. Page 4:.[5] Formatted: 1/19/2007 3:31:00 PM
Line spacing: single
‘Page av [5] Formatted: "TERT 87972007 3131200 PM
Line spacing: single

Baye 4115] Formatted (2789/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted "4/19/2007 3:31:00 PM
Line spacing: single

Page 4i [5] Formatted . “¥ 8/19/2007'3:31:00 PM
Line spacing: single

Page 4: [5] Formatted °5'1/19/2007 3:34:00 PM”
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted "1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted "1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 '3:31:00 PM
Line spacing: single

Page 4: [6] Deleted 10/4/2006 4:37:00 PM
schedule

Page 4:[6] Deleted 10/4/2006 4:37:00 PM
Cc

Page 4: [6] Deleted co "40/16/2006 12:30:00 PM

transmit


(A) C or Customer if the account owner is not affiliated with the Clearing Member; or

(B) H or House — an account affliated with the Clearing Member, including parent and subsidiary
corporations, or Principals or authorized employees, trading for their own account at the Clearing Member in
which they have an ownership interest in or by whom they are employed.

It shall be a Major Offense for Floor Trading Members or Authorized Terminal Users to knowingly assign
false indicator codes to trades executed on the Exchange Floor or on Globex.

(c) Method, of Submission. All rade data shall be submitted to the Exchange by each floor member.by .

means of IMS.

{) Submission Schedule

1)_All data required to be submitted under section (a)(1) of this rule shall be submitted by the Seller +,

within fifteen (15) minutes of the trade, except that data pertaining to any trade to be considered in ‘

determining a Settlement Price by means of the Average Weighted Price mechanism must be
submitted within ten (10) minutes of the trade.

2)_All data required to be submitted under section (a)(2) of this rule shall be submitted by the Buyer
within one (1) hour of receipt of trade data through TMS from the Seller.

(3) To assure the orderly and efficient operations of the Exchange, the Floor Department Staff, in
consultation with the COMEX Floor Committee or the President of the Exchange may modify the
timeframes in which data must be submitted under this rule, upon notification of all COMEX
Members. Failure to comply with a directive modifying th jon timeframes shall subject a
Member to the sanctions applicable to violations of the timing provisions in sections (d)(1) and
(dX2) of this rule.

(e) Corrections. The Exchange shall establish the deadline by which corrections may be submitted on each
business day

(f) [Reserved
49) Trade Allocation.

(1) Ifa member or member firm receives an order or series of orders which, if filled, either partially or fully,
will require allocation of trades between or among multiple accounts, the member or member firm may input
the data pertaining to the trade executions into a specially designated allocation account to facilitate trade
check-out and data processing of such trades.

is Rule, if the

member or member firm has not received specific allocation instructions prior to trade execution or the
volume of orders required to be allocated is such that the member or member firm cannot input all data
elements needed to separately identify each account for which trades were executed before the prescribed
submission deadline, the member or member firm shall submit the trade to the Exchange using an__
aggregate account identifier that will distinguish the trades placed in the allocation account from all other
trades for which data is being submitted

(3) After initial input of data for the allocation account, the member or member firm shall input specific
account identification for each contract purchased or sold. Specific account identification for each contract
purchased or sold must be entered as soon as practicable but in no event later than the day of execution,
prior to the end of the correction period, as described in paragraph (g) above.

(4) If the member or member firm has not allocated a trade or trades held in an allocation account by the
end of the correction period on the day of trade execution, the trade or trades shall be placed in the account
of the executing floor member at his PCM.

+,\°._ Formatted: Bullets and Numbering

Deleted: NYMEX ACCESS®

Deleted: s...by the methods

’ prescribed below:{]

(1)A floor member shall submit trade

data either to the clearing member

intended to clear the trade or to the

. Exchange. Submission to a clearing

\__ | member shall be made by delivery of
‘| the top copy (the original) of the floor
in member's trading card or order ticket

to the clearing member; submission

of data to the Exchange... shall be

made ...onvline rade entry (OL T3])
\ { Deleted: (2) if a floor member
submits trade data through a clearing
member, the clearing member shall
transmit the pertinent trade data to

the Exchange by means of OLTE or
computer-to-computer
telecommunication interface (CTC).{]

‘(Daten id

Deleted: in accordance with the
following schedule:{]
Trade Execution

Bracket Period

Formatted: Line spacing: me

‘| Deleted: (f) Backup Forms of
Submission. Each clearing member
submitting trade data to the Exchange
must have available facilities to
submit trade data via magnetic tape
or diskette in case of CTC or OLTE
failure, uniess alternative
arrangements are approved by the
Exchange. Such magnetic tape or
diskette shall be generated
concurrent with the storage and
processing of trade data for OLTE or
CTC submission by the clearing
member's computer system. The
clearing member shall then submit
the magnetic tape or diskette in
accordance with the schedule set
forth in paragraph (c) of this Rule in
the event of OLTE or CTC failure.

