NOTICE OF SUMMARY ACTION

FILE NO.:

NYMEX-RSRH-23-6934

MEMBER FIRM:

MAREX NORTH AMERICA LLC

RULE VIOLATIONS:

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 April 2023, Marex North America LLC inaccurately reported its open interest in several instances of CBOT and NYMEX futures contracts, in violation of Rule 811.

PENALTY:

On May 10, 2023, pursuant to Rule 512, a fine in the amount of $2,000 was collectively assessed against Marex North America LLC for its violations of Rule 811, as follows (see companion case CBOT RSRH-23-6934):  CBT - $1,000, NYMEX - $1,000.

EFFECTIVE DATE:

June 2, 2023