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Exchange Fee System (EFS) User Manual

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1. Broker Details Page lofi 2Rows Show All Extract Prev Go To Page 1 GO ie Length 10 SET Next E eae rr ac 04 29 2004 01 18 2005 F lt e 01 19 2005 12 31 9999 F re Broker Hame Broker Symbol Effective Date Expiration Date CME Seale GEM Qualifying Firmild Qualifying Firm Name Badge Firmid Badge Firm Name Restriction TypeEdit Account Owners Firm Name Main Account ID Effective Date Expiration Date No records found matching the Search criteria Firm Name Main Account ID Effective Date Expiration Date Account Controllers Firm Name Main Account ID Effective Date Expiration Date No records found matching the search criteria Firm Hame Main Account ID Effective Date Expiration Date Exchange CME 7 o EFS Manual May 2012 65 lt 2 CME Group Exchange Fee System Broker Details Page 1of1 1 Row Show All Extract Prev Go To Page 1 Go Page Length 10 SET Mest E Effective Date Expiration Date eo eo COMEX Option Qualifying Firmid Qualifying Firm Name Badge Firmid eee Sear COMEX 02 02 2009 12 31 9999 Account Owners 0 Frmime Y Main Account ID Effective Date Expiration Date Mo records found matching the search criteria Firm ame Main Account ID Effective Date Expiration Date Account Controllers Main Account ID Effective Date Expiration Date Mo records found matching the search criteria
2. Exchange WVEXICOMER OB Search Mode Incentive Programs the search results will return the following information e Firm Details Firm Name Membership Details details vary by Exchange Effective and Expiration Dates e Account Owners Firm Name Main Account ID Effective and Expiration Dates l Firm Details Extract mia d NMO Non Member IIP 06 04 2010 12 31 9999 Account Owners Page lofi 1 Row Show All Extract Go To Page 1 eam Page Length 10 SET 4 Prev a HED Page Leng Next E d Main Account ID Effective Date Expiration Date see 4 06 04 2010 12 31 9999 Main Account ID Effective Date Expiration Date Exchange CBOT Incentive Program International Incentive Program IP Firm Details Extract 02 01 2009 42 31 9999 Account Owners Fimiame Main Account ID Effective Date Expiration Date No records found matching the search criteria e Main Account ID Effective Date Expiration Date Exchange CME Incentive Program International Incentive Program IP EFS Manual May 2012 66 lt 2 CME Group Exchange Fee System Extract Firm Details NYMEX COMEX COMEX Option Effective Date Expiration Date 02 01 2005 12 31 9999 NYMEX COMEX COMEX Option Effective Date P Expiration Date Account Owners Main Account ID Effective Date Expiration Date No records found matching the search criteria Main Account ID Effective Date
3. Trading Accounts Page lofi 5Rows Show All Extract Go To Page 1 GO Page Length 10 SET 1 Check All Hi Trading Accountr Effective Date Expiration Date USER GUIDE 07 02 2010 12 31 9999 H it O CHAPTER1 07 02 2010 12 31 2010 Delete Update oO CHAPTER 07 02 2010 12 31 2010 Delete Update O CHAPTER3 07 02 2010 12 31 2010 Delete Update oO CHAPTER4 07 02 2010 12 31 2010 Delete Update Add Trading Account s CHAPTERS 07 06 2010 12 31 9999 CHAPTERS 07 06 2010 12 31 9999 d A confirmation message will appear above the Account Details stating that the new Trading Account s have been successfully added Trading account s hawe been successfully added NOTE Ifthe number of Trading Accounts registered exceeds 10 the system will automatically paginate the list at this time To display all Trading Accounts select the Show All hyperlink to remove the pagination 5 4 2 Adding Owners Controllers to the Main Account The account owners and controllers must be added to the Main Account in order to ensure that the appropriate fees will be applied To add an owner controller to a Main Account the User will need to do the following 1 Adding Owners a From the section labeled Account Owners select Add from the drop down list above the Actions column Account Owners Firm Mame D Effective Date Expiration Date Actions No records found matching the search criteria Add an Account Owner After sel
4. 3 5 Appendix I Transaction Viewer Basic Search Field Definitions Firm Represents the filling firm executing firm of the transaction Location The location in where the trade was executed Pit or Electronic Mode The action to be taken e g Edit Trader ID Edit Trades View Non Trades View Trades Process Date The date that the trade was processed in EFS Summarized By How the data will be grouped e g Main Account Trading Account Product Trader ID Trader ID Trading Account Trading Account Trade Date The date that the trade was executed 3 6 Appendix Il Transaction Viewer Advanced Search Field Definitions Applied Fee Indicator Applied Fee Indicator AFI corresponds to the respective levels on the fee CME schedule B CBOE Member BP eFX Bank Incentive Program BIP Participant C Non Member Individual Equity Member Clearing Member Rule 106 J Corporate Equity Member Firm Rule 106 1 Member Firm Rule 106 S Member Approved Fund Rule 106 F Employee Rule 106 D Lessee Rule 106 H N Firm H Rule 106 R Electronic Corporate Member Holding Member RW Rule 106 R Electronic Corporate Member Volume Incentive Program m JOrn X Out of Division Applied Fee Indicator Applied Fee Indicator corresponds to the respective levels on the fee schedule CBOT L1 Individual Equity Member trading for own account L1D Individual Lessee Delegate 106 D trading for own account L1F Individual Clearing Firm Employee Firm
5. Field identifies the specific type of transaction executed below are the descriptions PIT Ex PIT PIT SPRD PIT TRD BLOCK BLOCK SPREAD EFP EFR EFS EXCHANGE OPTIONS FOR OPTIONS 22 Venue NYMEX DME GREEN EFS Manual May 2012 23 3 CME Group Exchange Fee System Electronic ELC SPRD ELC TRD GBX SPRD GBX TRD Non Trades CASH SETTLE DELIVERY EXERCISE ASSIGNMENT EXPIRED OPTION FUTURE FROM ASN FUTURE FROM EXE Over The Counter OTC CME Only Other Trading Activity GIVE UP POS ADJ TRANSFER TRANSFER NYPIT CXPIT CPC GLBX RFO EXCHANGE FOR MINI NYMEX Floor Trading Open Outcry COMEX Floor Trading Open Outcry ClearPort Clearing Globex CME Group electronic trading platform for NYMEX COMEX GREEN and DME products 3 CME Group Exchange Fee System 4 Allocation The Allocation screen allows the allocation of non trade transactions for example Exercise Assignment Delivery Cash Settlement Expired Options Future from Exercise and Future from Assignment to the appropriate main and or trading account as well as the ability to edit previously allocated transactions These Non trade transaction types do not have account numbers associated to them when the records are received from CME Group Clearing Therefore they are charged at Non Member rates until the firm allocates them to the appropriate underlying main and or trading account Note for CBOT Future from Exercise and Future f
6. l SOB TESTS Total Reallocated Quantity O Mi o Unallocated Quantity 241 Remove Clear allocate Allocation Search Extract Feature After selecting the Extract hyperlink the User will be prompted to Open or Save the extracted list of main trading accounts to be allocated To obtain a quick view of the accounts select Open to review at a later time or to save the data for import into another application select Save What happens if the allocated quantity exceeds the available quantity as shown in the image below If an entered quantity causes the Total Reallocated Quantity to exceed the number of contracts available for allocation an error message will appear in a pop up window Click OK to remove the error message return to that section and revise the quantity Reallocation Current Transactions Current Quantity Main Account Trading Account Quantity esm Select Account Account Import Extract 156 Microsoft Internet Explorer xj A The new reallocated quantity exceeds the available unallocated quantity of 296 Total Reallocated Quantity 4156 Unallocated Quantity Reallocation Screen with Quantity Exceeds Error What if don t know what specific transactions are unallocated The User may execute the Unallocated Non Trades Report in the Reports screen or the User may utilize the Transaction Viewer s View Non Trades mode to determine what transactions may need to be allocated EFS Manual Ma
7. Allocation Import Browse Upload Cancel After the Upload button has been selected the system will process the file to ensure the content is valid prior to populating the screen If there are errors noted the system will display those errors to denote what needs to be corrected if the data is valid the allocation box will be populated just as when utilizing the online application Allocation Import Main Account is not a valid main account tor this firm in cell Bf Please Verity your spreadsheet and re upload C Documents and Setings kwi Browse Upload Sample Error Message 4 6 Allocation Screen Key Concepts What does the term Reallocate signify Non Trade transactions are initially directed to a blank account for the firm any allocation the User performs is known as Reallocation May I correct an allocation after submitting the records for allocation The User may only allocate transactions ONE time per business day If a mistake is made and submitted it cannot be corrected until the next business day If allocate many trading accounts at once how am best able to view them in the allocation screen If the scroll bar is not sufficient for viewing entries in the allocation box the User may select the Extract hyperlink Refer to the image below for reference EFS Manual May 2012 33 Exchange Fee System Main Account Trading Account l SUB FIRBMTEST l SUE TEST10
8. Search Mode with Secondary Option EFS Manual May 2012 62 3 CME Group Exchange Fee System 6 5 Search Results The search results will be displayed below the Membership Information Search form with the following information The membership status in each of the membership divisions The effective and expiration dates associated with each change in membership status e The Account Owners section reflecting all main accounts for which the selected entity or individual is registered as the account owner with the associated effective and expiration dates and e For individuals only the Account Controllers section reflecting all main accounts for which the selected individual is registered as the account controller with the associated effective and expiration dates There is also a redirect function that allows the User to select a specific Main Account within the search results and be redirected to the account maintenance screen where the respective account details will automatically be displayed Click on the line item to be redirected Extract Firm Details 02 08 2000 12 31 9999 Page 1 of 538 53 Rows Show All Extract Account Owners prev Go To Page 1 Page Length 1 SET ext FI 12345678910 Fir name Main Account ID Main Account ID Effective Date Expiration Date PP 31 2009 Effective Date Expiration Date Following are examples of the search results for the various search m
