NOTICE OF SUMMARY ACTION

FILE NO.:

NYMEX-RSRH-19-5437

MEMBER FIRM:

CITIGROUP GLOBAL MARKETS, INC

RULE VIOLAION:

NYMEX 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:

In several instances during the month of March 2019, Citigroup Global Markets, Inc., inaccurately reported its open interest in Chicago Mercantile Exchange, Chicago Board of Trade, and New York Mercantile markets in violation of Rule 811.

PENALTY:

On April 16, 2019, the Rule 512 Committee, pursuant to Rule 512, collectively assessed a fine in the amount of $6,000 against Citigroup Capital Markets, Inc. for its violation of Rule 811, allocated as follows:

EFFECTIVE DATE:

May 4, 2019