NOTICE OF DISCIPLINARY ACTION23-

FILE NO.:                   23-CH-2302

MEMBER FIRM:         Macquarie Futures USA LLC          

CBOT Rule:                971. SEGREGATION, SECURED AND CLEARED SWAPS CUSTOMER ACCOUNT REQUIREMENTS                 

 A.  All clearing members must comply with the requirements set forth in CFTC Regulations 1.20 through 1.30, 1.32, 1.49 and 30.7, and Part 22 of the CFTC Regulations. This includes, but is not limited to, the following:

                   1. Maintaining sufficient funds at all times in segregation, secured 30.7 and Cleared Swaps Customer accounts.

FINDINGS:                 Pursuant to an offer of settlement in which Macquarie Futures USA LLC neither admitted nor denied the rule violations upon which the penalty is based, on March 16, 2023, the Clearing House Risk Committee found that Macquarie Futures USA LLC violated CBOT Rule 971.A.1.

PENALTY:                  In accordance with the settlement offer, the Committee imposed a $75,000 fine.

EFFECTIVE DATE:    March 17, 2023