The Market Regulation Enforcement team works to resolve rule violations through each Exchange’s disciplinary process.
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 Chief Regulatory Officer 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.
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.
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.
If you have questions for the Enforcement team, contact the Market Regulation Department
+1 312 341 7970
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