Represents the filling firm (executing firm) of the transaction.

The location in where the trade was executed (Pit or Electronic).

The action to be taken (e.g. Edit Trader ID, Edit Trades, View Non-Trades, View Trades).

The date that the trade was processed in EFS.

How the data will be grouped (e.g. Main Account/Trading Account, Product, Trader ID, Trader ID/Trading Account, Trading Account).

The date that the trade was executed.

Applied Fee Indicator (AFI) corresponds to the respective levels on the fee schedule.

B - CBOE Member

C - Non-Member

E - Individual Equity Member, Clearing Member, Rule 106.J Corporate Equity Member Firm, Rule 106.I Member Firm, Rule 106.S Member Approved Fund

F - Rule 106.F Employee

L - Rule 106.D Lessee

O - Rule 106.H/N Firm

RH - Rule 106.R Electronic Corporate Member – Holding Member

X - Out of Division

Applied Fee Indicator corresponds to the respective levels on the fee schedule.

L1 - Individual Equity Member trading for own account.

L1D - Individual Lessee (Delegate/106.D) trading for own account.

L1F - Individual Clearing Firm Employee (Firm Appointee/106.F) trading for own account (delegate rates will apply).

L2 - Individual Equity Members (where another individual is executing the trade) and Equity Firms that have the trading rights and share minimum for the product traded.

L3 - Individual Non-Equity Members (where another individual is executing the trade) and Non-Equity Member Firms that have the trading rights but do not have share minimum for the product traded.

L3D - Individual Delegate Members where another individual is executing the trade.

L3F - Individual Clearing Firm Employee where another individual is executing the trade.

L4 - Electronic Corporate Member Firms

L5 - Non-Member

L6 - Mini-sized Contract Permit Holders (also known as a CMACE Permit)

L6D - Individual Lessee (Delegate/106.D) whom is also holding a CMACE permit.

L6F - Individual Clearing Firm Employee (Firm Appointee/106.F) whom is also holding a CMACE permit.

L7 - CME Members eligible for discounted rates on the Mini-Dow.

Applied Fee Indicator corresponds to the respective levels on the fee schedule.

DCM - GME Clearing Member

DCU - Non-Member / Customer

DFF - GME Floor Member

DMM - GME Market Maker

DOF - GME Off Floor

Applied Fee Indicator corresponds to the respective levels on the fee schedule.

C - Non-Member

E - Equity (Firm or Individual)

F - 106.F Member

L - Lessee Member (Rule106.D) (Formerly referred to as Licensee)

X - Blended - Applies to COMEX Individual members who own their seats, trading Metals Products listed on NYMEX.

Identifies the member’s acronym, typically referred to as Broker Symbol. This field should be predominately utilized for isolating PIT trading activity.

Indicator code (usually a two to five character code) for the contract traded.

Fee Incentive Indicator corresponds to the respective Incentive Program status. Blanks (or spaces) in this field mean no incentive program status applies.

Note: The Applied Fee Indicator for these Incentive Programs corresponds to Non-Member status, so this field is used to determine if Incentive Program rates were applied.

CBIP - Central Bank Incentive Program

CTAHFIP - CTA Hedge Fund Incentive Program (CME Only)

EMBIP - Emerging Markets Bank Incentive Program

FMIP - Latin American Fund Manager Incentive Program

IIP - International Incentive Program

IVIP - International Cross-Asset Volume Incentive Program

Search by transaction fee charged. Following is a list of fee types, grouped by the category under which they are billed to the clearing firm:

CBOT - Facilitation Fee

CBOT - Fee Credit

• Give-Up Surcharge
• Position Adjustment
• Position Transfer

CBOT Exchange Fees

• Exchange Fee
• Exchange Fee-NonTrd

CME - Facilitation Fee

CME Fees

• Clearing Fee (OTC)
• Exchange Fee
• Exchange Fee - Non Trd
• Fee Credit
• Give-Up Surcharge
• Maintenance Fee (OTC)
• New Brokerage-106F
• Position Adjustment
• Position Transfer
• 106F Brokerage

CBOT Brokerage Fees

• Brokerage
• 106F Brokerage
• 106F Brokerage Ind

Note: CBOT Brokerage Fees are billed to the Broker, not the clearing firm.

CME Brokerage Fees

• New Brokerage-Other
• 106D Brokerage

Note: CME Brokerage Fees are billed to the Broker, not the clearing firm.

ERIS - Maintenance Fee

NYMEX Exchange Fees

• Cash Settlement
• E/A/D Notice
• Exchange Fee
• Exchange Fee - NONTRD
• Facilitation Fee
• Fee Credit
• Give-Up Surcharge
• Lessee Surcharge
• Lessee Trading Fee
• Position Adjustment
• Position Transfer

GME Exchange Fees

• Block Surcharge
• Cash Settlement
• E/A/D Notice
• Exchange Fee – CPC, GBX, NONTRD
• Give-Up Surcharge
• Position Adjustment
• Position Transfer
• Settlement Fee

Trading activity may be isolated by either the Futures or Option indicator.

Fees billed may be isolated by the currency in which they are billed.

Regular Trading Hours (RTH), the trading session that takes place during the timeframe that the trading floor is open, whether the trade is done on the floor or electronically.

Extended Trading Hours (ETH), the electronic trading session that takes place outside of the hours during which the trading floor is open.

This is the grouping account created by firms via the account maintenance screen to group all trading accounts with the same account owner(s) and controller(s).

Field identifies the customer’s order. This number is internally generated by the order routing software that uniquely identifies an order instruction.

ALL - NYMEX and COMEX products

COMEX - COMEX products only

NYMEX - NYMEX products only

Each product can be identified by one of the following classifications:

Agriculture (AG or AGS)

Currency (CURR)

Equity Index (INDEX)

Financials (FIN) - CBOT only

Interest Rate (INT )

Note: For GME there are no Quadrant classifications, the selection criterion is ALL. For NYMEX, Product Venue is used instead of Quadrant

Field identifies the executor’s user ID, typically referred to as an Operator ID or Globex Operator IDs for electronic activity, and broker symbol for pit activity.

This is the actual trading account number that was listed on the transaction.

Field identifies the specific type of transaction executed, below are the descriptions:

PIT - PIT SPRD, PIT TRD

Ex-PIT - BLOCK, BLOCK BTIC, BLOCK SPREAD, BLOCK TACO, EFP, EFR, EFS, EXCHANGE OPTIONS FOR OPTIONS

Electronic - ELC SPRD, ELC TRD, ELEC TRD BTIC, GBX SPRD, GBX SPREAD FX LINK, GBX TRD, GBX TRD BTIC, GBX TRD TACO

Non-Trades - CASH SETTLE, DELIVERY, EXERCISE, ASSIGNMENT, EXPIRED OPTION, FUTURE FROM ASN, FUTURE FROM EXE

Over The Counter - OTC (CME Only)

Other Trading Activity - GIVE UP, POS ADJ, TRANSFER, TRANSFER RFO, EXCHANGE FOR MINI, Maintenance

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