MARKET REGULATION ADVISORY NOTICE______________________________________________________________________
ExchangeCME

Subject

Reminder Regarding Requirements and Conditions inConnection with Accessing the Trading Floor

Rule References

Various

Advisory Date

October 1, 2021

Advisory Number

CME RA2108-2

As a reminder, CME has disseminated and posted Guidelines for Trading Floor Access (“Guidelines”)
outlining the processes and procedures that apply to accessing the trading floor. The Guidelines areavailable on the CME Group website at www.cmegroup.com/info. These Guidelines are subject tochange at any time, and members and their employees remain responsible for ensuring that they review
any changes upon notification that they have changed.
Strict adherence to the Guidelines is critical to ensure the safety of all parties on the trading floor,
including Exchange staff. Any violation of these requirements and conditions may result in a person
being directed to leave the trading floor, and may result in disciplinary action.
Prior to accessing the trading floor, all parties will be required to sign a waiver of liability. In addition, firms
and members with employees on the trading floor will be required to sign an indemnification agreement.
Those f orms are available on the CME Group website at www.cmegroup.com/info.
The f ollowing non-exhaustive list of requirements and conditions apply to all members and employees ofmembers while on the trading floor:
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Face shields or face masks must be worn in accordance with the Personal Protective Equipment
Requirements and Enhanced Cleaning Precautions as set forth in the Guidelines;
Compliance with the Required Health Assessment Procedures as set forth in the Guidelines,including temperature screening and screening for any other symptoms prior to entering;
Agreement to leave the trading floor immediately when directed to do so by any Exchange
employee or security personnel;
Agreement not to enter the building with Covid-19 or with any suspicion that you may have Covid19, and agreement to follow all directions of Exchange staff concerning return to the trading floor;
Maintenance of social distancing in accordance with the Guidelines;
Adherence to all posted signs and markers; andAdherence to the directions of Exchange staff regarding entry and exit routes, and the use ofshared spaces (lobby, coatroom, breakroom).

Members and employees of members may not, under any circumstances, create a disturbance inconnection with these requirements and conditions. If you observe someone failing to comply with theserequirements and conditions, Exchange staff should be alerted immediately.
You must comply with temperature screening and any other required screening prior to being able toenter the trading floor. If you do not, you will not be permitted to enter the trading floor and will bedirected to leave the premises immediately. While on the trading floor, you must comply with all
directions of Exchange staff, and obey all posted signs and markers, including this Advisory Notice.
Failure to comply with these requirements and conditions will result in the matter being directed to theChief Regulatory Officer for handling pursuant to the provisions of Rule 513.B.4. (“Conduct, Apparel,Badges – Sanctions”) which authorizes the Chief Regulatory Officer to impose a f ine up to $5,000 perof fense. Notwithstanding the foregoing, pursuant to Rule 513.B.5., the Market Regulation Department

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October 1, 2021
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may also refer the matter to the Chief Regulatory Officer for the issuance of charges pursuant to Rule 406(“Issuance of Charges”).
Failure to comply with the requirements and conditions set forth in this Advisory Notice and any
applicable CME Group policies may be deemed to violate the following rules, or any other applicable
rules:
Rule 432.Q. (“General Of fenses – to commit an act which is detrimental to the interest or welfare of theExchange or to engage in any conduct which tends to impair the dignity or good name of the Exchange”)
Rule 432.S. (“General Of fenses – to fail to comply with an order of the Board, Exchange staff or anyhearing committee”).
In addition to the foregoing, pursuant to Rule 413 (“Summary Access Denial Actions”), the Chief
Regulatory Officer may order that any party be denied access to any or all CME Group markets or be
immediately removed from the trading floor or facility owned or controlled by CME Group.
Members are reminded that pursuant to Rule 501 (“Employees of Members”) they are responsible for
ensuring that their employees comply with all Exchange rules and may, subject to a determination by an
Exchange disciplinary committee, be liable for any fines imposed upon such employees by the Exchange.
Additionally, a member’s failure to diligently supervise its employees and agents may result in charges fora violation of Rule 432.W. (“General Offenses – f or any party to fail to diligently supervise its employees
and agents in the conduct of their business relating to the Exchange”).
While the Video Trade Resolution System (VTRS) is not available in the new Eurodollar and SOFR
options pit, Market Regulation may review surveillance video to assist with the resolution of an outtrade at
the request of a member.
Questions regarding this Advisory Notice may be directed to:Business Continuity Management at BCM@cmegroup.com; orMarket Regulation Rules & Regulatory Outreach at MarketReg.Outreach@cmegroup.com.

For media inquiries concerning this Advisory Notice, please contact CME Group Corporate Communications at 312.930.3434 or
news@cmegroup.com.