~. (Deleted: schedule ...c...trans(—Te])


(A) Add-In Trades

"38/29/2007 .2:39:00 PM

(1) Trade Not Recorded. If any floor member discovers more than fifteen (15) minutes after a futures
transaction or more than sixty (60) minutes after an option transaction other than a cross trade was
executed, that such trade or transaction has not been recorded in the official records of the Exchange, he
shall, prior to commencement of trading on the next business day:

(a) prepare, together with the other party to the trans-action, an add-in slip on forms provided by the
Exchange reflecting the terms of such transaction;

(b) present the add-in slip to at least three members of the Floor Committee for their written approval;
however, if the add-in slip is submitted within fifteen (15) to forty-five (45) minutes of the trade's execution if
a futures transaction or within sixty (60) to ninety (90) minutes if an option transaction, a Ring Supervisor
and Floor Committee Member may approve the add-in; and

(c) after such approval, deliver a copy thereof to an employee of the Exchange for inclusion in the record of
such Exchange transactions.

(2) Approval and Disapproval. In determining whether to approve an add-in slip under this Rule, members of
the Floor Committee shall use the same criteria prescribed for trades described in Rule 104.62 ("Add-In or
Deletion Requests Which Are Promptly Discovered"). Any trade not approved pursuant to this Rule shall be
null and void and of no force or effect.

(3) Cross Trades. No cross trade may be added into the official records of the Exchange pursuant to this
Rule.

(B) Deletions. Deletion requests made more than fifteen (15) minutes after the futures transaction or sixty
(60) minutes after the option transaction was entered in the record will only be permitted in the case of:

(1) a transaction or price print posted as a result of an Exchange error; or

(2) a transaction or price print that, if permitted to stand would be inconsistent with the maintenance of
overall integrity in the marketplace.

(3) All deletion requests made pursuant to this rule must be documented and approved as follows:

(a) the requesting member must prepare a deletion request slip on forms provided by the Exchange
reflecting the specifics of the request;

(b) present the deletion slip to at least three members of the Floor Committee for their written approval;

(c) after such approval, deliver a copy thereof to an employee of the Exchange for deletion of the price from
the record of the Exchange.

(2) Approval and Disapproval. In determining whether to approve a deletion slip under this Rule, members of
the Floor Committee shall use the same criteria prescribed for trades described in Rule 104.62 ("Add-In or
Deletion Requests Which Are Promptly Discovered”).

Page 4: [3] Deleted 10/16/2006 12:14:00 PM

“Page'4: [3]/‘Deleted * ree 802642006 12:14:00 PM

by the methods prescribed below:


| 4A) If anunreconciled trade has not been ptherwise agreed upon by the executing floor members, the limit of

liability of the parties to the transaction in an arbitration shall be the opening price of the contract on the
second business day following trade execution.

(B) If either a floor or clearing member fails to notify the other of a reconciliation problem prior to the opening
of trading in that contract on the next business day, the other party's financial liability for the trade shall be
limited to that morning's opening range of prices trades.

104.87 [Deleted] __

104.88, Ove

ight of Exchange Oper

The Executive Committee or any Exchange employee di the President, including the Senior
Vice President or Vice President of Operations, or the Senior Vice President or Vice President of
‘Compliance, shall have the authority to direct any floor member or clearing member to submit to an
operational audit to be performed by the Exchange pr to submit accurate trade data in a timely fashion, Any
floor member or clearing member that is the subject of such directive shall cooperate fully and completely
therewith

In addition, upon the request of the President or any Vice-President, the Executive Committee shall meet to
determine whether, as the result of untimely trade submission, a situation involving any or all floor members

and/or clearing members exists that may tend to impair the orderly and efficient operations of the Exchange.

If the Executive Committee determines that such a situation exists:

and related personnel as may be necessary to aid in the timely submission of trade data; and

(b) the Executive Committe, may prohibit any or all floor members and clearing members from taking any
new positions in futures contracts or futures options and may limit the trading by such floor members and
clearing members to liquidating transactions. Any such determination shall be accomplished in the manner
and pursuant to the procedures set forth in Rule 8.43 ("Summary and Emergency Procedures").

