Market Regulation Enforcement

The Market Regulation Enforcement team works to resolve rule violations through each Exchange’s disciplinary process.

To stay up-to-date and in compliance with the changing regulatory environment

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The Enforcement team takes on cases referred by Investigations, Data Investigations, and Market Surveillance and attempts to resolve such matters through a settlement. All settlements must be approved by the Business Conduct Committee. If no settlement is reached, Enforcement has the authority to present cases to the Probable Cause Committee for the issuance of charges and prosecute alleged Exchange Rule violations before the Business Conduct Committee. The Enforcement attorneys may issue warning letters instead of seeking charges.

View Disciplinary Notices

The Market Regulation Department, administers an arbitration process available to Exchange customers and members to resolve certain Exchange-related disputes. In these matters, Enforcement attorneys serve as counsel to the Arbitration Panel. Additionally, there are specific Exchange-related disputes that must be resolved before an Exchange Arbitration Committee. For more information, or to begin the arbitration process, click here.

Chapter 4 and Chapter 6 of each Exchange's Rulebook cover the Exchange’s disciplinary and arbitration process.

 


For full details of Exchange Rules, consult our Exchange-specific Rulebooks and Market Regulation Advisory Notices. For questions about Exchange rules, call the Market Regulation Department at +1 312 341 7970.

Contact Us

If you have questions for the Enforcement team, contact the Market Regulation Department
+1 312 341 7970

For questions related to CME Globex, contact
CME Globex GCC

CME Globex Customer support is available 24 hours a day, from 2:00 p.m. Sunday through 4:30 p.m. Friday, Central time.

United States: +1 800 438 8616
Europe: +0800 898 013

Asia: +65 6532 5010
gcc@cmegroup.com

 

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