9. Back to Summary Changing Accounts by Creating a New Account to Encompass Multiple Accounts within the Edit Trades Mode of Transaction Summary 3 Recalculate In the Edit Trades Mode of Transaction Viewer the User can recalculate a single item or a group of items at one time This feature should be used to manually submit trades for recalculation when the associated operator ID has been added or modified in the Globex Registration screen a To Submit an Item for Recalculation 1 Select Recalculate from the drop down list 2 Click the check box in the row of the line item that is to be recalculated Search Results Page 1 0f6 17 Rows Show All Extract Recalculate wt ra Go To Page 1 Page Length 3 SET Next E 125456 snes 5 761 25 920 5 510 03 miei ees 22 993 45 904 10 510 34 N Me 0 126 543 232 490 51 577 62 Recalculating a Trade within Edit Trades Mode of the Transaction Summary b 1 To Select Multiple Items for Recalculation 1 Click the check boxes in front of all line items to be submitted for recalculation b 2 To Select All Items on the Screen for Recalculation 1 Click the Check All box in the column header to highlight all the items displayed on the screen NOTE The Check All option will only select the accounts that are displayed on the current screen If more than one screen of data exists select the accounts on all pages by first clicking the Show AIl hyperlink next to the drop down
10. EFS Manual May 2012 111 13 5 Fee Types 3 CME Group Exchange Fee System Field Name Fee Type Clearing Fees Exchange Fees Ex Pit Surcharges Brokerage Fees Globex Fees Facilitation Fee 22 Too ae EFS Manual May 2012 112 Clearing Fee Give Up Surcharge E A Surcharge Delivery Surcharge Position Transfer Position Adjustment and Expired Option Fee Exchange Fee Exchange Fee NonTrd Exchange Fee PIT Exchange Fee GBX Exchange Fee CPC Day Credit Cash Settlement E A D Notice Ex Pit Movement Lessee Surcharge EFP Surcharge Fung Surcharge EFS Surcharge and Block Surcharge NOTE Surcharges are associated with Exchange Fees for billing purposes Brokerage 106F Brokerage and 106F Brokerage Individual Brokerage Fees are billed to Broker Globex Fee Facilitation Desk Fees 3 CME Group Exchange Fee System 20 South Wacker Drive Chicago Illinois 60606 7499 Tel 1 312 930 1000 Fax 1312 466 4410 E mail info cmegroup com Futures trading is not suitable for all investors and involves the risk of loss Futures are a leveraged investment and because only a percentage of a contract s value is required to trade it is possible to lose more than the amount of money deposited for a futures position Therefore traders should only use funds that they can afford to lose without affecting their lifestyles And only a portion of those funds should be devoted to any one trade because they cannot expect
11. Extract Change Account GoToP P L h SET Prev o To Page Ea age Lengt SET Next EI 20004 20004 34r 5970 595 50 Continue Hew Search Selecting a Single Account to Change the Account Number within the Edit Trades Mode of Transaction Summary 3 Select the Continue button EFS Manual May 2012 14 lt 2 CME Group Exchange Fee System Transaction Summary Search Results Page 10f1 1Row Show All Extract Change Account x To Page P h10 Prev Go To Page age Lengt Next E 213 86 Change Account Summary New Trading Account Number C Non Member Account Setect Account x Changing a Single Account within the Edit Trades Mode of Transaction Summary 4 Locate the New Trading Account Number by utilizing the auto complete feature that suggests possible trading account matches as you enter text within the text box or scroll through the drop down box to find the account To input an account that is not currently registered in EFS select the Non Member Account radio button and enter an account number 5 Select the Continue button b To Change Multiple Accounts 1 Select Change Account from the drop down list 2 Click the check boxes in the rows of all of the accounts to be changed to a single account number Transaction Summary Search Results Page 1of4 19 Rows Show All Extract Prev Go To Page 1 Page Length S SET Next E 1234 2 496 44 m e si 92 158 14 22 N C Sat amei i 5 761 25 92
12. NOTE All market Users should be aware that CME Group Rule 576 Identification of Globex Terminal Operators requires that terminal operators be identified to the Exchange in the manner prescribed by the Exchange CME Group Clearing Member Firms Entities are reminded that the rule also makes it the duty of the clearing member to ensure that registration is current and accurate at all times After selecting Globex Registration the User will be directed to the Fee Registration System FRS lt 3 CME Group Fee Registration System Registration Form Wee Ihu September 8 2011 08 36 AM CUI q Ratun to Fea System Q Registration Form 5 Rogistration Search The Fee Registration System has the following menu options e Return to Fee System Select this option to return to the Exchange Fee System EFS e Registration Form Select this option to register Operator IDs e Registration Search Select this option to view edit or copy registered Operator IDs EFS Manual May 2012 79 3 CME Group Exchange Fee System 8 2 Registration Form Step 1 General Information To register an Operator ID select the Registration Form option from the Globex Registration sub menu The Registration Form will display lt 2 CME Group Fee Registration System Registration Form Welcome Thu September g 2011 08 36 AM Rulum to Fee Sysleri 4 Regelrabon Foni 5 Recestrabon Searct Step 1 General Information Opera
13. 100 Cc Mone 512 51 20 ES F CLEARING FEE EXERCISE PIT IMIDE 0 390 C Mone 20 35 10 ES F ESA SURCHARGE EXERCISE PIT IMD 0 030 T Mone a0 4 50 ES F CLEARING FEE ASSIGNMENT PIT IMID 0 390 G Mone 54 21 06 ES F EJA SURCHARGE ASSIGNMENT PIT IMD 0 050 T Mone 54 2 70 ES D POSTION ADIUSTMENT POS ADJ PIT IMD 0 100 C Mone 10 2 00 E1 F POSITION ADIUSTMENT POS ADI PIT CURR D 100 Mone 1 1 00 E7 F POSTION ADJUSTMENT POS ADI PIT CURR 0 100 Cc Mone 19 1 90 J1 F POSTION ACUUSTRAENT POS ADJ PIT CURR 0 100 c None 444 44 40 Report Viewer PDF Report Sample Adobe PDF Functions Within the PDF document the following functions can be accessed by clicking the associated icon Save the report as a pdf file 4 View the first page of the report Print the report id View the previous page of the report Search for items within the report View the next page of the report bi View the last page of the report 7 3 2 View Report Criteria To view the criteria entered for a report in the Report Viewer Select View Report Criteria from the drop down list in the top right corner of the Report Viewer Select the line item corresponding to the report to view the criteria The Report Criteria window will appear displaying the criteria submitted for that report To close the Report Criteria window select the Exit button or the close icon x Spa o m EFS Manual May 2012 75 3 CME Group Exchange Fee System Report Criteria Microsoft Intern
14. 106 F trader holding the Firm seat e W 2 employee of that clearing firm Clerk for Member CME and CBOT Only A clerk who acts in an order filling capacity for an individual member The Clerk must be registered with the CME Group Membership department NOTE If a Member is also a Clerk they should be registered under this category The appropriate rates will be applied when the individual is trading for his her own account Electronic Corp CME Only An individual trading for a firm that is Member 106R registered as an Electronic Corporate Member ECM Holding ECM Waiver FMIP Participant An individual trading for a firm that is a registered participant in the Latin American Fund Manager Incentive Program FMIP FX Bank Incentive CME Only An individual trading for a firm that is registered as a participant in the eFX Bank Incentive Program BIP IIP Participant An individual trading for a firm that is a registered participant in the International Incentive Program IIP LACIP Participant An individual trading for a firm that is a registered 82 Effective Date Expiration Date ATS Automated Trading System Incentive Indicator EFS Manual May 2012 Member Non Member Customer Power of Attorney SAIP Participant 106 H Entity 3 CME Group Exchange Fee System participant in the Latin American Commercial Incentive Program LACIP The individual is a CME Group member whom is currently holding a memb
15. Appointee 106 F trading for own account delegate rates will apply L2 Individual Equity Members where another individual is executing the trade and Equity Firms that have the trading rights and share minimum for the product traded L3 Individual Non Equity Members where another individual is executing the trade and Non Equity Member Firms that have the trading rights but do not have share minimum for the product traded L3D Individual Delegate Members where another individual is executing the trade L3F Individual Clearing Firm Employee where another individual is executing the trade L4 Electronic Corporate Member Firms L5 Non Member EFS Manual May 2012 20 Applied Fee Indicator CCE Applied Fee Indicator DME Applied Fee Indicator NYMEX GREEN Broker Product Fee Incentive Indicator CME CBOT and NYMEX Facilitation Fees CME CBOT and NYMEX Fee Type EFS Manual May 2012 3 CME Group Exchange Fee System L6 Mini sized Contract Permit Holders also known as a CMACE Permit L6D Individual Lessee Delegate 106 D whom is also holding a CMACE permit L6F Individual Clearing Firm Employee Firm Appointee 106 F whom is also holding a CMACE permit L7 CME Members eligible for discounted rates on the Mini Dow Applied Fee Indicator corresponds to the respective levels on the fee schedule M Member N Non Member Applied Fee Indicator corresponds to the respective levels on the fee schedule
16. Era T S000 Teather hEr ih aare OF ca 3 OME Position Transfer ii i 1H 200 0000 Transter bees in excess of cap 4 CME Pisin Traranher 0 pigg 2 500000 FIOO Trikia heed in eben OF Cup E OME Position Transfer 0 10 1 2200 00 0 00 Tranter bees in ewoess of cap i 0 00 Grand Total Ta B ie i Position Transfer Rebate Rate Adjustment 77 i j EFS Manual May 2012 107 3 CME Group Exchange Fee System 13 4 2 Entering data into the Position Transfer Rebate worksheet 1 Select the Position Transfer Rebate worksheet 2 Enter the Firm Number Firm Name and Process Month YYYY MM Manual Adjustment Request Form CME Firm Number Firm Name Process Month fe UAT RS Reflects the month in which you were billed a separate request must be submitted for each Process Month 3 Continue to enter the appropriate information in the shaded areas refer to example highlighted in yellow Fis on o esorpton O Main Account C 12 A grouping account created by firms to associate trading accounts with identical account ownership enter the Main Account where the positions reside Trading Account D12 The trading account received from CME Clearing enter the trading account where the positions reside Date of Transfer The date the position was transferred Quantity Quantity of positions transferred For any additional line items repeat step 3 4 After completing the Manual Adjustment Request workshe
