NOTICE OF SUMMARY ACTION

FILE NO:

CBOT DQA‐23-1331

MEMBER FIRM:

Credit Suisse Securities (USA) LLC

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 September 1, 2023, to September 30, 2023, Credit Suisse Securities (USA) LLC violated Rule 536.D by assigning trades inaccurate Customer Type Indicator (CTI) Codes.

PENALTY:

On November 1, 2023, Credit Suisse Securities (USA) LLC, pursuant to Rule 512 (“Reporting Infractions”), was issued a $1,000 fine for its violation of Rule 536.D.

EFFECTIVE DATE:

November 17, 2023