The Investigations team is responsible for detecting and investigating potential trade practice violations.
Trade practice inquiries generally originate from one of three sources: complaints; programmatic reviews of potential trade practice violations; and research performed by Market Regulation Investigators. During the course of reviewing complaints, trade practice program output, and research, the Investigations team may request information from participants and firms. The team may also request that individuals participate in recorded interviews. At the conclusion of the review, the Investigations team determines whether a formal investigatory case should be opened. Parties who are the subject of an investigation will be notified.
Trade practice violations reviewed by the Investigations team include:
Investigators detect and examine misconduct through several methods including:
At the conclusion of an investigation, the Investigations team will determine whether there is reason to believe a rule violation has occurred. If the team determines no violation occurred, the matter will be closed administratively with no action taken. If the team determines there is reason to believe a rule violation has occurred but that the circumstances do not warrant formal disciplinary action, the matter may be closed administratively or closed with the issuance of a letter of warning. Alternatively, if the team determines the circumstances warrant formal disciplinary action, the matter will be formally referred to the Market Regulation Enforcement team.
Market Regulation thoroughly investigates every complaint. To file a trade practice complaint, call the Regulatory Hotline at +1 312 930 3333 or complete the File a Complaint form.
For full details of prohibited trade practices, 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 Investigations team, contact the Market Regulation Department
+1 312 341 7970
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