17. Expiration Date Exchange NYMEX COMEX Incentive Program International Incentive Program IIP Search mode Organization Details the search results will return the following information e Firm Details Firm Name Membership Details Effective and Expiration Dates e Account Owners Firm Name Main Account ID Effective and Expiration Dates Firm Details Extract Trading Member Firm Full 10 30 2007 12 31 9999 Account Owners Page 1of6 amp Rows Show All Extract Go To Page 1 Page Length 1 S Next E 12345678 ea heat G se ge 05 16 2006 12 31 9999 Exchange CBOT 4 Frew Firm Details Extract oe He 04 30 2007 12 31 9999 Account Owners No recorda found matching the search criteria Exchange NYMEX COMEX gt Search mode Corporate Membership the search results will return the following information e Firm Details Firm Name Membership Details Effective and Expiration Dates Account Owners Firm Name Main Account ID Effective and Expiration Dates Firm Details Extract saia penne ebay es 01 24 2005 12 31 9999 Page 10716 16 Rows Show All Extract Account Qwners 1 so i h1 5 Go To Page EJ Page Length ET Next E 12345678910 s e he ee 03 01 2009 12 31 9999 Exchange CME Corporate Membership 106 N 4 Prev EFS Manual May 2012 67 3 CME Group Exchange Fee System 7 Reports Reports offer both basic and advanced search options to generat
18. Fees Clearing Fee E A Surcharge Expired Option Fee Fung Surcharge Give Up Surcharge Position Adjustment Position Transfer EFP Surcharge Exchange Fee Exchange Fee NonTrd Cash Settlement Give Up Surcharge Position CBOT Exchange Fees CCE Transaction 21 F O Currency Hours Main Account Order Number Product Venue NYMEX only Quadrant CBOT CCE CME DME amp GREEN Trader ID Trading Account Transaction Type EFS Manual May 2012 3 CME Group Exchange Fee System Fees Adjustment Position Transfer Trans Fee NonTrd Transaction Fee Clearing Fee E A Surcharge EFP Surcharge Fee Credit Give Up Surcharge New Brokerage 106F Position Adjustment Position Transfer 106F Brokerage Globex Fee Brokerage 106F Brokerage 106F Brokerage Ind These Brokerage Fees are billed to the Broker not the clearing firm New Brokerage Other 106D Brokerage CME Clearing Fees CME Globex Fees CBOT Brokerage Fees CME Brokerage Fees These Brokerage Fees are billed to the Broker not the clearing firm NYMEX GREEN Block Surcharge Cash Settlement Day Credit E A D Exchange Fees Notice EFS Surcharge Exchange Fee CPC Exchange Fee GBX Exchange Fee PIT Exchange Fee NONTRD Fee Credit Give Up Surcharge Lessee Surcharge Position Adjustment Position Transfer Power Credit Block Surcharge Cash Settlement E A D Notice Exchange Fee CPC Exchange Fee
19. GBX Exchange Fee NONTRD Trading activity may be isolated by either the Futures or Option indicator DME Exchange Fees Fees billed may be isolated by the currency in which they are billed Regular Trading Hours RTH the trading session that takes place during the timeframe that the trading floor is open whether the trade is done on the floor or electronically Extended Trading Hours ETH the electronic trading session that takes place outside of the hours during which the trading floor is open This is the grouping account created by firms via the account maintenance screen to group all trading accounts with the same account owner s and controller s Field identifies the customer s order This number is internally generated by the order routing software that uniquely identifies an order instruction ALL NYMEX and COMEX products COMEX COMEX products only NYMEX NYMEX products only Each product can be identified by one of the following classifications Agriculture AGS Currency CURR Equity Index INDEX Interest Rate INT RATE and ERIS CME only For DME and GREEN there are no Quadrant classifications so the selection criterion is ALL Product Venue is used instead of Quadrant for NYMEX Field identifies the executor s user ID typically referred to as an Operator ID or TAG 50 for electronic activity and broker symbol for pit activity This is the actual trading account number that was listed on the transaction
20. OATHS FRU Oy aL 2018 EII A i Tredre Aloe Page toft 1 Are Fan A Eee F Ge Te Base I Page Loreen Up i len Ea E Eq wea El i r AE E feel Deis Lager een Ne Abd Tiiti ASS fi La r ea LS mse Ea iii Wasi Upis Thing Acton a rl Waa Hida Apt Carra Pion ka Hio rao feared micia Pe hith coer Croa ea hog nhoprip Pred mabghina Fap pepe ch priera New Main Account Successfully Created 5 4 1 Adding Trading Accounts Trading Accounts that have the same owner s and controller s can be grouped together under a single Main Account If no grouping is done then each Trading Account must be registered separately and will reflect the Trading Account number as the associated Main Account record The Main Account record is utilized for applying the associated Exchange fees so it is important that the Trading Account relationships are registered correctly NOTE The Trading Account may only exist under one main account clearing firm for a specific date range Also the Main Account entered will automatically become a Trading Account therefore this does not need to be re entered EFS Manual May 2012 42 lt 2 CME Group Exchange Fee System The following is displayed for the Trading Accounts section amp Single Exchange Mode D Across Exchange Mode Main Account Details Select Action Account Type Effective Date Expiration Date Account Title om onr MONTHS FIRM 07 06 2010 12 31 9999 Tradin
21. Owner stating that the account owner has been added Note that only one owner is allowed unless the account type is EFS Manual May 2012 45 3 CME Group Exchange Fee System specified as a joint account If it is a joint account then the User may continue to add as many owners to the account as needed 2 Adding Controllers Controllers should be added if an individual member is trading the account with discretion Note that for an individual account the member listed as the account owner will automatically be listed as a controller 1 From the section labeled Controllers select Add from the drop down list above the Actions column 2 After selecting Add the search form will appear 3 When adding Controller s in Across Exchange Mode the controller list available for selection will contain only potential controllers that have member status at all exchanges specified If the controller does not appear in the list the User should review the individual s status at each Exchange selected and revise the Exchange selections accordingly 4 Use the Filter By fields to find the designated Controller Controllers No records found matching the search criteria a Eeen L Bpiaton Dale Name 07 06 2010 Es 12 31 9999 ES Adding Account Controller e As noted above controllers can only be Individual Members therefore the User will have the following Filter By features to locate the respective controller o Name Select the Nam
22. Reports When the report is in the Requested status to refresh the Report Viewer to see if the Report Status has changed the user may e Select the Refresh Icon button at the top of the browser or e Select the F5 key from the keyboard The Report Status will automatically refresh every 45 seconds New Report To submit a new report request when in the Report Viewer window click Reports and select the Request sub menu to navigate back to the Report Request screen EFS Manual May 2012 78 CME Group Exchange Fee System 8 Globex Registration The Globex Registration screen allows Users to register Globex Operator IDs also Known as Trader IDs or Tag 50 IDs as well as edit and view details for previously registered IDs 8 1 Accessing Globex Registration To access Globex Registration select the option from the navigation menu 2 Welcome e CM E Group Exchange Fee System Home Wed September 7 2011 12 50 PM CDT Page Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance Membership Information 5 Reports 3 Globex Registration amp Adjustment v Globex Registration has two sub menu options e Form Select this option to register Operator IDs e Search Select this option to view Operator IDs that are already registered This feature also enables the User to edit and or copy an Operator ID
23. To include or exclude this CBOT Option Only data simply select the checkbox under the NTA column Basic Search Criterion Date Selection Month to Date Month to Date automatically sets the beginning date to the first day of the current month and the end date to the prior trading day NOTE Dates cannot be changed while in the Month To Date mode Equals Equals specifies only one day The system default displays the prior trading day Between Between specifies the beginning and end dates for a date range NOTE With a Between search criteria it is only possible to view a maximum of one calendar month at a time Last Month Last Month defaults the beginning and end dates to the first and last days of the previous month Two Months Ago Two Months Ago defaults the beginning and end dates to two months prior to the current month Three Months Ago Three Months Ago defaults the beginning and end dates to three months prior to the current month When using the Between and Equals selections specific dates must be entered either by clicking in the date fields and typing in the date in the MM DD YYYY format or by choosing a date using the calendar to the right of the date field Click the calendar icon to have the calendar window appear a March 4010 Tue Wed Thu z 3 4 J 10 11 16 47 48 25 1 E EFS Manual May 2012 72 3 CME Group Exchange Fee System 7 2 4 Report Advanced Search Criteria There are dynamic
24. account became effective The date the main account is no longer active If the account is active the expiration date should be left as the default date of 12 31 9999 Account Title This field is required as an audit trail of the underlying account owner whenever the account owner identified in the clearing member s equity system i e account statement does not exactly match the account owner registered in EFS Otherwise this field is optional for the User to add a description for tracking purposes Expiration Date Omnibus This indicator is used to identify an omnibus account for audit purposes only Non Mbr This indicator is used to identify that the account is jointly owned by a Non member This will automatically be checked when an Account Type of Non Member is EFS Manual May 2012 40 3 CME Group Exchange Fee System selected and will automatically result in the account receiving Non member rates a Enter the Main Account Number in the Main Account field Select the Account Type from the drop down list Enter the Main Account s Effective Date by either e Typing in the date in the format of MM DD YYYY or e Select the calendar icon to the right of the Effective Date field and select the appropriate date d The Expiration Date will default to 12 31 9999 to indicate that the account will be active until a further update is made To select a different Expiration Date either e Type in the date in the format of MM D
