NOTICE OF DISCIPLINARY ACTION

FILE NO.:

CBOT 10-7440-BC

NON-MEMBER:

EDWARD JONES

CBOT RULE VIOLATION:

Rule 432. (General Offenses) (in part)

It shall be an offense:
T. to engage in.... uncommercial conduct

FINDINGS:

Pursuant to an offer of settlement in which Edward Jones("Jones") neither admitted nor denied the rule violation upon which the penalty is based, on March 15,2012, a Panel of the CBOT Business Conduct Committee found that on August 9,2010,Jones executed trades on the Globexe> electronic trading platform in a user defined covered options spread in which he entered 54 individual1-lot option buy orders in the September 2010 10-Year U.S. Treasury Note 123 put options and received an under-allocation of futures that should have been associated with the covered instrument.The Panel found that in entering the 1-lot orders in such a manner,Jones violated CBOT Rule 432.T. (To engage in uncommercial conduct).

PENALTY:

In accordance with the terms of the settlement offer,the Panel fined Jones $15,000.

EFFECTIVE DATE:

March 19, 2012