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SECURITIES AND EXCHANGE COMMISSION
(Release No. 34-77699; File No. SBSDR-2016-01)
April 22, 2016
Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application
for Registration as a Security-Based Swap Data Repository
I. Introduction
On March 29, 2016, and as amended on April 18, 2016, ICE Trade Vault, LLC (“ICE
Trade Vault”) filed with the Securities and Exchange Commission (“Commission”) a Form SDR
seeking registration as a security-based swap data repository (“SDR”) under Section 13(n) of the
Securities Exchange Act of 1934 (“Exchange Act”)
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and the Commission’s rules promulgated
thereunder.
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ICE Trade Vault proposes to operate as a registered SDR for security-based swap
(“SBS”) transactions in the credit derivatives asset class. The Commission is publishing this
notice to solicit comments from interested persons regarding ICE Trade Vault’s Form SDR,
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and
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15 U.S.C. 78m(n)(3).
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17 CFR 240.13n-1 through 240.13n-12.
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ICE Trade Vault filed its Form SDR, including the exhibits thereto, electronically with
the Commission. The descriptions set forth in this notice regarding the structure and operations
of ICE Trade Vault have been derived, excerpted, and/or summarized from information in ICE
Trade Vault’s Form SDR application, and principally from ICE Trade Vault’s Guidebook
(Exhibit GG.2), which outlines the applicant’s policies and procedures designed to address its
statutory and regulatory obligations as an SDR registered with the Commission. ICE Trade
Vault’s Form SDR application and non-confidential exhibits thereto are available in EDGAR at
http://www.sec.gov/cgi-bin/browse-
edgar?CIK=0001658496&owner=exclude&action=getcompany&Find=Search. In addition, the
public may access copies of these materials on the Commission’s website at:
http://www.sec.gov/rules/other/2016/ice-trade-vault-form-sdr.htm.
