NOTICE OF SUMMARY ACTION

FILE NO:

CBOT-DQA-21-0684

MEMBER FIRM:

BARCLAYS CAPITAL, INC.

CBOT RULE VIOLATION:

Rule 536.D. Customer Type Indicator (CTI) Codes

(In pertinent part)

Each clearing member must identify each transaction 1) executed on the trading floor, 2) executed on the Globex platform or 3) privately negotiated as a block trade pursuant to Rule 526 or an EFRP pursuant to Rule 538 on the record of the transaction submitted to the Exchange with the correct customer type indicator (CTI) code.

FINDINGS:

During the period of May 1, 2021 to May 31, 2021, Barclays Capital, Inc. violated Rule 536.D by assigning trades inaccurate Customer Type Indicator (CTI) Codes.  

PENALTY:

On June 30, 2021, Barclays Capital, Inc., pursuant to Rule 512 (“Reporting Infractions”), was issued a $1,000 fine for its violation of Rule 536.D.

EFFECTIVE DATE:

July 20, 2021