NOTICE OF SUMMARY ACTION

FILE NO.:

NYMEX-RSRH-21-6434

MEMBER FIRM:              

SG AMERICAS SECURITIES LLC

NYMEX RULES:                

Rule 811. Position Change Data

Position change data must be submitted to the Clearing House each trading day not later than the time specified by the Clearing House. Position change data will be in such form and contain such information as prescribed by the Clearing House. When requested, the identification of accounts will be made available to the Financial and Regulatory Surveillance Department.

FINDINGS:

During the month of November 2021, SG Americas Securities, LLC inaccurately reported its open interest in the Jan 2022 Crude Oil, Micro Crude Oil, E-Mini Natural Gas, and Feb 2022 Micro Crude Oil futures contracts.

PENALTY:

On December 16, 2021, pursuant to Rule 512, a fine in the amount of $3,000 was assessed against SG Americas Securities, LLC for its violation of Rule 811.

EFFECTIVE DATE:

January 5, 2022