NOTICE OF SUMMARY ACTION

FILE NO.:

DQA-18-9721

MEMBER FIRM:

INTL FCStone Financial, Inc.

RULE VIOLATION:

Rule 576. IDENTIFICATION OF GLOBEX TERMINAL OPERATORS

Each Globex terminal operator shall be identified to the Exchange, in the manner prescribed by the Exchange, and shall be subject to Exchange rules. If user IDs are required to be registered with the Exchange, it is the duty of the clearing member to ensure that registration is current and accurate at all times. Each individual must use a unique user ID to access Globex. In no event may a person enter an order or permit the entry of an order by an individual using a user ID other than the individual’s own unique user ID.

FINDINGS:

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

PENALTY:

On September 26, 2018, INTL FCStone, pursuant to Rule 512 (“Reporting Infractions”), was issued the following fines by the rule 512 Committee for its violation of Rule 576:

CME $1,000
NYMEX $1,000
Total $2,000

EFFECTIVE DATE:

October 12, 2018