• Order Routing/Front-End Audit Trail Requirements

      • To
      • Members, Member Firms and Market Users
      • From
      • Market Regulation Department
      • #
      • CME Group RA1520-5
      • Notice Date
      • 14 December 2015
      • Effective Date
      • 29 December 2015

    • This Advisory Notice supersedes CME Group Market Regulation Advisory Notice RA1509-5 from June 29, 2015, and is being issued based on a revision to CME, CBOT, NYMEX and COMEX Rule 536.B.2. which codifies that electronic order routing/front-end audit trail information must be provided to the CFTC pursuant to applicable CFTC recordkeeping provisions by an Exchange Clearing Member Firm (“CMF”), notwithstanding that the Rule permits an Exchange Clearing Member Firm to delegate the archiving and retention requirements for such audit trail to another CMF or Equity Member Firm in circumstances where such other firm is a direct connect client.  

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