• Revisions to Rule 536.D. ("Customer Type Indicator (CTI) Codes")

      • To
      • Members, Member Firms and Market Users
      • From
      • Market Regulation Department
      • #
      • SER-7047
      • Notice Date
      • 02 April 2014
      • Effective Date
      • 16 April 2014


    • As notified in Market Regulation Advisory Notice RA1401-5, effective on April 16, 2014, CME, CBOT, NYMEX and COMEX will adopt revisions to Rules 536.D. to codify that privately negotiated transactions executed as block trades pursuant to Rule 526 ("Block Trades") or EFRP transactions executed pursuant to Rule 538 ("Exchange for Related Positions") are subject to accurate Customer Type Indicator ("CTI") Code reporting by clearing member firms.  The revisions also eliminate a reference in CBOT Rule 536.D. to a CTI 2/1 Conversion Program that no longer exists.

      PLEASE CLICK HERE TO VIEW FULL SER ADVISORY