NOTICE OF SUMMARY ACTION

FILE NO:

CBOT DQA‐22-0969

MEMBER FIRM:

BARCLAYS CAPITAL, INC.

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, 2022 to May 31, 2022, Barclays Capital, Inc. violated Rule 536.D by assigning trades inaccurate Customer Type Indicator (CTI) Codes.

PENALTY:   

On July 15, 2022, Barclays Capital, Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $2,000 fine for its violations of Rule 536.D:  CME - $1,000, CBT - $1,000 (see companion case CME DQA-22-0969).

EFFECTIVE DATE:

August 2, 2022