NOTICE OF SUMMARY ACTION

FILE NO.:

NYMEX-RSRH-20-5884

MEMBER FIRM:

SG AMERICAS SECURITIES LLC

NYMEX 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 June 2020, SG Americas Securities LLC, inaccurately reported its open interest in the July 2020 WTI Crude Oil (CL) and July 2020 Henry Hub Natural Gas (NG) futures contract in violation of Rule 811.

PENALTY:

On July 13, 2020, pursuant to Rule 512, a fine in the amount of $1,000 was assessed against SG Securities LLC for its violation of Rule 811.

EFFECTIVE DATE:

August 3, 2020