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

✔

Revised fee schedule

10/19/23

✔

interest-rate swaps
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

October 19, 2023

Self-Certification of Rule Amendment Under § 40.6(a): Fee Schedule

Dear Secretary Kirkpatrick:

RTX Fintech & Research LLC (RTX SEF) intends to implement an amended fee 

schedule under 17 CFR § 40.6(a) on November 2, 2023. This fee schedule replaces 

the one that RTX SEF submitted to the Commission on October 3, 2023 (which

went into effect on October 18, 2023).

Attachment A contains the amended fee schedule (version 1.2); Attachment B, an 

annotated version of the amended fee schedule (indicating deletions and additions); 

and Attachment C, 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). This fee schedule amends the dues, fees, and other charges that RTX 

SEF imposes for the swap-execution-facility services it provides. Its general purpose 

is to differentiate RTX SEF as a swap execution facility to better attract liquidity to 

its electronic and voice markets; in operation, RTX SEF will use the amended fee 

schedule to charge Participants for its services, which should attract liquidity to its 

markets.

The amended fee schedule complies with both the Commodity Exchange Act (Act) 

and 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.
RTX FINTECH & RESEARCH LLC

Page 2

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 amended 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
Attachment A

Amended Fee Schedule (Version 1.2)

CONTENTS INTENTIONALLY LEFT BLANK:

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

Annotated Version of Amended Fee Schedule

CONTENTS INTENTIONALLY LEFT BLANK:

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

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

October 19, 2023

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

Amended Fee Schedule (Version 1.2)

Dear Assistant Secretary:

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

submission with the Commission today self-certifying an amendment to its fee 

schedule (now version 1.2).

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