| 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.