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User IDs on e-cbot

Pursuant to the requirements of Regulation 9B.06, e-cbot User IDs, each order entered on e-cbot must contain a User ID identifying the individual who entered the order.

Individuals in the following categories must have an Exchange assigned and registered e-cbot User ID:

• Members of the Exchange

• Non-member employees and proprietary traders of a member or member firm

• Non-member employees and proprietary traders of non-member firms who have direct e-cbot connection

It is not permissible to access the e-cbot system using another person’s User ID or for multiple users to share an e-cbot User ID. For example, it is not permissible for a clerk to enter orders under his employer’s User ID. A clerk who enters orders for his member employer must enter such orders under his own User ID.

In connection with the use of automated trading systems, the User ID associated with the orders must be that of the individual who operates and/or administers the automated trading system during the trading session. Typically, this will be the person who adjusts the parameters of the automated program, or who initiates or disables particular algorithms and strategies.

Registered Users shall be subject to the rules of the Exchange, including, but not limited to, rules relating to order handling, trade practices and disciplinary proceedings. It is the duty of the entity or individual who employs the Registered User to supervise the user’s compliance with Exchange rules and regulations, and any violation thereof by the Registered User may be considered a violation by the employer.

Questions regarding this notice may be directed to Jennifer Baum (jbaum@cbot.com- 312.341.3124) or Shelly Goodwin (sgoodwin@cbot.com- 312.347.4123) of the Office of Investigations and Audits. For assistance with User registration, please contact Lori Ray (312.435.7195) or Jeff Hersh (312.341.7650) of the Functional Member Readiness Department.

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