Federal Register #SR-NYSENAT-2026-14

SEC Notice: Proposed Rule Change to Intercontinental Exchange, Inc. Certificate of Incorporation

This notice concerns a proposed rule change filed by NYSE National, Inc. with the Securities and Exchange Commission (SEC) regarding the certificate of incorporation of Intercontinental Exchange, Inc. (ICE): - The amendment updates ICE's certificate to reflect SEC regulations for security-based swap execution facilities (SBSEFs) - Incorporates new limitations on stockholder voting and ownership for SBSEFs - Ensures compliance with SEC Rule 834 and Regulation SE - References ICE Swap Trade, LLC (IST) as a registered SBSEF and IST Rule 410 for compliance - Includes technical updates such as renumbering paragraphs and updating certificate references - No changes are proposed to the certificate of incorporation of NYSE National, Inc. itself - The SEC is seeking public comments on this proposed rule change

Key Entities: - Government Buyer: Securities and Exchange Commission (SEC) - OEMs/Vendors: Intercontinental Exchange, Inc. (ICE), ICE Swap Trade, LLC (IST)

Notable Requirements: - Compliance with SEC regulations for SBSEFs - Technical and conforming amendments only; no substantive changes to NYSE National, Inc.

Description

This notice announces the filing and immediate effectiveness of a proposed rule change by NYSE National, Inc. to amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc. The amendment reflects regulations relating to security-based swap execution facilities (SBSEFs) and includes non-substantive and conforming changes. The changes address limitations on stockholder voting and ownership applicable to SBSEFs and ensure compliance with SEC regulations. The proposal does not change the certificate of incorporation of the Exchange itself.

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