AQUA-INDEX EXCHANGE, LLC 

216 West Jackson Blvd 

Suite 400 

Chicago, IL 60606 

SC1:3869269.1A

Via E-mail

May 27, 2015

Assistant Secretary of the Commission for FOI Matters,

Privacy and Sunshine Acts Compliance

Commodity Futures Trading Commission,

Three Lafayette Centre,

1155 21st Street, N.W.,

Washington, D.C. 20581

FOIAsubmissions@cftc.gov

Re: FOIA Confidential Treatment Request: Petition Pursuant to Regulation 145.9(d)

To Whom It May Concern:

On this date, AQUA-INDEX EXCHANGE, LLC (“AIX”) submitted by e-mail 

to Christopher J. Kirkpatrick, Secretary of the Commodity Futures Trading Commission 

(the “Commission”), the pdf file listed below, which constitutes AIX’s application to be 

designated as a contract market pursuant to Section 5 of the Commodity Exchange Act, 

as amended (the “CEA”), and Part 38 of the regulations promulgated by the 

Commission:

1. DCM_Application_Privileged_and_Confidential.pdf.

By this petition, AIX requests confidential treatment of the following materials contained 

in the above-mentioned pdf file, a copy of which is attached to the e-mail by which this 

petition is being submitted. Each page of following materials is marked with the 

statement “Confidential Treatment Requested by AQUA-INDEX EXCHANGE, LLC” 

pursuant to Section 145.9(d) of the Commission’s regulations promulgated under the 

CEA. 

1. Exhibit A (ownership information);

2. Exhibit B (officer and director information), including appended 

Exhibits B-1 through B-6;

3. Exhibit C (fitness standards; composition of board);

4. Exhibit D (organizational structure);

5. Exhibit E (personnel qualifications);

6. Exhibit F (staffing requirements);

7. Exhibit H (legal proceedings);

8. Exhibit I (financial information), including Appendices 1 through 3;
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SC1:3869269.1A

9. Exhibit J (affiliates’ financials);

10. Exhibit K (dues and fees);

11. Exhibit M-1 (Proposed Rule 403) and Exhibit M-2 (Overview of the 

Aqua-Index Agricultural Commodity Index Water Futures);

12. Exhibit N (executed and executable agreements), including 

appended Exhibits N-1 through N-11; 

13. Exhibit O (compliance manual), including appended Exhibit O-1;

14. Exhibit P (disciplinary tools and procedures);

15. Exhibit Q (matching algorithm with examples);

16. Exhibit R (rules prohibiting trade practice violations);

17. Exhibit S (maintenance of trading data);

18. Exhibit T (clearing arrangements); 

19. Exhibit U (information subject to confidentiality request); and

20. Exhibit V (technology questionnaire).

Pursuant to Sections 8(a) of the CEA, and Commission Regulation § 

145.9(d), AIX requests confidential treatment of the Confidential Materials under the 

Freedom of Information Act on the grounds that disclosure of such materials would 

reveal trade secrets and/or confidential commercial information of AIX. The Confidential 

Materials are proprietary to AIX and contain highly sensitive and confidential business 

and technology information. In addition to violating AIX’s proprietary rights, the 

disclosure of the Confidential Materials would grant competitors an unfair competitive 

advantage and/or compromise the competitive advantages possessed by AIX. 

Accordingly, we ask that you take appropriate steps to keep the Confidential Materials 

confidential and that you restrict the re-distribution of the Confidential Materials.

Pursuant to Commission Regulation § 145.9(d)(5), AIX hereby requests 

that the Confidential Materials be afforded confidential treatment in perpetuity.

AIX requests that the Commission notify the undersigned immediately 

after receiving any Freedom of Information Act request, any court order, subpoena, or 

summons seeking to access the Confidential Materials in whole or in part. AIX further 

requests notification (through the undersigned) in the event that the Commission intends 

to disclose the Confidential Materials in whole or in part. AIX does not waive its 

notification rights under Section 8(f) of the CEA with respect to any subpoena or 

summons with respect to the Confidential Materials in whole or in part.