exhibmmarketaxess.pdf

Here are the key points summarized:

Rule 1001: Confidentiality

• MarketAxess SEF Officials and employees must maintain confidentiality of non-public information
• No Participant can disclose confidential information without written permission from the Chief Executive Officer

Rule 1002: Gifts and Gratuities

• Participants cannot give or permit gifts and gratuities in excess of $100 per individual per year to MarketAxess SEF Officials

Rule 1003: Market Data

• The MarketAxess SEF has proprietary interest in transaction data, bid and offer data, and derived information
• Participants cannot distribute, sell, or retransmit market data displayed on the trading system

Rule 1004: Extension or Waiver of Rules

• The MarketAxess SEF may waive or extend rules if necessary and expedient, but only to the extent not inconsistent with CEA or CFTC Regulations

Rule 1005: Effect of Amendment, Repeal or New Rule

• Amendments, repeals, or new rules that do not affect open positions are binding on all MarketAxess SEF Swaps
• Amendments, repeals, or new rules that affect open positions are only binding on new swaps listed after the effective date