| 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 6 — Clearing and Settlement | ||||||
| 6.4 | Settlement of Payment Obligations | |||||
| 6.4.1 | Clearing Member to pay CDP the Final Settlement Balance during prescribed time | Compoundable | $2,000 – $4,000 | $4,000 – $7,000 | $7,000 – $10,000 | N.A. |
| 6.6A | [deleted] | |||||
| [deleted] | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
| 6.8 | [deleted] | |||||
| 6.8.2.2 | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
| 6.8.3 | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
Added on 16 May 201116 May 2011 and amended on 21 January 201321 January 2013 and 29 July 201329 July 2013.