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Dual Trading in Side-by-Side Markets

Pursuant to Regulation 350.05, Floor Practices, a floor broker is prohibited from executing a trade for his personal account, or for any other account in which he has an interest or over which he has discretionary trading authority, while in possession of an executable order.

This prohibition applies with equal force in a side-by-side trading environment. As such, an individual in possession of an executable customer order to be filled in the open auction market is prohibited from trading ahead of that order for his own account on e-cbot®. Similarly, an individual in possession of an executable customer order to be filled on e-cbot is prohibited from trading ahead of that order for his own account in the open auction market.

Violations of this regulation constitute an act detrimental to the welfare of the Exchange and will result in disciplinary action by the Exchange.

Questions regarding this notice may be directed to Jennifer Baum (312-341-3124/ jbaum@cbot.com) or Shelly Goodwin (347-4123/ sgoodwin@cbot.com) of the Office of Investigations and Audits.

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