25. as account owner that individual will also automatically be added as a controller e For Account Type Firm the User will have the following Filter By features to locate the account owner o ID Select the ID radio button and type the firm ID in the textbox The drop down menu contains firm IDs and will automatically narrow the User s search to the ID that was entered If the ID does not appear in the drop down list scroll through the list and select the ID of the appropriate firm o Name Select the Name radio button and type the first few characters of the firm s name in the textbox The drop down will automatically narrow the User s search to the firm that was entered Select the appropriate firm from the list Account Qwners Firm ame o O Eeee nate L Bpiraonpate O atos No records found matching the search criteria ID cet 07 02 2010 12 31 9999 Name Please select from the list v CME Adding Account Owner Filter By Firm e Select an Exchange Note this field exists only in the Single Exchange Mode and applies to CME and CBOT only where members of one Exchange can also be registered as account owners for the other Exchange f Select the Firm Type Member or Incentive Program category g Enter the Effective and Expiration Date of the Account Owner Note that dates must be equal to or between the Main Account s date range Select the Add button A confirmation message will appear above the Account
26. b After selecting the Show Search Criteria hyperlink the screen will display the Basic or Advanced Search mode based on the previous search criteria selected c To modify the search criterion simply change the input values and then select the Submit button d Upon viewing the criterion the Show Search Criteria hyperlink now displays as Hide Search Criteria To hide the search form criterion simply select the Hide Search Criteria hyperlink Hide Search Criteria V Process Date Mode Honth to Date From 01 01 2010 i To 04 12 2010 H View Trades al Trade Date Summarized By Monen to Date From 01 01 2010 E To 01 12 2010 etl Main Acet Trd Acct Location ELC M Show Criteria TEST FIRM OS o07 Z001L 12 31 9993 or Saved Search Clear Submit Search Criteria Firm Equals 399 Frocess Date Month to Date 01 01 2010 and 01 12 2010 Summarized By Equals Main ScctTrd Acct Mode Equals View Trades Show Search Criteria Chosen in the Transaction Summary View B Transaction Details and Fee Details To view the Transaction Details and Fee Details for a line item displayed within the Transaction Summary screen simply click on that line item As mentioned above the fee system drills down from a general summary to the specific detail of the trade The below image shows the general Transaction Summary followed by the Transaction Details Select a line item within the Transaction Detail level and the Fee Details for tha
27. hyperlink to add that item to the search list NOTE The Add hyperlink must be selected in order for entered text to be captured To Delete a Search Item e Find the item to be deleted in the search list e Click to highlight the item e Click the Delete hyperlink to remove that item from the search list 7 2 5 Submit a Report e Once the search criterion has been defined select the Submit button to generate the report e Aconfirmation message will be displayed stating that the report has been submitted 7 3 Report Viewing To access a report submitted select Viewing from the Reports sub menu The Report Viewer window will appear displaying all the reports that have been submitted during the current day The Report Viewer screen lets the User execute the following action items e View Report EFS Manual May 2012 73 CME Group Exchange Fee System e View Report Criteria e Extract Report e Delete Report L Feportsiatusr Requested ey exchanged rimsa Report Type eporttiame Time Requested Ready E13333 CBOT Fee Summary Account Summary FriApr 27 13 20 12 CDT 2012 Ready 13333 CBOT Fee Summary Condensed Trade Detail Extract FriApr 27 13 20 24 CDT 2012 Ready E13333 CBOT Fee Summary Fee Type Summary Fri Apr 27 13 20 35 CDT 2012 D Reportsiatusr Requested ey exchanger mish Report Type Reportnamer Time Requested Report Viewing Report Viewer Screen Report Viewer Column Descriptions The columns can be sor
28. is set to Download Attachment 9 5 Editing an Adjustment To edit an adjustment complete an adjustment search The Adjustment Summary will display the adjustments matching the search criteria entered 1 Click the line item to edit The Adjustment Detail will display 2 Select Edit from the Select Action drop down list 3 Click the line item to edit in the Adjustment Detail section Bill Firm CME FIRM 03 25 1996 12 31 9559 i Original Process Month Payment Month Status Select Setect Select Clear Search Adjustment Summary Bill Firm Rebate Assessment Total Amount Original Process Month Payment Month REBATE 500 00 04 2010 REQUESTED Bill Firm Rebate Assessment Total Amount Original Process Month Payment Month Back to Summary Adjustment Detail Page 10f1 1 Row Show All Exact Select Action Go To Page 1 Page Length 10 SET FON Edt 4 Prev Next E View Attachments Create Date Created By Last Updated Last Updated By CustIDF Broker Symbol Bill Typer Fee Typer Status Attachmen 04 16 2010 ALKER 04 16 2010 KWALKER FIN BROKERAGE 500 00 REQUESTED 0 ee E EFS Manual May 2012 100 CME Group Exchange Fee System The User will be redirected to the Create Edit Adjustment screen Enter the updated information and click the Update button A confirmation message will display Adjustment has been successfully updated To add
29. list and then click on the Check All box 2 After selecting the appropriate item s select the Continue button 3 Amessage window will appear asking for confirmation to recalculate the trades click OK to confirm or Cancel 4 If OK is selected a confirmation message will be displayed stating that the request has been submitted for recalculation EFS Manual May 2012 16 3 CME Group Exchange Fee System 2 Transaction s have been submitted for Recalculation Transaction Summary 14 22 Back to Summary 5 The Adj column at the right will change from N to Y to indicate that this item has been submitted to be reprocessed during that night s batch cycle After submitting a request to edit trades the User will receive a message indicating that the resubmission is in progress 3 4 2 Edit Trader ID Mode Trader ID is a single field used to identify an individual executing either a Pit or Electronic transaction The field contains the Broker Symbol for Pit transactions and the TAG 50 Operator ID for Electronic transactions If it has been determined that a Trader ID has been passed through incorrectly for either a Pit or Electronic transaction you may update the ID through the Edit Trader ID Mode utilizing the instructions below From the Mode field choose Edit Trader ID Trader ID will default in the Summarized By field Trader ID Trd Acct can be selected if needed Select the Firm In the Locati
30. obtain the results based on the criterion selected in Steps 1 5 7 The results will display in the same format as if the transaction had never been allocated 8 To complete the reallocation follow the steps for Performing Allocations 4 5 Allocation Import This feature provides the ability to import allocations from a CME Group provided Excel spreadsheet template Please note to use the Import feature the User must adhere to the following navigational processes EFS Manual May 2012 31 lt 2 CME Group Exchange Fee System e Ifthe User has selected mode Main Trading Account Main account is required when populating your spreadsheet Trading account is not required This will follow the same rules as when performing the allocations via the Allocations screen e Ifthe User has selected mode Trading Account Trading Account is required when populating your spreadsheet Main Account must NOT be populated If the Main account is populated the validation will fail This will follow the same rules as when performing the allocations via the Allocations screen Once data has been imported into the screen the User will still be able to Add additional allocations if needed The User will also be able to Remove Clear and Extract any of the data on the screen The import function only affects the population of the data in the allocation box 4 5 1 Import Instructions The User will continue to execute the
31. plus other non trade activity such as Cash Settlements Futures from Exercise Futures from Assignments and Expirations NOTE Account numbers are not attached to these transaction types and as a result non trade exchange fees are applied at the NON MEMBER RATE Therefore it is important to utilize this mode to determine which activity should be allocated to member accounts in order to receive the reduced non trade exchange fee rate A Transaction Summary After executing a search in the View Non Trades Mode the Transaction Summary will be displayed The non trade activity will be summarized to either a blank account denoting unallocated activity or to previously allocated accounts Simply click on one of the summary line items in order to obtain the details Search Criteria Firm Equals 399 Process Date Month ta Date 01 01 2010 and 01 20 2010 Summarized By Equals Main AcctTrd Acct Mode Equals View Mon Trades Transaction Summary Search Results Paged of1 1 Row Show All Extract view Details 30 To Page Page Length SET 4 Prev EI at Eni Meat E View Non Trade Transaction Summary Screen B Transaction Details After selecting one of the line items from the Transaction Summary screen the screen will display all the associated non trade activity Transaction Details From the Transaction Details section the User may execute the following action items EFS Manual May 2012 18 3 CME Group Exchange Fee System 1
32. right corner of the search results Note This is the default selection Then click to select the line item to be expired from the search results list The User will be redirected to the registration form edit mode with the fields pre populated with what was previously registered 1 To modify the Operator ID s Expiration Date click Expire within Step 2 Step 1 General Information Edit Step 1 Operator ID Guaranteeing Firm Exchange FOOOTSTA CME TEST FIRM CME CBT Step 2 Incentive Information Same For All Exchanges User Type Effective Date Expiration Date ATS FAS ATS Type ATS Group Hae YES ALL CLEARING MEMBER FIRM TRADER 03 20 2009 12 31 9999 No Motice All Team ATS Registrations must meet the requirements of CME Group Policy and are subject to the approval of CME Group Market Regulation EFS Manual May 2012 93 MAK lt 2 CME Group Exchange Fee System gt 2 Enter the new Expiration Date and click the Expire button corresponding to the row to be updated Step 1 General Information Operator ID Guaranteeing Firm Exchange FOOOTSTA CME TEST FIRM CME CET Step 2 Incentive Information Same For All Exchanges User Type Effective Date Expiration Date ATS FAG ATS Type ATS Group Hame Incentive If No CME CLEARING MEMBER FIRM TRACER 03 20 2009 42 34 200 CBT CLEARING MEMBER FIRM TRADER 03 20 2009 Notice All Team ATS Registrations must meet the requirements of CME Group Policy and are Subject to the approval of CME G
