Form 1 Submission Cover Sheet, for Rule and Product Submissions

SECURITY-BASED SWAP EXECUTION FACILITY
SUBMISSION COVER SHEET
IMPORTANT: Check box if Confidential Treatment is requested 
Name of Security-Based Swap Execution Facility:_____________________________________
Platform ID of Security-Based Swap Execution Facility: ___________________________
Filing Date (mm/dd/yy): ___________
Filing Description (See Instructions):
______________________________________________________________________
SPECIFY FILING TYPE

Please note only ONE choice allowed per Submission.

Rules and Rule Amendments (except where relating to product terms and conditions – see
below)
 Self-Certification
 Approval
 Notification

Rule 807(a)
Rule 806(a)
Rule 807(d)

Rule Numbers: _________________________________________________________________
New Product
Please note only ONE product per Submission.
 Self-Certification
Rule 804(a)
 Approval
Rule 805(a)
Official Product Name: __________________________________________________________
Please check the following box if you intend to submit a request for a joint interpretation from
the Commission and the Commodity Futures Trading Commission regarding whether the new
product is a swap, security-based swap, or mixed swap pursuant to Rule 3a68-2 under the
Securities Exchange Act: 
Product Terms and Conditions (product-related Rules and Rule Amendments)
 Certification
Rule 807(a)
 Certification – Made Available to Trade Determination Rule 816(a)
 Delisting (No Open Interest)
Rule 807(a)
 Approval
Rule 806(a)
 Approval – Made Available to Trade Determination
Rule 816(a)
 Notification
Rule 807(d)
Official Name(s) of Product(s) Affected:_____________________________________________
Rule Numbers: _________________________________________________________________

Submission Cover Sheet and Instructions for Rule and Product Filings
(a) A properly completed submission cover sheet shall accompany all rule and product
submissions submitted electronically to the Commission by a security-based swap execution
facility using the EDGAR system as an Interactive Data File in accordance with Rule 405 of
Regulation S-T (17 CFR 232.405). A properly completed submission cover sheet shall include
all of the following:
(1) Organization. The name of the security-based swap execution facility filing the
submission.
(2) Date. The date of the filing.
(3) Type of Filing. An indication as to whether the filing is a new rule, rule amendment,
or new product. The security-based swap execution facility should check the appropriate box to
indicate the applicable category under that heading.
(4) Rule Numbers. For rule filings, the rule number(s) being adopted or modified in the
case of rule amendment filings.
(5) Description. For rule or rule amendment filings, a description of the new rule or rule
amendment, including a discussion of its expected impact on the security-based swap execution
facility, its members, and the overall market. The narrative should describe the substance of the
submission with enough specificity to characterize all material aspects of the filing.
(b) Other Requirements. A submission shall comply with all applicable filing
requirements for proposed rules, rule amendments, or products. The filing of the submission
cover sheet does not obviate the security-based swap execution facility’s responsibility to
comply with applicable filing requirements (e.g., rules submitted for Commission approval under
Rule 806 must be accompanied by an explanation of the purpose and effect of the proposed rule
along with a description of any substantive opposing views).
(c) Checking the box marked “confidential treatment requested” on the submission cover
sheet does not obviate the submitter’s responsibility to comply with all applicable requirements
for requesting confidential treatment in Securities Exchange Act Rule 24b-2, 17 CFR 240.24b-2,
and will not substitute for notice or full compliance with such requirements.