NOTICE OF DISCIPLINARY ACTION

FILE NO.:                   20-CH-2013

MEMBER FIRM:         ABN AMRO Clearing Chicago LLC

CBOT Rule:                980. REQUIRED RECORDS AND REPORTS

A.    Each clearing member shall prepare, maintain and keep current those  books and records required by the rules of the Exchange, the  Commodity Exchange Act and the Regulations thereunder. Such books and records shall be open to inspection and promptly provided to the Exchange upon request.                                                      

FINDINGS:                 Pursuant to an offer of settlement in which ABN AMRO Clearing Chicago LLC neither admitted nor denied the rule violation upon which the penalty is based, on November 19, 2020, the Clearing House Risk Committee found that ABN AMRO Clearing Chicago LLC violated CBOT Rule 980.A.

PENALTY:                  In accordance with the settlement offer, the Committee imposed a $50,000 fine.

EFFECTIVE DATE:    November 20, 2020