Chapters
Rule 1004

Confidentiality

Except as provided in this Rule 1004, all information provided by a Participant or Clearing Member to the Exchange or the Clearinghouse shall be held in confidence and shall not be made known to any other Person except as follows:

  1. with the consent of the Participant or Clearing Member, as applicable, providing such information;

  2. to a Governmental Authority, if the Exchange or the Clearinghouse is requested or legally required to do so by such government agency;

  3. pursuant to legal process;

  4. to a Clearinghouse of which such a Clearing Member is a member or in connection with the clearing of a Contract;

  5. subject to appropriate confidentiality requirements, to any Person providing services to the Exchange or the Clearinghouse, including but not limited to the Regulatory Services Provider;

  6. to the Board, any committee, Exchange or Clearinghouse Employee, attorneys and auditors, and to agents and independent contractors that have been engaged by the Exchange or the Clearinghouse who require such information in connection with the discharge of their duties to the Exchange or the Clearinghouse; and

  7. as otherwise permitted under the Rules.

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