In addition, any FCMs, Non-FCMs, or Sole Proprietors who are CBOT Clearing
Members must comply with any additional minimum financial requirements or financial
statement filing requirements imposed on such members by the Exchange, or by the
Clearing Services Provider, pursuant to a Clearing Services Agreement.

Exchange staff may grant exceptions to the financial requirements imposed by this
Regulation, unless required by the Commodity Futures Trading Commission, for good
cause, if it is determined that such exceptions will not jeopardize the financial integrity of
the Exchange, or the Clearing Services Provider, as applicable.


October 31, 2006 = Soy

Ms. Eileen A. Donovan

Acting Secretary

Commodity Futures Trading Commission
Three Lafayette Center

1155 21* Street, N.W.

Washington, D.C. 20581

Reference File # 2734.01

Rule Certification
Dear Ms. Donovan:

Pursuant to Commission Regulation 40.6(a), the Chicago Board of Trade (CBOT®) hereby
submits the following:

- Amendments to Regulation 285.05 per the attached text (additions
underlined; deletions struck through).

Regulation 285.05 specifies Exchange financial filing requirements for FCM and clearing
member firms. The referenced technical amendments conform pertinent parts of the regulation
with established requirements of the CFTC and of the Exchange’s Clearing Services Provider
respectively.

The CBOT intends to implement these amendments no sooner than one day after the
Commissions’ receipt of this submission.

There were no opposing views concerning these amendments.

The CBOT certifies that these amendments comply with the Commodity Exchange Act and the
rules thereunder.

Sincerely,

Paul J. Draths
Vice President and Secretary

b103106


Additions underlined; Deletions struck+threugh.

285.05 Financial Requirements

A. All member firms that are registered as Futures Commission Merchants must comply
with the requirements set forth in the following CFTC Regulations:

1.10 - Financial reports;

a.

In addition to the requirements set forth in CFTC Regulation 1.10 each
member FCM must:

4. Eih 4th the-Exeh: es dited. thls: fing jal} tat ent:
Jad. 2 dited: th}: | stat +t f the
' .
firm's-fisealyear-end:and
21. Submit with the certified year-end financial statement a

reconciliation between the certified financial statement and the
unaudited monthly financial statement as of the firm’s fiscal year
end; and

32. For all financial statement filings, submit a Statement of Income
(Loss) for the period between the date of the most recent financial
statement-er-atthe- option of the-member FCM, the mestrecent
certified financial statement led with the Exchange, and

43. Each member FCM must promptly submit to the Exchange, unless
specifically exempted, copies of any financial statements (for
example, Focus Reports) submitted to any other futures or
securities exchange, self-regulatory organization, Clearing
Services Provider, or federal government agency.

Statement Certification and Attestation Requirements:

1. All financial reports submitted to the Exchange must be signed in
the manner prescribed by the Exchange by the Chief Financial
Officer, or the individual who performs the same functions,
provided that, in the case of a partnership, such individual is a
general partner.

2.  Anattestation letter must accompany all audited financial
statements that are filed with the Exchange. . The attestation letter
must certify that copies of the financial statements shall be made
available to each member of the Exchange whose membership is
registered for the FCM and each general partner if the FCM is a
partnership.

3. The signature of the Chief Financial Officer, or the person who
performs the same functions, may be waived by the Exchange, at


the discretion of the Exchange. In the event of such waiver, an
FCM will be required to have the Chief Executive Officer sign the
financial statements or, in the case of a partnership, a general
partner if the Chief Executive Officer is not a general partner.

4. Financial statements audited by an independent public accountant
must be attested to by the independent public accountant.

5. Financial statements that are filed through Exchange-approved
electronic transmission must be accompanied by the CBOT
assigned Personal Identification Numbers (PINs) of the authorized
signers. The PIN will constitute and become a substitute for the
manual signature of the authorized signer. The PIN is a
representation by the authorized signer that, to the best of his or her
knowledge, all information contained in the statement being
transmitted under the PIN is true, correct and complete.

6. The unauthorized use of a CBOT assigned Personal Identification
Number for electronic attestation by an unauthorized party is
forbidden.

1,12 - Maintenance of minimum financial requirements;
1.16 - Qualifications and reports of accountants;

1.17 - Minimum financial requirements;

vw PF YD

1.18 - Records for and relating to financial reporting and monthly
computation;

1.20 through 1.30 - Customers' Money, Securities, and Property;
1.32 - Segregated account; daily computation and record;

1.34 — Monthly record, “point balance”;

we rn

1.36(a) — Record of securities and property received from customers and option
customers; and

10. 30.7 - Treatment of foreign futures or foreign options secured amount.

Notwithstanding the foregoing requirements, the CBOT may impose additional
accounting, reporting, financial and/or operational requirements as determined necessary
by the Exchange.

Each non-FCM Clearing Member firm must file with the Exchange a certified year-end
financial statement within 90 days of the firm’s year end. In addition, such a firm is also
Tequired to file, within 45 17 business days of the statement dates, unaudited quarterly
financial statements for each of the three quarters that do not end on the firm’s year end.

Sole Proprietor Clearing Members must file with the Exchange unaudited quarterly
financial statements within 45 17 business days of the statement dates.

For firms that are regular to deliver agricultural products see Appendix 10H.
For firms that are regular to deliver Rough Rice see Appendix 37D.