"such days and at such times a (77)

\| Committee

Deleted: (A) Ifa trade submitted to
the Exchange by a clearing member
pursuant to Rule 104.83
("Transcription of Trade Data") has
been confirmed in accordance with
Rule 104.84 ("Verification of Trade
Data") and agreed upon by the
executing floor members but is
unmatched on the final unmatched
trade report of the day, the limit of
liability of the parties to the
transaction in any arbitration shall be
the settlement price of the contract on
the fourth business day after trade
execution

Deleted: Staff Authority Over

Unmatched Trades
Deleted: Upon a determination by
the President or any Vice-President
that the number of unmatched trades
either on the Exchange or with one or
more clearing members is excessive,
the President or such Vice-President
may require, in order to aid in the
timely submission trade data and the
resolution of unmatched trades: {|
(a) that any or all floor members be
available and clearing members have
an authorized representative
available at the Exchange, on such
days and at such times as may be
determined by the President or such
Vice-President, other than the hours
for trading set forth in Rule 104.02(a)
(‘Hours for Trading"), and/orf}
(b) that any or all floor members or
Clearing members have available on

Deleted: Operations and Executive

by such accurate trade

Deleted: and to resolve unmatched
'| trades in a timely fashion

Deleted: as a result of an excessive
‘umber of unmatched trades either
on the Exchange or with one oft]

Deleted: and the resolution of
unmatched trades

Deleted: , after consultation with the



(h) Average Price Data Input. Following execution of a trade intended to be reported and confirmed as an
average price trade in accordance with Rule 104.90 ("Average Price Trades"), the trade shall be input at the
trade execution price with a designation as an average price trade.

104.83 Deleted _

104.84 Verification of Trade Data

(c) Availability of Members and Clerks. Each clearing member and each floor member shall provide a
sufficient number of clerks, not less than one, authorized and registered with the Exchange, to check trades,
verify and submit trade data, and resolve ynreconciled trades throughout the day (which shall include the
evening corrections period) to insure that the general business of the members shall not be unduly hindered
or delayed. Any floor member who executed trades on a business day must have such a representative
available on the COMEX trading floor on the next business day one hour prior to the opening of the earliest
contract market which that floor member trades and each clearing member shall have such a representative
available on the COMEX trading floor by 7:15 a.m. each business day, or at such time as may be
determined by the Floor Committee or duly authorized Exchange Staff, to assist in the resolution of any __
problems, including those involving unmatched trades, which have arisen in connection with the prior day's
submission of the floor member's trade data. All members shall be present or available while their trades of
the day are being verified and submitted and shall have representatives present with a copy of all relevant
and necessary trade documentation including their trading card sand order tickets

"404.85 Deleted] —
ly

104.86 Rejection and Resolution of Trades

(a) Rejection of Trades. Trade data for each trade shall be submitted directly to the clearing member
intended to clear the trade pursuant to Rule 104.82(b) or reported to the clearing member. If the data
submitted or reported to the clearing member does not comply with the requirements set forth in Rule
104.82(a) or the account identification data is erroneous (i.e. is misnumbered or refers to an account which
is not carried by the clearing member, to an account over which the floor member has no trade execution
authority, or to an account for which the clearing member has advised the floor member, in writing, that
trades may not be executed), the clearing member may reject the trade for clearance, provided that the
clearing member so notifies the executing floor member within two (2) hours of receipt of the trade data from
the floor member or report of the trade data by the Exchange or, in the case of data submitted after the close
of trading in a particular market, within one (1) hour after receipt or report of the data.

(b) Resolution of Trades.

(1) Due Diligence. Each floor member and each clearing member shall exercise due diligence to resolve,
prior to the opening of trading on the business day following trade execution, trades for which the trade data
submitted to the Exchange for the two sides of the trade reflect differences in commodity, delivery month
and/or year, purchase or sale, price or premium, put or call, strike price, or executing brokeg,or which are
otherwise unreconciled

(2) Resubmission of Data. Trade data may be re-submitted to geconcile an otherwise wnreconciled trade _
until the end of the corrections period on the fourth business day after trade execution, provided that such
period may be extended by the Board of Directors, or a duly authorized committee thereof, if necessitated by

data processing problems.

(3) Limits of Liability.

