Market Regulation

Course Overview

Market Regulation works to protect market integrity, to enforce rules that protect all market participants, and to act proactively to mitigate risks to prevent damage to the marketplace. Market participants need to understand and comply with Exchange Rules. This course can assist market participants by providing information and resources necessary to meet their compliance needs.

This course covers:

• Regulatory Overview
• Market Regulation: Meet the Team
• Wash Trades
• EFRP
• Block Trades
• Disruptive Practices Prohibited
• CME Globex Operator ID Requirements
• Pre-Execution Communications
• Enforcement Process