33. selected Across Exchange Mode CHOT 11 28 2005 12 31 9999 NYMEXICOMEX 09 01 2009 12 31 9999 5 4 Create a New Main Account Within the Account Maintenance View screen the User can create a new Main Account by performing the following steps 1 Select the Firm under which the main account will clear 2 Select the Create Main Account button e After the Create Account button has been selected additional fields Main Account Account Type Effective and Expiration Date Account Title Omnibus and Non Mbr Indicators will appear 3 Select Single Exchange Mode to create the Main Account within only the current Exchange or Across Exchange Mode to create the Main Account in the current Exchange and one or more additional Exchanges Note In order to use the Across Exchange Mode when creating a new Main Account the following conditions must exist e Account owner must be the same across the selected Exchanges e Account owner must have a membership incentive program status across the selected Exchanges e Main Account Number Firm Type and effective date must be the same across the selected Exchanges e Controllers must be members at each of the selected Exchanges f Controllers differ across the selected Exchanges the User will need to edit the Controllers in the Single Exchange Mode EFS Manual May 2012 39 3 CME Group Exchange Fee System lf Across Exchange Mode is selected the following steps will ha
34. the textbox EFS Manual May 2012 59 CME Group Exchange Fee System 3 Click Submit The Inactive Main Accounts window will display listing all inactive accounts matching the criteria entered 4 Click the checkbox of the Main Account s to expire or select Check All to expire all of the accounts displayed on the current page Note The Check All feature will only select those accounts displayed on the current page If there is more than one page of results the user can first select the Show All link in order to display all of the accounts on a single page 5 After selecting the account s to expire click the Submit button Inactive Main Accounts Page lofi 2Rows Show All Extract Go To Page 1 Page Length 10 SET d Check All Account Type t Max Last Trade Dater 1234567890 FIRM NO RECORD OF ACTA TY AS OF 4 1 2010 Prev Next E 1234567690 INDIVIDUAL NO RECORD OF ACTNITY AS OF 41 2010 Submit 6 To confirm the expire request click the OK button Message from webpage 2 Are you sure vou want to expire the selected amp ccountisi Note The accounts will expire as of the prior business date 7 A confirmation message will display confirming the selected account s have been expired Selected accounts have been successfully expired NOTE The expired accounts will no longer display in the Inactive Main Accounts list To view expired accounts navigate to the Account Maintenance
35. to profit on every trade The Globe Logo CME Chicago Mercantile Exchange and Globex are trademarks of Chicago Mercantile Exchange Inc CBOT and the Chicago Board of Trade are trademarks of the Board of Trade of the City of Chicago NYMEX New York Mercantile Exchange and ClearPort are trademarks of New York Mercantile Exchange Inc COMEX is a trademark of Commodity Exchange Inc CME Group is a trademark of CME Group Inc All other trademarks are the property of their respective owners The information within this presentation has been compiled by CME Group for general purposes only CME Group assumes no responsibility for any errors or omissions Although every attempt has been made to ensure the accuracy of the information within this presentation CME Group assumes no responsibility for any errors or omissions Additionally all examples in this presentation are hypothetical situations used for explanation purposes only and should not be considered investment advice or the results of actual market experience All matters pertaining to rules and specifications herein are made subject to and are superseded by official CME CBOT NYMEX and CME Group rules Current rules should be consulted in all cases concerning contract specifications Copyright 2011 CME Group All rights reserved EFS Manual May 2012 113
36. 0 5 510 03 N Bhp Ah s 22 993 45 904 10 510 34 N 126 543 232 490 51 577 62 Change Account Summary Hew Trading Account Number O Non Member Account Select Account Continue New Search Selecting Multiple Accounts to Change into a Single Account within the Edit Trades Mode of Transaction Summary 3 To select all accounts displayed click the Check All box in the column header NOTE The Check All option will only select the accounts that are displayed on the current screen If more than one screen of data exists select the accounts on all pages by first clicking the Show All hyperlink next to the drop down box and then click on the Check All box EFS Manual May 2012 15 lt 2 CME Group Exchange Fee System 4 After selecting the appropriate account s select the Continue button and a Change Account section will display 5 Locate the New Trading Account Number by utilizing the auto complete feature that suggests possible trading account matches as you enter text within the text box or scroll through the drop down box to find the account To input an account that is not currently registered in EFS select the Non Member Account radio button and enter an account number 6 Select the Continue button The Adj column at the right will change from N to Y to indicate that this item has been submitted for reprocessing during that night s batch cycle The records have been updated Transaction Summary ee 2 496 44
37. 010 C 12 31 9999 Delete Update Add Trading Accounts 07 06 2010 ES 1231 3999 E Mass Update Trading Account 12 31 2010 Eal Ma Eoi ate d A confirmation message will display Mass Update of trading account s is complete C Modifying Account Owners When viewing an existing Main Account the associated account owner s are displayed under the Account Owners section Note The User may use the Across Exchange Mode to edit account owner s at multiple Exchanges simultaneously as long as the Main Account s exist at each selected Exchange The User can perform the following with respect to Account Owner e Delete Account Owner e Update Account Owner s Effective and or Expiration Dates e View Membership will redirect the User to the Membership screen to view the account owner s membership status EFS Manual May 2012 52 lt 2 CME Group Exchange Fee System 1 Delete Account Owner a Identify the appropriate row containing the account owner to be deleted Select the Delete hyperlink in the Actions column for that row in order to the delete that account owner b A Message Box will display asking the User to confirm the deletion of the owner Select OK to continue or select Cancel Message from webpage on j re you sure vou want bo remove this owner c lf OK was selected then a confirmation message will display above the Account Details section confirming the account owner has been delet
38. 06 H Trading Member Firm 106 1 Affiliate Member Firm 106 J Equity Member Firm 106 N CME GEM 106 R ECM Holding Member 106 R ECM Volume Incentive Program 106 S Family of Funds Member Firm Firm Details Not applicable NYMEX COMEX Firm Details Not applicable Member Details Not applicable Organization Details Not applicable oe LL Incentive Programs Asian Incentive Program AIP International Incentive Program IIP Latin American Commercial Incentive Program LACIP Latin American Fund Manager Incentive Program FMIP South American Incentive Program SAIP also known as Latin American Bank Incentive Program LABIP 6 4 Searching for Membership Information To search for Membership Information the User must perform the following steps e Select a Search Mode from drop down menu e To filter the search further select the secondary option from the drop down menu where applicable e Once the filters have been selected the User may then scroll through the resulting list or type in the first few characters of the name to use the auto complete function to navigate the list e Click the appropriate selection in the list and then click the Submit button to retrieve the details Search Mode Sort By Firm amp 3 Name Ou Firm Details Firm Details Search Mode without Secondary Option Search Mode Sort Organization Incentive Programs t Incentive Programs Asian Incentive Program AIP
39. 2008 Firm Hame NYMEX COMEX COMEX Option Effective Date Expiration Date Page 1of1 2 Rows Show All Extract Firm Hame Main Account ID Effective Date Expiration Date NNR AN O oa er 1231 2909 Firm Name Main Account ID Effective Date Expiration Date Exchange NYMEX COMEX EFS Manual May 2012 64 Exchange Fee System Search Mode Member Details the search results will return the following information e Broker Details Broker Name Broker Symbol Effective and Expiration Dates Membership Details details vary by Exchange Qualifying Firm ID and Name Badge Firm ID and Name e Account Owners Firm Name Main Account ID Effective and Expiration Dates e Account Controllers Firm Name Main Account ID Effective and Expiration Dates Broker Details Page lofi 2Rows Show All Extract prev Go To Page Ca Length 10 SET Next E w i CMACE IMC 10 01 2007 12 07 2008 HOLDS CMACE PERMIT PA MA sae o CMACE IMC 12 08 2008 12 31 9999 HOLDS CMACE PERMIT MA MA S EEE _ EEE EES SSS lala ae al Account Owners FirmMame Main Account ID Effective Date Expiration Date Mo records found matching the search criteria Main Account ID Effective Date Expiration Date Account Controllers Firm Name Main Account ID Effective Date Expiration Date Mo records found matching the search criteria Firm ame Main Account ID Effective Date Expiration Date Exchange CBOT
40. 4 AM CDT Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance v E Membership Information 5 Reports v Globex Registration v Adjustment v Administration Message of the Day Fee Schedule Last Updated January 1 2012 Fee Schedule 2012 Banking Schedule Banking Schedule Contact Information Fee Inquiries Please contact the Fee Hotline at 312 648 5470 or efsadmin cmecroup co Training For training contact Global Operations Education globaloperationseducatic To register for training click here System Availability 24 x 7 accessibility EXCEPT on weekdays from 7 00pm to 10 00pm CST to perform scheduled maintenance if the maintenance window extends beyond the time noted above either a posting will be listed on the login page or an emai notification will be sent out Glossary of Terms Commodity Code Listing Glossary of Terms Commodity Code Listing Commodity Code Listing XLS Fee Policy Bulletin Clearing Fee Policy Clearing Fee Policy Update Allocation Import Instructions Allocation Import Template Allocation Import Instructions Manual Fee Adjustment Template Manual Fee Adjustment Instructions Adjustment Template Excel Operator ID Registration Form Operator ID Registration Form 2010 CME Group Inc Note the following EFS features e Multi Exchange Accessible Firms will be able to acces
