NYSE Arca files rule change to amend ICE certificate for swap facility compliance
NYSE Arca is moving to update Intercontinental Exchange's certificate of incorporation as part of a regulatory filing tied to security-based swap execution facilities. The proposal also includes non-substantive conforming changes and is designed to support the exchange's capacity to meet obligations under the Securities Exchange Act.
Highlights
- NYSE Arca filed a proposed rule change with the SEC on May 20, 2026, to amend the ICE certificate under Section 19(b)(1).
- The amendment updates the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc. to address security-based swap execution facility regulations.
- The rule change will become operative upon the effective date of the Eighth Amended Certificate filing with Delaware, aligning exchange compliance with updated federal securities regulations.
Regulatory filing and proposed amendments
The U.S. Securities and Exchange Commission said NYSE Arca filed the proposed rule change on May 20, 2026, under Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4. The notice is published to solicit comments from interested parties on the amendment to the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.The exchange proposes to revise the ICE certificate to reflect regulations relating to security-based swap execution facilities, or SBSEFs, while also making non-substantive and conforming changes. The proposed rule change is available on the exchange's website and at its principal office.
Operational effect and compliance rationale
The changes described in the filing become operative when the proposed Eighth Amended and Restated Certificate of Incorporation becomes effective through filing with the Secretary of State of the State of Delaware. That step links the exchange rule change to a separate corporate filing process for ICE.NYSE Arca says the proposal is consistent with Section 6(b) of the Act, and specifically with Section 6(b)(1), because it supports the exchange's ability to carry out the purposes of the Act. The exchange also says the amendment helps it maintain the capacity to comply, and enforce compliance by members and associated persons, with federal securities laws, related regulations and its own rules.
Our earlier coverage of the dispute over the Corporate Transparency Act highlighted criticism of Treasury’s rollback of beneficial ownership reporting requirements for shell companies. The GAO review cited by lawmakers warned that exempting most entities could weaken anti-money laundering enforcement and make it harder for authorities to trace illicit finance and corporate abuse.
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