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”). RTX SEF filed its SEF Application with the CFTC to become a Swap Execution Facility on April 21st, 2022.
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.
Canadian Regulatory Information
For Canadian Based ECPs & Persons
Province Of Ontario Exchange Exemption Filed
On April 6th, 2023, RTX SEF filed its application with the Ontario Securities Commission (“OSC”) to, among other things, exempt it from having to be recognized as an “Exchange” under the Ontario’s Securities Act. Once the OSC grants RTX SEF the exemption, Province of Ontario based ECPs and Persons are invited to join the RTX SEF.
Province Of Québec Exchange Exemption Filed
On April 13th, 2023, RTX SEF filed its application with the Autorité des Marchés Financiers (“AMF”) to, among other things, exempt it from having to be recognized as an “Exchange” under the Section 12 of the Québec Derivatives Act and other related reflef. Once the AMF grants RTX SEF the exemption, Province of Québec based ECPs and Persons are invited to join the RTX SEF.
On May 18th, 2023, the Autorité des Marchés Financiers listed the RTX SEF application on their website for public comment for 30 days. See AMF Le Bulletin – Volume 20, n° 19 - Détail here for more details, or this relevant section.
US Regulatory Information
For US Based ECPs & Persons
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.
RTX SEF Rule Book (Current Version)
SEF Application Public Filings
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© 2023