41. 6 5 5 1 Editing Main Accounts Trading Accounts Account Owners Controllers 11ssceeeeceeeeeeeeeeees 4 Account Maintenance Search 56 Account Maintenance Mass Expire 59 EFS Manual May 2012 3 CME Group Exchange Fee System 6 MEMBERSHIP INFORMATION 61 6 7 Accessing Membership Information 61 6 2 Recent Membership Updates 61 6 3 Search Mode by Exchange 61 6 4 Searching for Membership Information 62 6 5 Search Results 63 7 REPORTS 68 7 1 Accessing Reports 68 7 2 Report Request 68 7 2 1 TOOT FON e E ts ca crests E ES 70 7 2 2 POR TOS ea T TE ET S 70 7 2 3 Report Basic Search Criteria sscdscccsntssstunvecnsscessiabtunveessieesiersvonsesaeiiaesvabiunbioseinie rsa iewsedasinavi Ries 72 7 2 4 Report Advanced Search Criteria ccccccccccccsscsssscssccccsccccccccccaecccceccececeeeceeeeeeeeeeeeeeeseseeeeeeseeeesees 73 pAs SUON ORDON itae ai E A AEE EEE EAE EENE AA AET a 73 7 3 Report Viewing 73 7 3 1 VOR OTT a EOE E O EO AE E E 74 7 3 2 View Report Criteria eeeesssssesseeeserererrrrsssssssssssrrrrereesrssssssssesereeretrereesssssssserererereeeeeesssssses 75 7 3 3 Dile ROT erni ia ETA AEOS OEE EOST A AEEA ESA 77 7 3 4 E EAE OF ENEE E OAE E E AT 77 7 3 5 Other Report Viewing Features cccccccccccssesccccccceecneeeeeeeeeeeeeeeaeeeseeeeeeeeaaaeeeeeeeeessaaaseeeeeeseaaaaens 78 8 GLOBEX REGISTRATION 19 8 1 Accessing Globex Registration 79 8 2 Registration Form Step 1 General Information 80 8 3 Registration Form Step 2 I
42. 9999 Trading Accounts Page lofi 4 Rows Show All Extract Go To Page 1 GO Page Length 10 SET Em ge EJ Peleng Ed next 51 1 Check All E Trading Account Effective Date Expiration Date n MONTHS 07 06 2010 a 12 31 9999 E C JANUARY o7 06 2010 CA 12 31 9999 4 Delete Update E FEBRUARY 07 06 2010 CA 12 31 9999 5 Delete Update MARCH 07 06 2010 CA 12 31 9999 E Delete Update Add Trading Accountis T io o 07 06 2010 E 12 31 9999 E Mass Update Trading Account E ig Mass Update EFS Manual May 2012 50 3 CME Group Exchange Fee System Modifying Trading Account Action Items 1 Delete Trading Account a Identify the appropriate row containing the trading account to be deleted Select the Delete hyperlink in the Actions column for that row b A Message Box will display asking the User to confirm the deletion of the trading account Select OK to continue or select Cancel Page lofi 4 Rows Show All Extract Trading Accounts Go To Page 1 Page Length 10 Next E Message from webpage 4 Prev Check All Hi Trading Account P re you sure you want bo delete Trading Account MA4RCH1 A JANUARY Delete Update FI FEBRUARY Delete Update C MARCHI 07 06 2010 ES 1231 9999 E Delete Update c If OK was selected then a confirmation message will display above the Account Details section noting the trading account has been deleted Trading Account MARCH1 has been deleted De
43. Account Details section noting the trading account has been updated EFS Manual May 2012 51 3 CME Group Exchange Fee System Trading Account MARCH has been updated Modifying Trading Account Confirmation Message 3 Mass Update Trading Account Effective and or Expiration Dates This feature allows the Effective Date and or Expiration Date to be updated on multiple Trading Accounts simultaneously a The User can either designate individual Trading Accounts to be updated by selecting the check box in front of each account or the User may designate all the Trading Accounts displayed on the screen to be updated by selecting the Check All box e lf the Trading Account list is paginated the user must first select the Show All hyperlink at the top right of the Trading Accounts section in order to update the entire list of accounts at once using the Check All feature Otherwise only the Trading Accounts displayed on the current page will be updated b Enter the new Effective Date and or Expiration Date in the Mass Update Trading Account section If updating only one of these dates leave the other date field blank c Select the Mass Update hyperlink in the Actions column Trading Accounts Page 1of1 3 Rows Show All Extract Go To Page 1 Page Length 10 Next E 1 Check All Trading Account r Effective Date Expiration Date O Atios ee 2010 f 231 0000 fA JANUARY 07 06 2010 C 12 31 9999 E Delete Update FEBRUAR 07 06 2
44. Account by selecting the Show Expired box a Select Copy Main Trading Account s b The Copy Main Trade Account section will display c The User can edit the following e Account Type e Effective or Expiration Date Note The effective date must be greater than or equal to the next calendar date after the expired date so there is no overlap e Account Title Omnibus Indicator e Non Member Indicator Main Account Details Copy Idain Trading Account s Account Type Effective Date Expiration Date Account Tithe Omnibus Non Mbr INDPIDUAL 07 06 2010 09 03 2010 N N Copy Main Trade Account Account Type Effective Date Expiration Date Account Title Omnibus Non Mbr sagsag FIRM vw 09 09 2010 12 31 9999 E O O d After the appropriate fields have been updated click Submit EFS Manual May 2012 48 CME Group Exchange Fee System A confirmation message will display above the account details stating that the account has been copied The following account was successfully copied 88888 NOTE The copy feature will NOT copy over the Owners and Controllers since the account type has likely changed The User is required to add the Owners and Controllers as needed 2 Expire Main Account This feature allows the Main account and all of its associations trading accounts and owners controllers to be expired Note The User may use the Across Exchange Mode to expire the Main Account at multiple Exchanges simultan
45. Click Search ae a The Adjustment Summary page will appear If the User does not select any criteria other than Bill Firm the search will include all adjustments To view the detail of the adjustment select the Adjustment Summary line item to view Adjustment Summary Fage 1of1 1 Row Show All Extract nie 5o To Page a Fage Length ian q Bill Firm Rebate Assessment Total Amount Original Process Month Payment Month Status REBATE 1000 00 01 2010 REQUESTED 999 Bill Firm Rebate Assessment Total Amount Original Process Month Payment Month Status Search results list EFS Manual May 2012 99 lt 2 CME Group Exchange Fee System The Adjustment Detail will display for the item selected Adjustment Detail Page dofd 1 Row Show All Extract Select Action Select Action 30 To Page Go Page Length Edit View Attachments Create Date Created By Last Updated Last Updated By CustIDF Broker Symbol Bill Type FeeType gt Amount 02 19 2010 HvWwALKER 02 19 2010 KALA ER CURR NEY BROKERAGE OTHER 1000 00 REQUESTED a a To view an attachment select action View Attachments and click the line item to view Adjustment Attachments Page dofd 1 Row Show All Download Attachment Go To P Page Length SET Prev 0 To Page EJ reena E New EI 1 Training Text doc KYWALKER 02 19 2010 To view the attachment details click the line item The select action
46. D YYYY or e Select the calendar icon to the right of the Expiration Date text field and click on the appropriate date Enter a title in the Account Title field Select the check box if this is an Omnibus account Select the check box if a Non Member jointly owns the account After completing each field select the Submit button to create the main account details A message will display confirming the main account has been created gt a 7 oO NOTE Performing the above steps only creates the Main Account record The User must also add the respective Trading Accounts and associate the account owners controllers in order for the account to be eligible to receive reduced rates Refer to the screen below noting the remaining fields that need to be completed EFS Manual May 2012 41 3 CME Group Exchange Fee System The following account was successfully created MONTHS Uan Aoa va Trede Boccia Antom Beakeun E dade on itg Pe Oi oT ee me Cee wE e T e race actety af het aR ACORT eee iep Of he TEL TR PA BOC b Liar BORE awn aed Corded peewee avid De RAET Fer recede at Pee Pam eoun eH OTE Editing Aoocunts RAL tripe TA eH hr that Men cer Tricine Cocoa Pij for open PUEDE prod Current plus heed prior belly mores Firm 1 16 3007 13 31 3995 Bhein Aedui Lint Diiin Aici Drader Aceount DAYE a CO Sho Eapired OO tags Becmange bode Across Exchange bode ier Reece aiia fee acho y Enciiir ibg Cipria Liebe T Ch Pua Eu
47. DFF DME Floor Member DOF Off Floor Member DCM DME Clearing Member DMM DME Market Maker DNM NYMEX Member DCU Non Member Applied Fee Indicator corresponds to the respective levels on the fee schedule C Non Member E Equity Firm or Individual F 106 F Member L Lessee Member Rule106 D Formerly referred to as Licensee X Blended Member Trading Outside Division eligible for blended rates Field identifies the member s acronym typically referred to as Broker Symbol This field should be predominately utilized for isolating PIT trading activity Indicator code usually a two to five character code for the contract traded Fee Incentive Indicator corresponds to the respective Incentive Program status Blanks or spaces in this field mean no incentive program status applies Note The Applied Fee Indicator for these Incentive Programs corresponds to Non Member status so this field is used to determine if Incentive Program rates were applied AIP Asian Incentive Program IIP International Incentive Program SAIP South American Incentive Program also known as the Latin American Bank Incentive Program LABIP LACIP Latin American Corporate Incentive Program FMIP Latin American Fund Manager Incentive Program Facilitation Desk Fees Allows a user to narrow the search by the fees charged to the transaction s Following is a list of fee types grouped by the category under which they are billed to the clearing firm CBOT Clearing
48. Date 12 31 9999 NO RECORD OF ACTIVITY AS OF 4 1 2010 i ao d dan amma i m s 12 31 9999 N Y NO RECORD OF ACTIVITY AS OF 4 1 2010 r T 12 31 9999 N lt NO RECORD OF ACTIVITY AS OF 4 1 2010 Search by Main Account 2 Search by Trading Account a From the Trading Account list select the Trading Account to view T Search by Trading Account Trading Account b After selecting the Trading Account click Submit The associated Main Accounts details will display for the Main Account under which the Trading Account is registered Main Account Details Page lofi 1 Row Show All Extract Go To Page 1 Page Length 10 SET 4 Frew ii E aia Next E ae Account Type Effective Date Expiration Date see ee Max Last Trade Date biie saaki 12 31 9999 NO RECORD OF ACTIVITY AS OF 4 1 2010 Search by Trading Account 3 Search by Account Owner a Select the Account Type Firm default or Individual b From the Account Owner list select the Account Owner s for which to bring back results and then click the Add button To include non member accounts in the search results check the Include non members checkbox EFS Manual May 2012 58 3 CME Group Exchange Fee System T Search by Account Owner Account Owner Account Type E Include non members piai Add gt wp F c After selecting the Account Owner s click Submit The Main Accounts details will display for all Main Accoun
