NOTICE OF DISCIPLINARY ACTION

FILE NO.:

CBOT 06-TPR-53-BC

NON-MEMBER CLERK:

ROCCO DOTE

LEGACY CBOT REG. VIOLATION:

Appendix 3B (Functions & Responsibilities of Floor Clerks on the Exchange Floor)

The following activities are prohibited for Floor Clerks and Trainee Floor Clerks:

(5) Exercising discretion of any sort with respect to any order, including arbitrage.

FINDINGS:

After a full evidentiary hearing on the merits, on March 3, 2010, a Panel of the CBOT Business Conduct Committee (“Panel”) found that non-member clerk Rocco Dote, on August 25, 2006, exercised discretion over two customer orders, including instructing a broker which of two orders to execute. The Panel found that in so doing, Dote violated legacy Appendix 3B.

PENALTY:

In accordance with the Panel’s findings, it fined Dote $5,000.

EFFECTIVE DATE:

March 25, 2010