‘{ Deleted: A separate aggregate

-{ Deleted: unmatched and

| Deleted: Clearing Member
Represented on Floor
a

identifier shall be used to distinguish
each set of trades to be averaged.

Deleted: Transcription of Trade
Data

Deleted: Operations

Deleted: (a) Floor Member's
Obligations. If a floor member or his
representative submits brokerage
‘summarizing the data on the floor
member's trading cards and order
tickets to a clearing member to
facilitate trade processing, the floor
member shall ensure that the data
thereon are transcribed accurately. -

(b) Clearing Member's Obligations. A
clearing member shall transcribe.
accurately the trade data received
from a floor member when such data
are submitted to the Exchange in
accordance with Rule 104.82
("Submission of Trade Data").

Deleted: Each clearing firm shall
have a fulltime representative on the
COMEX trading floor, who is duly
authorized to act on behaff of the
clearing firm and to accept delivery, at
a specified location on the trading
floor, of trading cards or order tickets
from floor members or theit
‘employees. Such representatives
shall be employed by only one
clearing firm, and no employee of the
Exchange may act as such
representative, Each such
representative must remain on the
trading floor throughout the day and
Until every member executing trades
through the clearing firm has
confirmed each of his trades, in
accordance with Rule 104.82 ("Floor
Member's Responsibilities -
Confirmation of Trades") and the
clearing member has submitted any
corrections resulting therefrom

Deleted: trades which are
unmatched (

Cn

Deleted: match but

.
*s LWeleted: unmatched
Deleted: Operations Committee


Page 2:.£1} Deleted : Sy us) 2/19/2007 2:38:00 PM:
(a) If any floor member discovers within fifteen (15) minutes after the proper execution of a futures
transaction or within sixty (60) minutes of an option transaction, in which he acted as seller, that the trade or
transaction has not been recorded in the official records of the Exchange or that a price was entered in the
Official record for which no transaction occurred in the ring, he shall, within that fifteen (15) minute period for
a futures transaction or sixty (60) period for an option transaction:

(1) advise an employee of the Exchange at the ring of that fact and request such employee to prepare an
add-in or deletion slip on forms provided by the Exchange reflecting the terms of such transaction;

(2) present the add-in or deletion slip to any member of the Floor Committee for approval or disapproval
provided, however, that no Floor Committee member may participate in any deliberation or decision
involving an insert or correction if that Floor Committee member has a personal or financial interest in the
requested change; and

(3) if approval by a member of the Floor Committee is noted on the add-in or deletion slip, deliver a copy
thereof to an employee of the Exchange designated for that purpose for inclusion in the record of Exchange
transactions.

(b) Approval of Add-in or Deletion. In determining whether to approve an add-in or deletion slip, a member of
the Floor Committee shall consider:

(1) bids, offers and prices prevailing both at the time the trade allegedly was executed and at the time the
add-in slip was submitted;

(2) activity in the ring at the time the trade allegedly was executed;
(3) whether such trade will establish a new high or low for that delivery month for the day; and
(4) such market and other conditions as the member of the Floor Committee may deem appropriate.

(c) Approval of Inserts or Corrections Creating New Daily High or Low or New Open or Close High or Low. A
member of the Floor Committee may not approve an add-in or deletion slip pursuant to this Rule for a trade
which would establish a new high or low price in that delivery month or futures option series for that day if:
(1) the add-in or deletion slip has not been previously presented to and approved by a Ring Supervisor; (2)
the request is not made within fifteen (15) minutes of the time of execution of a futures transaction and sixty
(60) minutes of the time of execution of an option transaction; or (3) there is a good cause shown by any
floor member for refusing approval of such add-in or deletion. For purposes of this Rule 104.62(c) it shall be
deemed to be good cause for refusing to approve such an add-in or deletion slip if the recording or deletion
thereof from the official records of the Exchange would have either caused another floor member holding a
bona fide stop or limit order to attempt to execute the order or not to execute the order elected by the subject
price.

(d) Disapproval of Add-In or Deletion. If a member of the Floor Committee or Ring Supervisor notes
disapproval on an add-in or deletion slip, the trade may not thereafter be approved without the floor member
seeking and obtaining the written approval on the add-in or deletion slip of three members of the Floor
Committee and only after such three members of the Floor Committee have consulted with the member of
the Floor Committee that originally disapproved the slip. In such event, the add-in or deletion slip must be
delivered to an employee of the Exchange designated for that purpose not later than thirty (30) minutes after
the close of trading in the ring in which the transaction occurred. Any trade not approved pursuant to this
Rule shall be deemed to be a trade that occurred at a price not above or below the high or low price for that
delivery month or futures option series during the bracket in which the transaction occurred and the floor
member who executed the trade shall make his customer equal to the difference between the price at which
the trade is deemed to have occurred pursuant to this Rule and the price at which the trade was executed.
No deletion request will be considered if made more than 15 minutes after the futures transaction or sixty
(60) minutes after the option transaction was entered in the record, except in accordance with the provisions
of Rule 104.63(B), below.