49. Editing Accounts will trigger automatic recalculations for the Main or Trading Account modified for open adjustment period current plus two prior billing months Firm Main Account List Main Account ID Trading Account E show Expired Create Main Account Account Maintenance Initial Screen Following is a description of the fields on this screen Firm Firm that the Main Trading Account clears under Main Account List Drop down list that is automatically pre populated with all the Main Accounts registered under the Firm selected NOTE To view expired Main Accounts select the Show Expired box next to the Main Account List Main Account ID Field that is automatically filled with the Main Account ID once the User chooses it from the Main Account List The User may also choose the Firm and then type the Main Account number directly into the Main Account ID field Trading Account The User may search for a registered Trading Account by entering a Trading Account number in this field and clicking Submit NOTE Trading account number entered must be an exact match otherwise no results will be returned 5 3 Single Exchange and Across Exchange Modes When using the Account Maintenance View screen to create or edit Main Accounts the User will be able to perform these functions either for a single Exchange or for multiple Exchanges at once by selecting one of the following e Single Exchange Mode This is the default mode whi
50. Exchange Fee System EFS User Manual May 2012 Global Operations Education Contents 3 CME Group Exchange Fee System 1 EXCHANGE FEE SYSTEM EFS 1 1 1 1 2 3 7 3 2 3 3 3 4 3 5 3 6 4 ALLOCATION 4 1 4 2 4 3 4 4 4 5 4 6 4 7 5 ACCOUNT MAINTENANCE 5 7 5 2 5 3 5 4 5 5 5 6 5 7 Security Requirements 1 Accessing EFS 1 2 EFS HOMEPAGE 2 3 TRANSACTION VIEWER 3 Accessing Transaction Viewer 3 Performing a Basic Search for Trades 3 3 2 1 Dae O a E TE ones a A NE AR 4 3 2 2 Mode Selec Onest EN i R 6 3 2 3 Summarized By Selection cosasesaawsassicssssanunedwassieesbaaseiedesanseosvaenstasanicaeseswisduhassaanbeasseaausasdienesnantaawaant 6 3 2 4 T O aE EEO 6 3 2 5 TO C1 OW e E E E E EE AE spaniel anaesston ors 6 3 2 6 TOC OTa EEE AE OA 6 3 2 7 Saved Search and Saved Search GroupS ccccccccccccccccccccccccscsevssccccecececceceecsesessssssssseeeeeeeeeeeeeeeeeeens 6 Performing an Advanced Search 7 3 3 1 Transaction Viewer Advanced Search Field D SCTIPtiOnsS cccccccccccsneeeececeeeeeaaeeeseeeeeeeeaaaeees 7 3 3 2 Transaction Viewer Advanced Search Operator Descriptions ccccccccssseecccccceeeeeeeeeseeeeeeeeaaaeees 8 3 3 3 Addihonal T edlr Serap e asser tcennacistaccaaieiictaeasessaedeteeneseseeasteseteesesaaentetsesacantestenaed xeeeodecasast 8 View Trades Search Result List Sorted by Mode 9 3 4 1 Edil Trades Mod Cresce ierre nre E E AE E E AEAEE EEEE 12 3 4 2 Edit Trader ID MOG C s
51. Fee System 11 Contact Us To obtain contact information for the Exchange Fee System support team click the Contact Us hyperlink e CME Group Exchange Fee System Home edsGeptember 7 2011 12 50 PM CDT Page Report Packet Help Log Out CBOT CCE CME DME NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance Membership Information P Reports Globex Registration v W Adjustment w For Help With Exchange Fee System Forse Coniacr Fee inquiries Pease comact he Fee Hotima af 312 645 5470 of af CME Connect of User Security inquiries Pease contact Fem Suppert af 312 93 of fem poriberesraup fae 5 i P i PRN 6 2010 CHE Grea no 12 Help and Log Out The Help hyperlink will display the EFS User Manual Wel lt 3 CME Group Exchange Fee System Home Crab Gear A voy Page Preferences Contact Us Report ck i Lau g Out i CBOT CCE CME DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation X Account Maintenance w Membership Information Reports v Globex Registration v W Adjustment w g l To Exit the Exchange Fee System click the Log Out hyperlink EFS Manual May 2012 103 3 CME Group Exchange Fee System 13 Appendix 13 1 Login Troubleshooting If unable to log in follow these instructions From the Fee Systems Portal login page e Click the Reset button The login page will reset so that the password and User ID can be re entered e lf the pro
52. Page 10f18 18 Rows Show All Extract by Trading Entity Extract ATS Extract Evit Record x q Prev Go to Page 1 Set Page Length 1 Next P 12345678 ev ID gt User Name gt Guaranteeing Firm gt Exchange gt User Type gt Trade Firm gt Effective Date gt Expiration Date gt ATS gt NTIP Site gt NTIP Site Name gt NTIP Eff Date gt 12 31 9999 N Expiration Date gt ATS gt NTIP Site gt NTIP Site Name gt NTIP Eff Date gt b IIP PARTICIPANT 02 01 2009 ive Date gt ABC 2 0 4 Registration Search Results To start a new search e Go back to the search form at the top of the page change the search parameters as needed and then click the Submit button OR e Select the New Search bution at the bottom right to completely clear the search form EFS Manual May 2012 92 3 CME Group Exchange Fee System 8 6 Editing Operator IDs To edit an Operator ID select Edit Record from the drop down list at the top right corner of the search results Note This is the default selection Then click to select the line item to be modified from the search results list The User will be redirected to the registration form edit mode with the fields pre populated with what was previously registered 1 To edit information in Step 1 General Information click Edit Step 1 and update fields as needed The User will also need to proceed through Steps 2 and 3 in order to sa
53. Reallocate This feature will redirect the User to the Allocation screen with the fields pre populated based on the line item selected in the Transaction viewer e For instance if a User selects a single transaction of Firm ID 999 Transaction Type Assignment Product C then upon redirection to the allocation screen the user will have those fields pre populated Plus within the allocation screen the month will automatically obtain month to date activity even though one date may have been selected in the transaction viewer e For CBOT this feature is not available on transaction types Futures from Exercise and Futures from Assignment as the allocations for these transactions are systematically performed when the corresponding Exercises and Assignments are allocated Transaction Summary Back to Summary Transaction Detail Page 1of1 2Rows Show All Extract Reallocate 30 To Page Ca raa Length SET 4 Prev Mext E 2010 01 15 2010 01 15 999 FUTURE FROM ASK NMG 2010 01 15 2010 01 15 999 ASSIGNMENT bit FUT A dew Search View Non Trades Transaction Detail Screen NOTE If the User goes to the Allocation Screen and then back to the Transaction Viewer the search results will be in the same state therefore in order to refresh the result set the User must re perform the search To do this select the NEW SEARCH button below the transaction detail section EFS Manual May 2012 19 3 CME Group Exchange Fee System
54. View Membership hyperlink in the Actions column for that row in order to the view that account owner s membership information EFS Manual May 2012 53 CME Group Exchange Fee System b The User will be redirected to the Membership Information screen To return back to the Account Maintenance screen click on the Main Account ID line item within the Account Owners section D Modifying Account Controllers When viewing an existing Main Account the associated account controller s are displayed under the Controllers section Note The User may use the Across Exchange Mode to edit controller s at multiple Exchanges simultaneously as long as the Main Account s exist at each selected Exchange The User can perform the following with respect to Account Controller e Delete Account Controller e Update Account Conitroller s Effective and or Expiration Dates 1 Delete Account Controller a Identify the appropriate row containing the account controller to be deleted select the Delete hyperlink in the Actions column for that row in order to delete that account controller b A Message Box will display asking the User to confirm the deletion of the controller Select OK to continue or select Cancel c If OK was selected then a confirmation message will display above the Account Details section confirming the account controller has been deleted Account Controller eo has been deleted Deleting Account Controller Confirmation Mes
55. View screen and complete a search using the Show Expired checkbox EFS Manual May 2012 60 3 CME Group Exchange Fee System 6 Membership Information The Membership Information screen displays membership information for individual members member firms and incentive program participants This information is interpreted from the CME Group membership database Note this screen is available for CBT CME DME and NYMEX COMEX 6 1 Accessing Membership Information To access Membership Information select the option from the navigation menu X elcome CME Group Exchange Fee System Home Wed September 7 2011 12 50 PM CDT Page Preferences Contact Us Report Packet Help Log Out CBOT CCE CME A Transaction Viewer Q Allocation Account Maintenance f w GREEN NYMEX COMEX JWeports v Globex Registration v Adjustment v Membership Information 6 2 Recent Membership Updates For an extract of recent membership updates within the past 30 days click on either the Extract Members or Extract Organizations hyperlink The Extract Members link will provide an extract of recent updates for Individual Members while the Extract Organizations link will provide an extract of recent updates for Member Firms and Incentive Program Participants The extract provides the current and historical status for any individual firm whose status changed within the last 30 days Recent Membership Updates Ex
56. actions for recalculation At the Transaction Summary level or at the Trade Details level the User may select from the drop down list e View Details e Change Account e Recalculate EFS Manual May 2012 12 Exchange Fee System Following is a description of these actions e View Details allows the User to select a specific line item from the Transaction Summary in order to view the Trade Details for that item similar to the View Trades Mode The User may also select View Details from the Trade Details level in order to view the associated Fee Details e Change Account allows the User to change the trading account number on transactions that cleared under incorrect account numbers or to modify the account number associated to position transfer and adjustments records An account change can be performed at the Transaction Summary level or at the Trade Details level e Recalculate allows the User to submit transactions for recalculation Trades may be recalculated at the Transaction Summary level or at the Trade Details level NOTE In order to use the Change Account and Recalculate functions at the Trade Details level the User must select View Details at the Transaction Summary level 1 View Details To view the Trade Details for a particular item at the Transaction Summary level 1 Select View Details from the drop down list 2 Click the check box in the row of one line item in order to view the details of that transaction Tran
