April 17, 2014

CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to GTX SEF, LLC

Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) has approved the application of GTX SEF, LLC (GTX) for temporary registration as a swap execution facility (SEF). GTX is the 20th SEF temporarily registered by the CFTC to date. GTX is a Delaware limited liability company, and an indirect wholly-owned subsidiary of Gain Capital Holdings, Inc., a publicly-traded company.

GTX will be required, as will all future temporarily and fully registered SEFs, to demonstrate continued compliance with all applicable provisions of the Commodity Exchange Act and CFTC regulations, including regulations in Part 37 relating to Core Principles and Other Requirements for Swap Execution Facilities, as well as any future regulations, amendments, guidance, and interpretations issued by the CFTC. As a next step, the CFTC will undertake a substantive review of GTX’s application for full registration.

The GTX SEF, Temporary Registration Letter can be viewed under Related Links.

Last Updated: April 17, 2014