NOTICE OF SUMMARY ACTION

FILE NO.:

CBOT-RSRH-23-7038

MEMBER FIRM:

STONEX FINANCIAL, INC.

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, StoneX Financial, Inc. inaccurately reported long positions eligible for delivery in the September 2023 2-Yr Treasury Note futures contract.

PENALTY:

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

EFFECTIVE DATE:

October 2, 2023