In order to provide a common regulatory framework for market users, CME, CBOT and NYMEX have completed the substantial harmonization, to the extent possible, of their Rulebooks. Information on the recently completed harmonization of the trade practice rules which become effective on September 14, 2009, is available in Special Executive Report S-4972 (for CME and CBOT) and Special Executive Report S-4973 (for NYMEX and COMEX).

• View CME Rulebook
• View CBOT Rulebook
• View NYMEX Rulebook

View Special Executive Reports (SERs) related to rule amendments, policy changes and other exchange actions: CME, CBOT and NYMEX Rule Changes.

View CME and CBOT member solicitation privileges on the combined CME and CBOT trading floor: Special Executive Report S-4665.

Market Regulation Advisory Notices

Since the initial harmonization of the CME and CBOT Rulebooks in late 2007, the Market Regulation Department has issued a series of Market Regulation Advisory Notices, all of which appear below.

• The Advisory numbers for CBOT-only Notices begin with CBOT and end in -1
• CME-only Notices begin with CME and end in -2 and Joint CME and CBOT Notices begin with CME & CBOT and end in -3
• Since January 2009, NYMEX and COMEX have begun issuing Market Regulation Advisory Notices. The Advisory numbers for joint NYMEX and COMEX Notices begin with NYMEX & COMEX and end in -4
• Advisory Notices applicable to all four exchanges will begin with CME Group and end in -5

CME Group Market Regulation Advisory Notices RA0901-5 - Identification and Registration of Globex Operator IDs (Tag 50 IDs) (Superseded by RA0902-5) RA0902-5 - Identification and Registration of Globex Operator IDs (Tag 50 IDs) (Superseded by RA0908-5) RA0903-5 – Pre-Execution Communications (Revised) RA0904-5 – Wash Sales Prohibited (Superseded by RA0913-5) RA0905-5 – Post Close Session (Superseded by RA0906-5) RA0906-5 – Post Close Session RA0908-5 – Identification and Registration of Globex Operator IDs (Tag 50 IDs) RA0909-5 – Position Limits, Exemptions and Position Accountability RA0910-5 – Exchange for Related Positions RA0911-5 – Simultaneous Buy and Sell Orders for Different Beneficial Owners; Trading Against Customers' Orders Prohibited RA0912-5 – Reminder Regarding the Prohibition of Food and Beverages on the Trading Floor RA0913-5 – Wash Trades Prohibited Joint CME & CBOT Market Regulation Advisory Notices   RA0701-3 - Disciplinary Committee Structure RA0702-3 - Trading and Conduct Infractions RA0703-3 - Simultaneous Buy and Sells (Superseded by RA0911-5) RA0704-3 - Disclosing Orders Prohibited RA0705-3 - Wash Sales Prohibited and FAQ (Superseded by RA0904-5) RA0706-3 - Enforcement of Position Limits (Superseded by RA0909-5) RA0707-3 - Giving and Receiving of Gratuities (Superseded by RA0818-3) RA0708-3 - EFRPs and FAQ (Superseded by RA0809-3) RA0801-3 - Daily Submission of Large Trader Data RA0802-3 - Post Close Session (Superseded by RA0906-5) RA0803-3 - Quotation Changes (Superseded by Special Executive Reports S-4972 for CME & CBOT and S-4973 for NYMEX & COMEX) RA0804-3 - Outtrades, Errors and Mishandling of Orders RA0805-3 - Computerized Trade Reconstruction (“CTR”) Monthly Edit Programs (Superseded by RA0817-3) RA0806-3 - Computerized Trade Reconstruction (“CTR”) Clearing Member Back Office Audit Enforcement Program Programs RA0807-3 - Order Entry on the Consolidated Trading Floor RA0808-3 - Trading Floor Consolidation Rule Changes RA0809-3 - Exchange of Futures for Related Positions and FAQ (Superseded by RA0815-3) RA0810-3 - Identification and Registration of Globex Operator IDs (Tag 50 IDs) - (superseded by RA0901-5) RA0811-3 - Use of Wireless LAN Equipment on the Trading Floors RA0812-3 - Options Price Reporting RA0813-3 - Concurrent Long and Short Positions (Superseded by RA0819-3) RA0814-3 - All-Or-None Transactions (Reminder) RA0815-3 - Exchange of Futures for Related Positions (Superseded by RA0910-5) RA0816-3 - CTR Enforcement Program and Keypunching RA0817-3 - Computerized Trade Reconstruction ("CTR") Monthly Edit Programs (Superseded by RA0902-3) RA0818-3 - Reminder Regarding Giving and Receiving of Gratuities RA0819-3 - Concurrent Long and Short Positions RA0901-3 - All-Or-None Transactions (Superseded by RA0905-3) RA0902-3 - Computerized Trade Reconstruction ("CTR") Monthly Edit Programs RA0903-3 - Block Trades (Superseded by RA0908-3) RA0904-3 - Pre-Execution Communications (Superseded by RA0907-3) RA0905-3 - All-Or-None Transactions (Superseded by RA0906-3) RA0906-3 - All-Or-None Transactions RA0907-3 - Pre-Execution Communications (Superseded by RA0903-5) RA0908-3 - Block Trades (Superseded by RA0910-3) RA0909-3 - Computerized Trade Reconstruction ("CTR") Bracket Exception Program RA0910-3 - Block Trades Joint NYMEX & COMEX Market Regulation Advisory Notices RA0901-4 - Recordation and Retention of Records (updated) RA0902-4 - Policy on Use of Cell Phones on the Trading Floors RA0903-4 - Phones on the Top Step of the Trading Rings RA0904-4 - Disruptive Use of TAS and MO Trading Practices RA0905-4 - Options Spread Price Reporting RA0906-4 – Broker Associations (Revised) RA0907-4 – Trading at Settlement and Matched Order Transactions (Superseded by RA0909-4) RA0908-4 – Block Trades (Superseded by RA0910-4) RA0909-4 – Trading at Settlement and Matched Order Transactions RA0910-4 – Block Trades RA0911-4 – Recordkeeping Requirements for Pit Trades RA0912-4 – Reminder Regarding Price Reporting Responsibilities

