Notice of Disciplinary Action

Chicago Mercantile Exchange Inc.
NOTICE OF DISCIPLINARY ACTION

FILE NO:              23-CH-2322

MEMBER FIRM:   RBC Capital Markets, LLC

CME Rule:            980. REQUIRED RECORD AND REPORTS

                            A. Each clearing member shall prepare, maintain and keep current those books and records required by the rules of the Exchange, the Commodity Exchange Act and the Regulations thereunder. Such books and records shall be open to inspection and promptly provided to the Exchange upon request          

FINDINGS:          Pursuant to an offer of settlement in which RBC Capital Markets, LLC neither admitted nor denied the rule violation upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that RBC Capital Markets, LLC violated CME Rule 980.A.

PENALTY:            In accordance with the settlement offer, the Committee imposed a $50,000 fine.

EFFECTIVE DATE:     October 13, 2023