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Chapter 5 Trading Qualifications and Practices
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504. [RESERVED]
505. BOOTH AND FLOOR PRIVILEGES
506. HEADSET PRIVILEGES ON THE TRADING FLOOR
506A. Access and Supervision
506B. Use of Headsets
507A. General Provisions
507B. Terms and Conditions of Use
507C. Electronic Surveillance
507D. Personal Electronic Devices
507E. Cameras and Video Equipment
508. GIVING AND RECEIVING OF GRATUITIES
509. [RESERVED]
510. REQUIREMENTS FOR MEMBERS AND THEIR EMPLOYEES ON THE TRADING FLOOR
511. QUALIFIED TRADERS AND BROKERS
511A. Floor Trading
511B. Globex Trading
512. [RESERVED]
513. CONDUCT, APPAREL AND BADGES
513A. General
513B. Sanctions
513C. Hearings and Appeals
514A. Definition
514B. Floor Conduct Committee Fining Authority
515. REGISTRATION AND IDENTIFICATION OF BROKER ASSOCIATIONS
515A. Definitions
515B. Registration Requirements
515C. Prohibition on Sharing of Personal Trading Profits
515D. Supervision
515E. Trading Restrictions
517-519. [RESERVED]
520. TRADING CONFINED TO EXCHANGE FACILITIES
521. REQUIREMENTS FOR OPEN OUTCRY TRADES
522. ACCEPTANCE OF BIDS AND OFFERS
524-525. [RESERVED]
527. OUTTRADES, ERRORS AND MISHANDLING OF ORDERS
527A. Outtrades Discovered During a Regular Trading Hours Trading Session
527B. Outtrades Discovered After a Regular Trading Hours Trading Session
527C. Outtrades Resolution
527D. Errors and Mishandling of Orders
529. WITHHOLDING ORDERS PROHIBITED
530. PRIORITY OF CUSTOMERS' ORDERS
531. TRADING AGAINST CUSTOMERS' ORDERS PROHIBITED
531A. General Prohibition
531B. Exceptions
532. DISCLOSING ORDERS PROHIBITED
533. SIMULTANEOUS BUY AND SELL ORDERS FOR DIFFERENT BENEFICIAL OWNERS
535. RESPONSIBILITY OF FLOOR TRADERS AND FLOOR BROKERS
536. RECORDKEEPING REQUIREMENTS FOR PIT, GLOBEX, AND NEGOTIATED TRADES
536A. General Requirements for Open Outcry Pit Trades
536B. Globex Order Entry
536C. Bunched Orders and Orders Eligible for Post Execution Allocation
536D. Customer Type Indicator (CTI) Codes
536E. Negotiated Trades
536F. CTR Enforcement Program and Sanction Schedule
536G. Telephone Recordings
536H. Retention of Records
537. SUBSTITUTION OF FUTURES FOR FORWARDS (SUB)
538. EXCHANGE FOR RELATED POSITIONS
538A. Nature of an EFRP
538B. Related Positions
538C. Quantity
538D. Prices and Price Increments
538E. Date and Time of Transaction
538F. Termination of Trading in Exchange Contracts
538G. Identification and Submission to the Clearing House
538H. Documentation
538I. Account Requirements
538J. Large Trader Requirements for EFRP Transactions
539. PREARRANGED, PRE-NEGOTIATED AND NONCOMPETITIVE TRADES PROHIBITED
539A. General Prohibition
539B. Exceptions
539C. Pre-Execution Communications Regarding Globex Trades
540. RESPONSIBILITY FOR CUSTOMER ORDERS
540A. Standard Responsibility
540B. Liability for Negligence
541. TOP STEP TRADING RESTRICTIONS IN S&P 500 STOCK PRICE INDEX FUTURES
542. SIMULTANEOUS SPREAD AND COMBINATION TRANSACTIONS
543. [RESERVED]
545. [RESERVED]
546. OPENING AND CLOSING RANGES DURING REGULAR TRADING HOURS
549. [RESERVED]
551. [RESERVED]
552. DUAL TRADING RESTRICTIONS
552A. Definitions
552B. Prohibition
552C. Exceptions
552D. Side-by-Side Trading in Eurodollar Futures Contracts
553A. Application of Average Prices
553B. Requirements for APS Trades
553C. Computation of Average Price
553D. Disclosure
554. [RESERVED]
555. TOP STEP TRADING RESTRICTIONS
555A. Definitions
555B. Top Step Restrictions
555C. Exceptions
555D. Violations
556-558. [RESERVED]
559. POSITION LIMITS AND EXEMPTIONS
559A. Bona Fide Hedging Positions
559B. Risk Management Positions
559C. Arbitrage and Spread Positions
559D. Aggregation of Positions
559E. Limited Exceptions to Aggregation for Independently Controlled Positions
559F. Violations
561. REPORTS OF LARGE POSITIONS
561A. General Provision
561B. Reportable Levels
562. POSITION LIMIT VIOLATIONS
563-572. [RESERVED]
574. GLOBEX ACCESS RESTRICTIONS
575. [RESERVED]
576. IDENTIFICATION OF GLOBEX TERMINAL OPERATORS
577. [RESERVED]
578. LIMITATION OF LIABILITY, NO WARRANTIES
579A. Customer Support
579B. GCC Communications
579C. Order Status
579D. Cancellation of Orders at Prices Outside of the Applicable Globex Price Limits
580. CME GLOBEX TRADE ALGORITHMS
581-582. [RESERVED]
583. DOMESTIC CROSS-EXCHANGE TRADING
583A. Cross-Exchange Trading by Members of Other Domestic Exchanges in Contracts Listed on Globex
583B. Cross-Exchange Trading by Members of CME in Contracts Listed on Globex or Other Electronic Trading Systems by Participating Domestic Exchanges
584-585. [RESERVED]
587A. Definition
587B. Permissible Responses
587C. Limitation of Liability
588. TRADE CANCELLATIONS AND PRICE ADJUSTMENTS
588A. Globex Control Center Authority Regarding Trade Cancellations and Price Adjustments
588B. Review of Trades
588C. Price Adjustments and Cancellations
588D. Alternative Resolution by Agreement of Parties
588E. Liability for Losses Resulting from Price Adjustments or Cancellations and Prohibition on Claims for Losses Arising From Error Trades Executed Within the Non-Reviewable Range
588F. Schedule of Administrative Fees
588G. Globex Non-Reviewable Trading Ranges
interpretations. INTERPRETATIONS & SPECIAL NOTICES RELATING TO CHAPTER 5
interpretations. ACCESS, CONDUCT AND APPEARANCE CODE
interpretations. QUOTATION CHANGES
interpretations. POSITION LIMIT AND REPORTABLE LEVEL TABLE