February 8, 2007
Via E-Mail

Office of the Acting Secretary
Commodity Futures Trading Commission
Three Lafayette Centre :

1155 21st Street, N.W. mt
Washington, D.C. 20581

an
Re: Rule Certification. NYMEX Submission 07.22: Notification of Amendients*”
to COMEX Division Rules 104.62, 104.82, 104.84, 104.86, and 104.88; agd thé=
deletion of COMEX Division Rules 104.63, 104.83, 104.85 and 104.87, int”
connection with the migration of COMEX from the On Line Trade Entry
(OLTE) system to the Trade Management System (TMS).

Dear Ms. Eileen Donovan:

The New York Mercantile Exchange ("NY MEX" or the "Exchange") is notifying the
Commodity Futures Trading Commission (“CFTC” or “Commission’”) of amendments to
COMEX Division Rules 104.62, 104.82, 104.84, 104.86, and 104.88; and the deletion of
COMEX Division Rules 104.63, 104.83, 104.85 and 104.87.

Effective February 12, 2007, trades executed on the COMEX Division will be processed
by the Exchange using the Trade Management System (TMS), currently used by the NYMEX
Division, rather than the On Line Trade Entry (OLTE) system that has until now been used by the
COMEX Division. The amendments to the COMEX Division Rules indicated above would
enable the use of this system and generally would require that members take the necessary steps
and adhere to the time deadlines applicable to TMS for trade data entry and processing.

Pursuant to Section 5c(c) of the Commodity Exchange Act (“Act”) and CFTC Rule 40.6,
the Exchange hereby certifies that the attached rule amendments comply with the Act, including
regulations under the Act.

If you have any questions, please contact Nancy Minett, Vice President, Compliance, at
(212) 299-2940, or myself at (212) 299-2897.

Sincerely,

Thomas F. LaSala
Chief Regulatory Officer
ce: Nancy Minett
Brian Regan



end of session

end of session

To assure the orderly and efficient operations of the Exchange, the Operations Committee or the President
of the Exchange may modify the schedule for transmission of data, upon notification of all members. Failure
to comply with a directive modifying this schedule shall subject a floor member or clearing member to the

sanctions applicable to violations of the submission schedule set forth above.

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Paye'4: [5] Formatted ©) 8/49/2007 3:31:00 PM
Line spacing: single
“SPage 4: [5} Formatted '1/19/2007'3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted #1419 /2007 3:31:00 PM:
Line spacing: single
“Page 4: [5} Formatted °4/1972007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted” 1/19/2007 3:31:00 PM
Line spacing: single

Page’4: [5] Formatted 1/19/2007 3:31:00 PM”
Line spacing: single

Page 4: [5] Formatted” 1/19/2007-3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 Pm
Line spacing: single
“Page 4: [5] Formatted 471972007 3:31:00 PM
Line spacing: single
“Page 4: [5] Formatted °°? £/49/2007-3:31:00 PM
Line spacing: single

Page4: [5] Formatted 1/19/2007. 3:31:00 PM
Line spacing: single

Page:4: [5} Formatted 1/19/2007 3:31:00 PM

Line spacing: single


(1) A floor member shall submit trade data either to the clearing member intended to clear the trade or to the
Exchange. Submission to a clearing member shall be made by delivery of the top copy (the original) of the
floor member's trading card or order ticket to the clearing member; submission of data to the Exchange

‘Page 4:[3]Deleted. ea ae eae 50 716/ 2006 12:15:00 PM ©
shall be made
Page 4: [3] Deleted 10/4/2006 1:34:00 PM

on-line trade entry (OLTE)

Page 4: [4] Deleted 10/4/2006 1:45:00 PM

in accordance with the following schedule:

