NOTICE OF DISCIPLINARY ACTION

FILE NO.:

DQA- 19-0186

MEMBER FIRM:

DV TRADING LLC

RULE VIOLATION:

Rule 536. RECORD KEEPING REQUIREMENTS FOR PIT, GLOBEX, AND NEGOTIATED TRADES

B.1 Globex Order Entry (in part)

Each Globex terminal operator entering orders into Globex shall accurately input for each order: a) the user ID assigned him by the Exchange, a clearing member or other authorized entity (Tag 50 ID) b) the price, quantity, product, expiration month, CTI code, automated or manual indicator (Tag 1028) and account number (except as provided in Section C.), and, for options, put or call and strike price.

FINDINGS:

During the period of July 1, 2019 through September 30, 2019, DV Trading LLC violated Rule 536.B.1 by submitting an incorrect Tag 1028 value.

PENALTY:

On December 4, 2019, pursuant to Rule 512 (“Reporting Infractions”), DV Trading LLC was issued a $1,000 fine for its violation of Rule 536.B.1.

EFFECTIVE DATE:

December 31, 2019