: Check box if Confidential Treatment is requested 

Registered Entity Identifier Code (optional): ___________________________ 

Organization: ______________________________________________________________________ 

Filing as a: DCM SEF DCO SDR Please note - only ONE choice allowed. 

Filing Date (mm/dd/yy): ___________ Filing Description:

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: ____________________________________________________________________ 

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(b)

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: ______________________________________________________________________ 

✔

RTX Fintech & Research LLC

✔

Liquidity-provider program

11/07/23

✔

USD interest-rate swaps

Rule 310 (Liquidity Provider Programs)
RTX FINTECH & RESEARCH LLC

Swap Execution Facility

90 BROAD ST, STE 402・NEW YORK, NY 10004

RTXFINTECH.COM・(917) 694-4856

RTX Fintech & Research LLC, 90 Broad St, Ste 402, New York, NY 10004

By Upload to CFTC Portal

Christopher J. Kirkpatrick

Secretary of the Commission

Commodity Futures Trading Commission

November 7, 2023

Self-Certification of Rule Under § 40.6(a): Liquidity-Provider Program

(“23_LP01”)

Dear Secretary Kirkpatrick:

RTX Fintech & Research LLC (RTX SEF) intends to implement a liquidityprovider program under 17 CFR § 40.6(a) on November 22, 2023. Under RTX 

SEF’s rulebook, RTX SEF intends to implement this program under Rule 310 

(entitled “Liquidity Provider Programs”). The program’s name is “23_LP01.”

Attachment A contains the program text; Attachment B, a copy of RTX SEF’s request 

for confidential treatment.

Below is the concise explanation and analysis that the Commission requires under 

§ 40.6(a)(7)(v). The program applies to RTX SEF’s electronic and voice markets for 

USD interest-rate swaps. Its purpose is to provide liquidity and promote trading in 

those markets. This program is open to all RTX SEF’s Participants.

In operation, RTX SEF will administer a process for enrollment. To enroll, 

Participants will indicate their interest in the program and execute any programrelated paperwork.

Once enrolled in the program, Participants will have certain obligations. If they 

satisfy those obligations, they will get certain benefits. Both the program’s 

obligations and benefits are in the program text (Attachment A). This incentive 
RTX FINTECH & RESEARCH LLC

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structure will produce more orderly markets because it will increase liquidity and 

trading within them.

The program complies with both the Commodity Exchange Act (Act) and the 

Commission’s regulations. Specifically, it complies with Core Principle 2 

(Compliance with Rules) and § 37.202 because it adheres to open-access principles 

and promotes a fair, transparent platform. It also aligns with Core Principle 13 

(Financial Resources) because increased trading on RTX SEF will generate more 

revenue and thus enhance our ability to maintain adequate financial resources.

No one has expressed any substantive opposing views to the rule amendment that 

RTX SEF has not incorporated into the rule. 

Finally, on behalf of RTX SEF, I certify the following:

1. RTX SEF has posted on its website a notice of pending certification with the 

Commission and a copy of this submission (redacted).

2. The rule complies with the Act and the Commission’s regulations.

If you have any questions about this submission, please contact me.

Sincerely yours,

Glenn Chaleff

Chief Compliance Officer

glenn@rtxfintech.com | (917) 694-4856
Confdental Treatment Requested by RTX Fintech & Research LLC

Attachment A

Program Text for Liquidity-Provider Program 23_LP01

CONTENTS INTENTIONALLY LEFT BLANK:

This attachment is subject to a request for confidential treatment.
Attachment B

Request for Confidential Treatment
RTX FINTECH & RESEARCH LLC

Swap Execution Facility

RTX Fintech & Research LLC, 90 Broad St, Ste 402, New York, NY 10004

By Email

Assistant Secretary of the Commission

for FOI, Privacy and Sunshine Acts Compliance

Three Lafayette Centre

1155 21st Street, NW

Washington, DC 20581

foiasubmissions@cftc.gov

November 7, 2023

FOIA Confidential Treatment Request for 17 CFR 40.6(a) Submission re 

Liquidity-Provider Program (“23_LP01”)

Dear Assistant Secretary:

Under 17 CFR 40.6(a), RTX Fintech & Research LLC (RTX SEF) filed a 

submission with the Commission today self-certifying a liquidity-provided program 

entitled “23_LP01.”

We (i.e., RTX SEF) request that the Commission afford confidential treatment 

under the Freedom of Information Act (FOIA) to the liquidity-provided program.

The grounds for this request are that disclosure would reveal our trade secrets or 

confidential commercial or financial information. And we request the confidential 

treatment for an indefinite period.

In accordance with 17 CFR 145.9(d)(4), we have marked the appropriate records for 

which we seek confidential treatment with “Confidential Treatment Requested by 

RTX Fintech & Research LLC.” We have also used an identifying number and code 

to individually mark each portion of these records.
RTX FINTECH & RESEARCH LLC

Page 2

If a FOIA request seeks the material for which we are seeking confidential 

treatment, please let us know so that we can file a detailed written justification of 

our request. Please send any such notice or justification request to:

Chief Compliance Officer

RTX Fintech & Research LLC

90 Broad St, Ste 402

New York, NY 10004

and

glenn@rtxfintech.com

If you have any questions about this request, please let me know at either (917) 694-

4856 or glenn@rtxfintech.com.

Thank you.

Sincerely yours,

Glenn Chaleff

Chief Compliance Officer

RTX Fintech & Research LLC

Cc by email:

Commission: secretary@cftc.gov

Commission, Division of Market Oversight: dmosubmissions@cftc.gov