NOTICE OF SUMMARY ACTION

FILE NO.:

DQA-18-9720

MEMBER FIRM:

DEUTSCHE BANK, AG

RULE VIOLATION:

Rule 576. IDENTIFICATION OF GLOBEX TERMINAL OPERATORS

FINDINGS:

During the period of April 1, 2018 to June 30, 2018, Deutsche Bank, AG violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System.

PENALTY:

On September 12, 2018, Deutsche Bank, AG, pursuant to Rule 512 (“Reporting Infractions”), was issued a $2,500 fine by the 512 Committee for its violation of Rule 576.

EFFECTIVE DATE:

September 28, 2018