CBOT Market Regulation Advisory Notices RA0701-1 - Cabinet Transactions in Option Products RA0702-1 - Treasury Position Limits RA0801-1 -  Interest Rate Block Trades (Superseded by RA0903-3) RA0802-1 -  Pre-Execution Communications Prohibited (Superseded by RA0814-1) RA0803-1 -  CBOT Agricultural Price Limits (Superseded by SER S-4688) RA0804-1 -  CBOT Agricultural Price Limits (Superseded by SER S-4688)  RA0805-1 -  Wheat Futures Closing Range Time Period   RA0806-1 - Trading Locations of Intermarket Spreads   RA0807-1 -   Treasury Position Limits   RA0808-1 -   Settlement Prices in CBOT Agricultural Futures   RA0809-1 -  Spot Month Speculative Position Limit in May 2008 Wheat Futures    RA0810-1 -  Position Limits in Treasury Futures During Last Ten Trading Days    RA0811-1 -  Settlement Procedures in CBOT Agricultural Futures (Superseded by RA0815-1)    RA0812-1 (Reissue) -  Open Outcry Trading of Treasury and Swap Futures     RA0813-1 -  Position Limits in Treasury Futures During Last Ten Trading Days     RA0814-1 -  Pre-Execution Communications Prohibited (Superseded by RA0904-3)    RA0815-1 -  Settlement Procedures in CBOT Agricultural Futures    RA0816-1 -  Position Limits in Treasury Futures During Last Ten Trading Days    RA0817-1 -  Delivery Responsibilities in Treasury Futures Markets    RA0901-1 -  Limits on Holdings of Registered and Outstanding Shipping Certificates and Warehouse Receipts (Superseded by RA0902-1)  RA0902-1 -  Limits On Holdings of Registered and Outstanding Shipping Certificates and Warehouse Receipts for Non-Commercial Purposes (Superseded by RA0903-1)  RA0903-1 -  Limits On Holdings of Registered and Outstanding Shipping Certificates and Warehouse Receipts for Non-Commercial Purposes  RA0904-1 -  Position Limits in Treasury Futures During Last Ten Trading Days  RA0905-1 -  Position Limits in Treasury Futures During Last Ten Trading Days  RA0906-1 -  Position Limits in Treasury Futures During Last Ten Trading Days  RA0907-1 -  Prohibition of Exchange of Futures for Futures (EFF) Transactions  RA0908-1 -  Settlement Procedures in CBOT Agricultural Futures CME Market Regulation Advisory Notices  RA0801-2 -  Pre-Execution Communications in CME Products (Superseded by RA0802-2)  RA0802-2 -  Pre-Execution Communications in CME Products (Superseded by RA0904-3)  RA0803-2 -  Covered Trades Involving Quarter Tick Eligible Months in CME Eurodollar Options (Superseded by RA0903-2)  RA0901-2 -  S&P 500 Futures Top Step Trading Restrictions  RA0902-2 – Broker Associations (Revised)  RA0903-2 – Quarter Tick Trading in Eurodollar Options