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Chapter 6 — Dispute Resolution and Arbitration

Rule Violation Whether composition may be offered Composition Amount which may be Offered by the Exchange, where the Exchange has Determined the Member, Approved Trader and/or Registered Representative to be Liable Mandatory minimum penalty imposable by the DC
Rule Chapter/Number Brief Description of Rule Members Approved Traders Registered Representatives
1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation
Chapter 6 — Dispute Resolution and Arbitration
6.2 Dispute Resolution Involving Deliverable Commodity Futures Contracts
6.2.3 Member not to fail or refuse to arbitrate where the other Member elects to arbitrate under the Rule. Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000
6.2.4 Member to cause its Customers to submit to Arbitration Not Compoundable Not Compoundable N.A. N.A. N.A. N.A. N.A. N.A. $10,000

Added on 16 May 201116 May 2011.