Company Description

RTX Holdings, Inc, a Delaware coproration, is the parent for both subsidiaries below:

RTX Fintech and Research, LLC (“RTX SEF”)

RTX SEF is the trading venue on which all interest rate products are executed. RTX SEF is regulated in the United States pursuant to Section 5h of the Commodity Exchange Act and Part 37 of the regulations promulgated by the Commodity Futures Trading Commission (“CFTC”).

On April 21st, 2023, the US CFTC granted RTX SEF its Swap Execution License under Section 5h of the Commodity Exchange Act (CEA) and CFTC Regulation 37.3(b). See Press Release here.

RTX IB Services, LLC (“RTX IB”)

RTX IB is acts as an Introducing Broker and is regulated by the CFTC via the National Futures Association (“NFA”). RTX IB acts as agent executing financial futures on the Chicago Mercantile Exchange (“CME” and the Chicago Board of Trade (“CBOT”). RTX IB was granted its Introducing Broker license by the NFA on Febraury 16th, 2023.

The RTX IB NFA ID is 0546853.

Please click here on the NFA Basic System for more.

Daily Trade Activity

RTX Daily Trade Activity

Canadian Regulatory Information

Province Of Ontario Exchange Exemption Granted

On July 21st 2023 the Ontario Securities Commission (“OSC”) granted RTX SEF an exemption from its Exchange requirement under the Province of Ontario’s Securities Act.

Please see attached OSC Exemption Order here.

Province Of Québec Exchange Exemption Granted

On July 17th 2023 the Autorité des Marchés Financiers (“AMF”) granted RTX SEF an exemption from its Exchange requirement under Section 12 of the Québec Derivatives Act.

Please see attached AMF Exemption Order here.

U.S. Regulatory Information

Swap Execution Facility License under CFTC Rules

RTX SEF is registered with the US Commodity Futures Trading Comission ("CFTC") as a Swap Execution Facility under Section 5h of the Commodity Exchange Act (CEA) and CFTC Regulation 37.3(b).

Please see below 1) Current RTX Rulebook and ii) public exerpts from RTX SEFs SEF Application on file with the CFTC.

Please click here on the CFTC Website for more.

Rule Books & Product Listings:

RTX SEF Rulebook (Current)

RTX SEF Rulebook Product Listing

RTX SEF Rulebook_230113

SEF Application Public Filings

RTX Transmittal Letter