• NOTICE OF SUMMARY ACTION

      • #
      • CBOT-RSRH-23-7038-2
      • Effective Date
      • 02 October 2023

    • FILE NO.:

      CBOT-RSRH-23-7038-2

      MEMBER FIRM:

      DORMAN TRADING LLC

      CBOT RULE VIOLATION:

      Rule 807. Open Long Positions During Delivery Month

      At such times and in such manner as shall be prescribed by the Manual, clearing members shall submit a complete and accurate record of dates of all open purchases for use in making deliveries. Clearing members shall be fully responsible for inventories submitted to the Clearing House. This rule shall not apply to trading in options contracts.

      FINDINGS:

      During the month of August 2023, Dorman Trading LLC inaccurately reported long positions eligible for delivery in the September 2023 CBOT Oat futures contract.

      PENALTY:

      On September 13, 2023, pursuant to Rule 512, a fine in the amount of $1,500 was assessed against Dorman Trading LLC for its violations of Rule 807.

      EFFECTIVE DATE:

      October 2, 2023

       

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