| Rule Violation | Whether composition may be offered | Composition Amount which may be Offered by CDP, where CDP 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 | ||
| Rule 13 — General | ||||||
| 13.2 | Fees Payable | |||||
| 13.2.1 | Failure to pay CDP such fees and charges for the clearing and settlement of Exchange Trades based on CDP's fee schedules from time to time and such fines and default interest as may be imposed by CDP from time to time | Compoundable | $500 | $1,000 | $2,000 | N.A. |
| 13.2.2 | Failure to pay CDP such fees and charges for the clearing and settlement of Exchange Trades based on CDP's fee schedules from time to time and such fines and default interest as may be imposed by CDP from time to time | Compoundable | $500 | $1,000 | $2,000 | N.A. |
Added on 16 May 201116 May 2011.