Data Investigations

The Data Investigations team conducts annual exams and periodic reviews of Market Participants to ensure the accuracy of trade data submitted to the Exchanges and the proper documentation of key activities is completed. Data elements reviewed include:

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

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  • Operator ID usage and registration
  • Suspense Account usage and documentation
  • Manual Indicator accuracy
  • Customer Type Indicator (CTI) Code exceptions
  • Front-End Audit Trail review and certification
  • Transfer Reason Code accuracy
  • Sender Location ID accuracy
  • Computerised Trading Reconstruction:
    • Firm Timestamps
    • Bracket exceptions
    • Sequencing exceptions
    • Time of Executions exceptions
    • Collection exceptions
    • Keypunch exceptions
  • Broker Association registration and restrictions
  • Brokerage Reassignment ("BK") Trades records

Data Investigations is responsible for receiving and accessing daily CFTC-required reports from Market Participants, including:

  • Large Trader Reporting
  • Open Interest Reporting
  • Ownership and Control Reporting
  • Omnibus Reporting
  • Omnibus Reporting Guidance

For questions regarding requirements, please contact the LTR Team at marketregltralerts@cmegroup.com.

For questions about Exchange Rules, call the Market Regulation department at +1 312 341 7970 or email the Rules & Regulation Outreach Team at MarketReg.Outreach@cmegroup.com.

For questions regarding the topics listed above, please email DataInvestigationsTeam@cmegroup.com. Please see the Market Regulation Advisory Notices and Special Executive Reports to stay up to date with the latest advisories and changing regulations.

MRANS

SER

CME CA

 

More in Market Regulation

    • Market Regulation Home

    • The Market Regulation Department works to protect the integrity of the Exchange markets and their participants.

    • Investigations

    • The Investigations team works to detect and investigate potential trade practice violations.

    • Market Surveillance

    • The Market Surveillance team works to identify and amend situations that may undermine fair and orderly trading of Exchange markets.

    • Enforcement

    • The Market Regulation Enforcement team aims to resolve rule violations via each Exchange’s disciplinary process.

Contact Us

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

For questions related to CME Globex, contact
CME Globex GCC

You may be able to resolve your trading issue by referring to the CME Globex resources below.

CME Group is the world’s leading derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs). 
Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX and COMEX.

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