NOTICE OF SUMMARY ACTION

FILE NO.:

NYMEX DQA-21-0732-2

MEMBER:

EOX HOLDINGS LLC

RULE VIOLATION:

536.B GLOBEX ORDER ENTRY - GENERAL REQUIREMENT

Each Globex terminal operator entering orders into Globex shall accurately input for each Application Message all fields required to be populated by the CME iLink® Message Specifications set forth in the CME Group Client Systems Wiki in effect at the time, including, but not limited to the: operator ID; price; quantity; product; expiration month; CTI code; manual order indicator; and account number (except as provided in Section C), and, for options, put or call and strike price.

FINDINGS:

During the period of April 1, 2021 through June 30, 2021, EOX Holdings LLC violated Rule 536.B.1 by entering an inaccurate account in the Tag 1 (account) field at order entry.

PENALTY:

On January 26, 2022, EOX Holdings LLC pursuant to Rule 512 (“Reporting Infractions”) was issued a $1,000 fine for its violation of Rule 536.B.1. 

EFFECTIVE DATE:

March 8, 2022