Chapter 5 — Arbitration

Rule Violation Whether composition may be offered Composition Amount which may be Offered by the Clearing House, where the Clearing House has Determined the Clearing Member to be Liable Mandatory minimum penalty imposable by the DC
Rule Chapter/Number Brief Description of Rule 1st Violation 2nd Violation 3rd Violation
Chapter 5 — Arbitration Clearing Member not to fail or refuse to arbitrate or settle dispute Not Compoundable Not Compoundable $10,000 Clearing Members to cause their Sellers or Buyers to agree to arbitrate if there is dispute as a result of or arising in connection with a deliverable commodity futures contract Not Compoundable Not Compoundable $10,000

Added on 16 May 201116 May 2011.