Floor Member Floor Member /

Trade Execution Delivery of
Bracket Period CardsiTickets to Inmate vchaae
Clearing Member
5:30 a.m. through 6:00 a.m. 6:15 a.m. 6:30 a.m.
6:01 a.m. through 6:30 a.m. 6:45 a.m. 7:00 a.m.
6:31 a.m. through 7:00 a.m. 7:15 a.m. 7:30 a.m.
7:01 a.m. through 7:30 a.m. 7:45 a.m. 8:00 a.m.
7:31 a.m. through 8:00 a.m. 8:15 a.m. 8:30 a.m.
8:01. a.m. through 8:30 a.m. 8:45 a.m. 9:00 a.m.
8:31 a.m. through 9:00 a.m. 9:15 a.m. 9:30 a.m.
9:01 a.m. through 9:30 a.m. 9:45 a.m. 10:00 a.m.
9:31 a.m. through 10:00 a.m. 10:15 a.m. 10:30 a.m.
10:01 a.m. through 10:30 a.m. 10:45 a.m. 11:00 a.m.
10:31 a.m. through 11:00 a.m. 11:15 a.m. 11:30 a.m.
11:01 a.m. through 11:30 a.m. 11:45 a.m. 12:00 noon
11:31 a.m. through 12:00 noon 12:15 p.m. 12:30 p.m.
12:01 p.m. through 12:30 p.m. 12:45 p.m. 1:00 p.m.
12:31 p.m. through 1:00 p.m. 1:15 p.m. 1:30 p.m.
1:01 p.m. through 1:30 p.m. 1:45 p.m. 2:00 p.m.
1:31 p.m. through 2:00 p.m. 2:15 p.m. 2:30 p.m.
2:01 p.m. through 2:30 p.m. 2:45 p.m. 3:00 p.m.
2:31 p.m. through 3:00 p.m. 3:15 p.m. 3:30 p.m.
3:01 p.m. through 3:30 p.m. 3:45 p.m. 4:00 p.m.
3:31 p.m. through 4:00 p.m. 4:15 p.m. 4:30 p.m.
4:01 p.m. through 4:30 p.m. 4:45 p.m. 5:00 p.m.
4:31 p.m. through 5:00 p.m. 5:15 p.m. 5:30 p.m.

Post Settlement Session
3 minutes 15 minutes after 30 minutes after




104.82 Submission of Trade Data

(eSaler chal be responaibef he following data for each trad ted on the Exch 7 Eee ie sea sole
eller shall be responsible for reporting the following data for each trade execu! on the Exchange:
{nASeiler Ps porting a 9°: (Deleted: Floor Trading Members

Wall information recorded on a floor member's trading card pursuant to Rule 104.80(b) and order tickets
pursuant to Rule 104.81 (a) and (b);

Deleted: 2
;
.

(G) an appropriate customer type indicator (CT!) and indicator code as described in section (b) below; a

(C) the clearing member and account in which the trade will clear; and L
(Q) such other information as the Exchange may require to match and/or clear a trade.

(2) A Buyer is responsible to review trade information in TMS routinely throughout the day, and for each of
his trades, to supply the following information upon receipt of trade data input by the Seller:

(A) the time of the trade as recorded by the Buyer on his or her trading card;

({B) an appropriate customer type indicator (CT!) and indicator code as described in section (b) below,

‘C) the clearing member and account in which the trade will clear, and

(0D) such other information as the Exchange may require to clear a trade.

(b) Customer Type Indicator Codes. Floor Trading Members shall be responsible for reporting to the
Exchange on the rade Matching System ("TMS") , appropriate CTI and indicator codes for transactions _ . {Deleted: On-line Trade Eniry
executed on the Exchange Floor. Authorized Terminal Users shall be responsible for reporting to the System (‘OLTE")

Exchange and on.CME Globex®, appropriate CT! and indicator codes for transactions executed on Globex. . Del NYMEX ACCESS
Appropriate CT! and indicator codes shall include a combination from sections (1) and (2) below: a - — —

Deleted: NYMEX ACCESS®

(1) CTI Codes:

(A) When a Floor Trading Member executes trades for his/her personal account, for an account he/she
controls, or for an account he/she has an ownership or financial interest, he/she shall designate the trades
as CTI 1

(B) When a Floor Trading Member or Authorized Terminal User executes trades for the trading account of a
Member Firm or Clearing Member, helshe shall designate the trades as CTI 2. However, if the executing
Floor Trading Member has either an interest in or discretionary control over such Member Firm or Clearing
Member trading account, the indicator codes of subdivision (1) shall apply.

