NOTICE OF SUMMARY ACTION

FILE NO:        

CME RSRH-23-7104

MEMBER FIRM:

StoneX Financial Inc.

RULE VIOLATION:

Rule 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 November 2023, StoneX Financial, Inc. inaccurately reported its open interest in the November 2023 COMEX Cooper (HG) Futures contract, November 2023 CBT Corn (C) options contract, and November 2023 CME Feeder Cattle (62) futures contract resulting in an overstatement, in violation of Rule 811.

PENALTY:

On December 13, 2023, pursuant to Rule 512, a fine in the amount of $3,000 was collectively assessed against StoneX Financial Inc. for its violations of Rules 811, as follows (see companion cases CBOT RSRH-23-7104 and COMEX RSRH-23-7104):  CME - $1,000, CBOT - $1,000, COMEX - $1,000.

EFFECTIVE DATE:

January 9, 2024