Compliance with Minimum Financial Requirements, Financial Reporting Requirements, and Requirements Relating to Protection of Customer Funds

Participants and Clearing Members shall comply with Commission Regulations relating to minimum financial requirements, financial reporting requirements, and protection of customer funds, including Commission Regulations 38.605 and 1.52 and those Commission Regulations specified herein.

Any Participant or Clearing Member subject to Commission Regulation 1.10 - Financial Reports of Futures Commission Merchants and Introducing Brokers- that violates Commission Regulation 1.10 shall be deemed to have violated this Rule 304.1. A copy of any notice or written report that a Participant or Clearing Member is required to file with the Commission pursuant to Commission Regulation 1.10 must also be filed with the Exchange within the time periods proscribed for such filing or delivery in CFTC Regulation 1.10.

Any Participant or Clearing Member subject to Commission Regulation 1.11 -- Risk Management Program for Futures Commission Merchants- that violates Commission Regulation 1.11 shall be deemed to have violated this Rule 304.2.

Any Participant or Clearing Member subject to Commission Regulation 1.12 - Maintenance of Minimum Financial Requirements by Futures Commission Merchants and Introducing Brokers- that violates Commission Regulation 1.12 shall be deemed to have violated this Rule 304.3. A copy of any notice or written report that a Participant or Clearing Member is required to file with the Commission pursuant to Commission Regulation 1.12 must also be filed with the Exchange within the time periods proscribed for such filing or delivery in CFTC Regulation 1.12.

Any Participant or Clearing Member subject to Commission Regulation 1.17- Minimum Financial Requirements for Futures Commission Merchants and Introducing Brokers- that violates Commission Regulation 1.17 shall be deemed to have violated this Rule 304.4.

Any Participant or Clearing Member subject to Commission Regulation 1.18- Records for and relating to Financial Reporting and Monthly Computation by Futures Commission Merchants and Introducing Brokers- that violates Commission Regulation 1.18 shall be deemed to have violated this Rule 304.5.

Any Participant or Clearing Member subject to Commission Regulation 1.20 -- Futures Customer Funds to Be Segregated and Separately Accounted For- that violates Commission Regulation 1.20 shall be deemed to have violated this Rule 304.6.

Any Participant or Clearing Member subject to Commission Regulation 1.21- Care of Money and Equities Accruing to Customers- that violates Commission Regulation 1.21 shall be deemed to have violated this Rule 304.7.

Any Participant or Clearing Member subject to Commission Regulation 1.22- Use of Futures Customer Funds Restricted- that violates Commission Regulation 1.22 shall be deemed to have violated this Rule 304.8.

Any Participant or Clearing Member subject to Commission Regulation 1.23- Interest of Futures Commission Merchants in Segregated Futures Customer Funds; Additions and Withdrawals- that violates Commission Regulation 1.23 shall be deemed to have violated this Rule 304.9.

Any Participant or Clearing Member subject to Commission Regulation 1.24- Segregated Funds; Exclusions Therefrom- that violates Commission Regulation 1.24 shall be deemed to have violated this Rule 304.10.

Any Participant or Clearing Member subject to Commission Regulation 1.25- Investment of Customer Funds- that violates Commission Regulation 1.25 shall be deemed to have violated this Rule 304.11.

Any Participant or Clearing Member subject to Commission Regulation 1.26- Deposit of Instruments Purchased with Futures Customer Funds- that violates Commission Regulation 1.26 shall be deemed to have violated this Rule 304.12.

Any Participant or Clearing Member subject to Commission Regulation 1.27- Record of Investments- that violates Commission Regulation 1.27 shall be deemed to have violated this Rule 304.13.

Any Participant or Clearing Member subject to Commission Regulation 1.28- Appraisal of Instruments Purchased with Customer Funds- that violates Commission Regulation 1.28 shall be deemed to have violated this Rule 304.14.

Any Participant or Clearing Member subject to Commission Regulation 1.29- Gains and Losses Resulting from Investment of Customer Funds- that violates Commission Regulation 1.29 shall be deemed to have violated this Rule 304.15.

Any Participant or Clearing Member subject to Commission Regulation 1.30- Loans by Futures Commission Merchants; Treatment of Proceeds- that violates Commission Regulation 1.30 shall be deemed to have violated this Rule 304.16.

Any Participant or Clearing Member subject to Commission Regulation 1.31- Regulatory Records; Retention and Production- that violates Commission Regulation 1.31 shall be deemed to have violated this Rule 304.17.

Any Participant or Clearing Member subject to Commission Regulation 1.32- Reporting of Segregated Account Computation and Details Regarding the Holding of Futures Customer Funds- that violates Commission Regulation 1.32 shall be deemed to have violated this Rule 304.18.