(C) (i) When a Floor Trading Member executes trades for the personal account of another Floor Trading
Member, or for an account that the Floor Trading Member knows is controlled by another Floor Trading
Member, he/she shall designate the trades as CTI 3

(ii) When an Authorized Terminal User executes trades on Globex for the personal account of a Floor - -| Deleted: NYMEX ACCESS®

Trading Member, or for an account that the Authorized Terminal User knows is controlled by a Floor Trading
Member, he/she shall designate such orders as CT! 3.

(D) When a Floor Trading Member or Authorized Terminal User executes trades for any account, other than
those listed in subdivision (A), (B), (C), he/she shall designate the trades as CTI 4

(2) Indicator Codes. All of the above CTI codes summarized in section (1) of this Rule must be used in
combination with one of the following indicator designations:


“Page 6: [7] Deleted oe me ee 1/19/2007 3:21:00 PM
Upon a determination by the President or any Vice-President that the number of unmatched trades either on
the Exchange or with one or more clearing members is excessive, the President or such Vice-President may
require, in order to aid in the timely submission trade data and the resolution of unmatched trades:

(a) that any or all floor members be available and clearing members have an authorized representative
available at the Exchange, on such days and at such times as may be determined by the President or such
Vice-President, other than the hours for trading set forth in Rule 104.02(a) ("Hours for Trading"), and/or

(b) that any or ail floor members or clearing members have available on such days and at such times as
may be determined by the President or such Vice President such duly authorized representative with the
power and authority to make financial commitments on behalf of the member or clearing member, and such
clerks and other personnel as the President or such Vice-President may deem necessary. Any floor member
or clearing member that is the subject of such directive shall fully cooperate and comply therewith,

Page 6: [8] Deleted 1/19/2007 3:29:00 PM

as a result of an excessive number of unmatched trades either on the Exchange or with one or more
clearing members, or


(2) when each Trading Member who was a party to the transaction and each Ciearing Member who cleared
a. portion of the transaction has indicated that such person approved of the correction; and

(3) the party making the request has made the request within a reasonable time under ail the circumstances
present; and

4 ‘rading Member presents documents that, in the opinion of the person approving the request.

sui ihe correction, an

'5) the per: roving the request has taker nsideration all of the factors set forth in subsection (B
of this Rule. The person approving such request shall prepare a written record setting forth the reasons for
making the correction and shall h to such recor of all documents submitted in. rt of the
request and the original approvals required under this subsection (F)

4G) Cross Trades. Notwithstanding any other provision of this Rule, a cross trade may be added into the
records of the Exchange only if:

(1) the trade was not recorded in the Exchange's record due to an error of an Exchange employee;

iS
=
rH
‘2
3
8
3
3
q
3
3
2
fa
rf
8
2
a
Ea
3
2
s
S
2
3
3
3
3
g
‘9
a
zB
3
8
oO
g
3
3.
e
8
is
Ea
3
iS
13
3
€
5
8
go
‘3
38

time the cross trade was executed:

(3) the Floor Committee member to whom the slip is presented signs the slip acknowledging that he
observed the floor broker announce his bid and offer, by open outcry, prior to the execution of the cross
trade:

(4) the floor member presents the signed add-in slip to a designated Exchange employee at the podium in
the ring in which the trade was executed:

proposed add-in cross trade to the ring; and

| 104.63 {Deleted}
lee

(6) the Exchange employee who supervises the trading ring in which the trade was executed announces the

(a) If any floor member

|| discovers within fifteen (15) minutes
after the proper execution of a futures
transaction or within sixty (60)
minutes of an option transaction, in
which he acted as seller, that the
‘trade or transaction has not been
recorded in the official records of the
Exchange or that a price was entered
in the official record for which no
transaction occurred in the ring, he
shall, within that fifteen (15) minute
period for a futures transaction or
sixty (60) period for an option
transaction:

(1) advise an employes of the
Exchange at the ring of that fact and
request such employee to prepare an
add-in or deletion stip on forms
provided by the Exchange reflecting
the terms of such transaction;

(2) present the add-in or deletion stip
to any member of the Floor
‘Committee for approval or
disapproval provided, however, that
no Floor Committee member may
participate in any deliberation or
decision involving an insert or
Correction if that Floor Committee
member has a personal or financial
interest in the requested change; and {
(3) if approval by a member of the
Floor Committee is noted on the add-
in or deletion slip, deliver a copy
thereof to an employee of the
Exchange designated for that
purpose for inclusion in the record of
Exchange transactions.

