Market Regulation Enforcement

The Market Regulation Enforcement team works to resolve rule violations through each Exchange’s disciplinary process.

To stay up-to-date and in compliance with the changing regulatory environment

Subscribe to Notices

The Enforcement team takes on cases referred by Investigations, Data Investigations, and Market Surveillance and attempts to resolve such matters through settlement negotiations. All settlements must be approved by the Business Conduct Committee. If no settlement is reached, Enforcement has the authority to present cases to the Chief Regulatory Officer for the issuance of charges and prosecute alleged Exchange Rule violations before the Business Conduct Committee. The Enforcement attorneys may issue warning letters instead of seeking charges.

View Disciplinary Notices

The Market Regulation Department, administers an arbitration process available to Exchange customers and members to resolve certain Exchange-related disputes. In these matters, Enforcement attorneys serve as counsel to the Arbitration Panel. Additionally, there are specific Exchange-related disputes that must be resolved before an Exchange Arbitration Committee. For more information, or to begin the arbitration process, click here.

Chapter 4 and Chapter 6 of each Exchange's Rulebook cover the Exchange’s disciplinary and arbitration process.

 

For full details of Exchange Rules, consult our Exchange-specific Rulebooks and Market Regulation Advisory Notices. For questions about Exchange rules, call the Market Regulation Department at +1 312 341 7970.

Contact Us

If you have questions for the Enforcement team, contact the Market Regulation Department
+1 312 341 7970

For questions related to CME Globex, contact
CME Globex GCC

CME Globex Customer support is available 24 hours a day, from 2:00 p.m. Sunday through 4:30 p.m. Friday, Central time.

United States: +1 800 438 8616
Europe: +0800 898 013

Asia: +65 6532 5010
gcc@cmegroup.com

 

More in Market Regulation

    • Market Regulation Home

    • The Market Regulation Department works to protect the integrity of the Exchange markets and their participants.

    • Investigations

    • The Investigations team works to detect and investigate potential trade practice violations.

    • Data Investigations

    • The Data Investigations team works to ensure the accuracy of trade data, and compliance with audit trail requirements.

    • Market Surveillance

    • The Market Surveillance team works to identify and amend situations that may undermine fair and orderly trading of Exchange markets.

CME Group is the world’s leading derivatives marketplace. The company is comprised of four Designated Contract Markets (DCMs). 
Further information on each exchange's rules and product listings can be found by clicking on the links to CME, CBOT, NYMEX and COMEX.

© 2024 CME Group Inc. All rights reserved.