(b) Approval of Add-in or Deletion. in
determining whether to approve an
add-in or deletion siip, a member of
the Floor Committee shall consider:

(1) bids, offers and prices prevailing
both at the time the trade allegedly

was executed and at the time the
add-in slip was submitted;

Deleted: (A) Add-in Trades ]
(1) Trade Not Recorded. If any floor
member discovers more than fifteen
(15) minutes after a futures
transaction or more than sixty (60)
minutes after an option transaction |
other than a cross trade was



104.62 Add-in Trades or Deletion Requests,

{A) If any Trading Member discovers that a properly executed transaction in which he has participated on
the Exchange Floor has not been reported by the Exchange, or has been reported incorrectly, he
immediately shall notify the Chairman or any Vice Chairman or any member of the Floor Committee, the
Floor Manager or any Exchange Employee, who is designated by the President for such purpose, of such
fact and request that the transaction be included in the Exchange Records as an insert or correction, as the
case may be.

(B) The Chairman, any Vice Chairman, any member of the Floor Committee, the Floor Manager, or an
Exchange employee who is designated by the President for such purpose, has the authority to approve an
insert or a correction on the day the transaction was executed provided, however, that no member may
participate in any deliberation or decision involving an insert or correction if that member has a personal or
financial interest in the requested change. Any request for an insert or correction which is made later than
fifteen minutes after the subject transaction or which would effect the daily opening range or closing range or
high or low, must be approv: either the Floor Committee Chairm: Chairman, Ring Chairman, or
a designated Exchange employee including the Senior Vice President of Operations, Vice President of
Compliance, the Vice President of Floor Operations and System, or two members of the Floor Committee. in
making such determination, th amber of the Floor mittee, the Floor Manager or any Exchange
employee who is designated by the President for such purpose shall consider;

(i) bids, offers, and prices prevailing both at the time the trade allegedly was executed and at the time the
insert or correction was requested:

ii) activity in the ring at the ti trade allegedly was executed:

(iii) whether the insert or correction will establish a new high or low for that detivery month for such Trading
day; and

(iv) such market and other considerations as may be appropriate.

(C) The Exchange will keep a log of all insert or correction requests including the details of the insert or

correction requested and the name of the member or employee authorizing the insert or correction. The log

entry for any insert or correction request made later than fifteen minutes after the subject transaction must
Iso contain the name of the member making the est

(D) No insert and no correction may be made unless a request to approve the insert or correction is made
within the time limits prescribed in this Rule. If the request relates to a properly executed transaction that has
Not been reported by the Exchange, such request must be made by 3:30pm. If the request relates to a
correction of a properly executed transaction that has been erroneously reported to or by the Exchange,
such request must be made prior to the close of trading on the business day following the day on which the
transaction was executed.

(€) The Senior Vice President of Operations, Vice President of Compliance, the Vice President of Floor
Operations or the Vice President of Floor Trade Data Entry and System, shall have the authority to approve
an insert or correction up to two business days following the day on which the transaction was executed
when the Trading Member presents documents that indicate, in the opinion of the above noted Exchange
employee, that an insert or correction is warranted. Such documents include, but are not limited to, time
stamped order tickets, pit cards, trading cards, written reports of execution and other similar documents. No
insert or correction shall be approved unless the person approving the correction also takes into
consideration the factors set forth in subsection (B) of this Rule.

(E) Where a property executed transaction has been incorrectly reported and such transaction has not been
corrected within the time limits prescribed by subsections (B) (D) and (E) of this Rule, a Tradin
Member who was a party to such transaction may request the Chairman, any Vice Chairman of the Floor
Committee, the President or any of the above noted Exchange employees to approve a correction of such
transaction. Such correction shall be made when,

1) in the opinion of such person approving the correction, it appears that permitting the incorrect report to
stand would result in a manifestly gross distortion of price reporting or a manifestly gross inequity to one
party: and

-{ Deleted: Which Are Promptly
Discovered


Page 4: [5] Formatted
Line spacing: single

©-1/1942007 3;31;00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007:3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007.3:31:00 PM.

“Page a: [5] Formatted —

Line spacing: single

1/19/2007 3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007'3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007-3:31:00 PM

Page 4: [5] Formatted 1/19/2007 3:31:00 PM —
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM

Line spacing: single

‘Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

“Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

Page 4; [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM —

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM

“Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4: [5] Formatted 1/19/2007 3:31:00 PM
Line spacing: single

Page 4:.[5] Formatted 1/19/2007 3:31:00 PM -

Line spacing: single

Page 4: [5] Formatted
Line spacing: single

1/19/2007 3:31:00 PM