57. ade Date Month to Date From 1 01 2010 Fe To 01 71 2010 n Firm TEST FIRM 7 19 2007 lz 31 9999 Advanced Saved Search Submit Report Request CME DME GREEN NYMEX COMEX 7 2 1 Report Packet The Report Packet provides an overview of the report suite available to assist in reconciling for each product exchange e the various fees charged e the registration of accounts and operator IDs e the validation of membership status for firms entities individuals or special programs participants and e the discounts associated with various fee incentive programs To access the report packet click the Report Packet hyperlink in the top right corner of the screen The report packet provides detailed descriptions of all the reports available as well as key items to note when using the various reports Welcome 2010 11 55 AM CDT Preferences Contact Us It Help Log Out 7 2 2 Report Types There are several pre defined reports to choose from the Report drop down list To limit the Report list the User may select the Report Type that contains the type of report the User wants to execute The main Report Type categories are as follows e General Reports e Reconcile Reports EFS Manual May 2012 70 3 CME Group Exchange Fee System The main Report Types are then broken down to further assist the User in identifying the best report to utilize when reviewing the fees charged Following are descripti
58. advanced search features available depending on the report selected Not all reports will have the advanced search criterion When advanced options are available for the selected report the User will be able to select the Advanced button at the bottom left of the screen For Advance Criteria field descriptions refer to the Transaction Viewer section 3 3 2 and Appendix Il Transaction Viewer Advanced Search Field Definitions The basic search selections will remain at the top of the page and must be completed as noted above the advanced search fields will appear below the basic search fields While the advanced search criterion available to select will vary per report the operand selections are consistent as follows Advanced Search Criterion Operands Any Allows the User to search for all items and is the default selection Begins With Allows the User to enter the first few numbers and or letters of the desired search item s Contains Allows the User to enter a string of numbers and or letters and search for all items that contain that string Ends With Allows the User to enter the last few number and or letters of the desired search item s Equals Allows the User to enter the exact search item Equals may also be used to enter multiple accounts so that it works as an is in option To Add a Search Item e For all selections except Any type the desired search item in the text field below the drop down menu e Click the Add
59. alculation or to change trading accounts e Edit Trader ID allows the User to view transactions by a specific trader and change the Trader ID for both pit and electronic trades NOTE With this mode the user can only summarize the data by Trader ID or by Trader ID Trade Account e View Non Trades allows the User to view all non trade activity such as Exercises Assignments Deliveries Expirations Cash Settlements and Futures from Exercise Assignment 3 2 3 Summarized By Selection Select how to sort the data by choosing an option from the Summarized By drop down menu e Main Account Trade Account summarizes data by Main Account and then by Trading Account Trading Account summarizes data by Trading Account Trader ID Trading Account summarizes data by Trader ID and then by Trading Account Product summarizes data by commodity code Trader ID summarizes data by Trader ID broker symbol for pit and operator ID for electronic 3 2 4 Firm Selection The firm list displays all of the firms the User is authorized to view e To select a firm click on a firm the firm will then be highlighted e To select multiple firms hold down the CTRL key on the keyboard and click to highlight all desired firms Note a maximum of five firms may be selected at one time e To deselect a firm hold down the CTRL key on the keyboard and click to highlight all desired firms 3 2 5 Location Select the location where the transaction took place e ELC is
60. an attachment click the Attach button refer to section 9 3 Adding an Attachment EFS Manual May 2012 101 3 CME Group Exchange Fee System 10 Preferences The Preferences section allows the User to edit their personal EFS settings To access Preferences click the Preferences hyperlink located in the upper right corner The Preferences screen will display e CME Group Exchange Fee System Home SS nie pease 7 2011 12 50 PM CDT Preferences Page ontact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance Membership Information g Reports v Globex Registration Adjustment v settings Value Detauk Exchange CHE Detauk Page Homer age Transaction Viewer Summary Page Length Transaction Wiewer Detail Page Length Submit To update any of the settings highlight the selection in the appropriate drop down list by clicking on the item Once the selections have been completed select the Submit button To cancel out of the screen at any time select the Cancel button The User will receive a confirmation message that the selected preferences have been saved Your Preferences Have Been Saved Successfully Settings Value Detaut Exchange CHE Detfaut Page Homep age Transaction Wiewer Summary Page Length Transaction Viewer Detail Page Length Cancel Submit EFS Manual May 2012 102 3 CME Group Exchange
61. arios that cannot be updated automatically within the Exchange Fee System EFS 13 4 1 Downloading the Fee Adjustment Template The Manual Fee Adjustment Template for each Exchange is located on the Exchange s homepage Click on the hyperlink Adjustment Template to download the template The Fee Adjustment template has two types of worksheets Position Transfer Rebate and Rate Adjustment EFS Manual May 2012 106 3 CME Group Exchange Fee System e The Position Transfer Rebate template should be used to request an adjustment associated with position transfer fees charged in excess of any applicable caps which are not automated within EFS Note This worksheet is not applicable for NYMEX COMEX or DME e The Rate Adjustment template should be used to request an adjustment associated with incorrect rates applied that cannot be updated within EFS Note any adjustment that CAN be processed through EFS MUST be processed through EFS This template is for the exception cases only Piesze Fill nthe phaded wea A B c D E F H j K L 1 Manual Adjustment Request Form CME Zz 3 Firm Number 4 Finm Name l Process Month dit Pee EF i Reflects fhe month in which you were billed a separate request must be submitted for each Process Month T a Efcn ang ean Grit rat Lap Fer PPDA 4 Actmuamt Trading Account Date of Transher Fee Tape Quantity Charged Changed Transfer Amien Desecripiian r i i CME Pisgah Trene 0 0 pigg
62. ature by entering the first few characters of the entity name in the text field to avoid scrolling through the entire list e Ifin Step 2 the Incentive Indicator was set to NTIP then before the User can select the Trading Entity the user will be prompted to enter the following e Enter the NTIP Effective Date for when the participant will begin trading under this program Type in the date in MM DD YYYY format Note The earliest Effective Date allowed is the first day of the current month e Select the Trading Entity that is part of the NTIP program Once selected the associated NTIP eligible sites for that entity will appear in the NTIP Site drop down list Select the appropriate site from the list e If the trader is trading for the NTIP Site but is an experienced trader they are not eligible for the NTIP discounts therefore the Experienced Trader indicator should be changed to Yes Otherwise the Experienced Trader Indicator will default to No so that the discounts will apply NOTE Trading Entity must be approved and registered with the CME Group Membership department as a participant in NTIP Lack of this registration will be evident if there are no NTIP sites in the Site drop down list If this occurs please contact the CME Group Membership department for further assistance NTIP Effective Date mm dd yyyy mon CME Trading Entity NIIP Site NTIP Experienced Trader D Name a to C Yes R
63. blem does not resolve click the Help link The below screen will then appear CME Group Exchange Fee System ACCME Chicago Board of Tradi HYMME Company Login to Exchange Fee System Message Center Need Help Logging In We can reset your password if you have forgotten it Call CME Group Customer Support at 342 930 3 444 for assistance User ld Tips For Logging In Successfully eee Having trouble logging on Here are some tips for a successful log on Reset Make sure your user name and password are spelled correctly Have you changed your password recently Stil Having Trouble Email Inquiries FirmSupponicmegroup com Additional Login Help 2008 CME Group Inc Login Help Page Follow the instructions If the login continues to fail contact CME Group Customer Support at 312 930 3444 or e mail FirmSupport cmegroup com EFS Manual May 2012 104 CME Group Exchange Fee System 13 2 Navigating the Data Results There are multiple ways to navigate through the data results within the EFS screens If there is only one page of data some of these options will not be available e Show All selecting this hyperlink located in the upper right hand corner above the Transaction Summary screen will change the display to show all transactions on one page Use the scroll bar on the right of the browser window to scroll through the data e Reset this hyperlink will appear after the Show All hyperlin
64. ccount creation is done at a Main Account level also known as an account alias grouping account or roll up account All Trading Accounts are then associated to the Main Account The User can enter the account owner controller association s once for the Main Account rather than several times for each individual Trading Account Upon accessing the Account Maintenance View screen the User will be able to perform the following functions e Create a New Main Account This function allows the User to create register new Main Accounts which entails associating the underlying Trading Accounts and the account owners controllers e View Existing Main Account This function allows the User to search by Main Account or Trading Account and view the associated account details e Edit Existing Main Accounts Trading Accounts Account Owners Account Controllers These functions allow the User to modify the details for existing Main Accounts including the associated Trading Accounts and the account owners controllers EFS Manual May 2012 37 3 CME Group Exchange Fee System Main Account vs Trade Account Automatic Recalculations a Adding or modifying trade accounts on existing main account will resubmit all associated trade activity at the trading account level regardless of the current main account association b Main account owner and controller modifications will be resubmitted for recalculation at the main account level NOTE
65. ch allows the User to apply changes to the single exchange under which the search was executed e Across Exchange Mode This is an optional mode which allows the User to apply changes across multiple exchanges Therefore this mode can be used to create or update account information that is the same at multiple exchanges This feature is enabled by selecting the radio button for the Across Exchange Mode This mode does not apply to CCE DME and GREEN EFS Manual May 2012 38 3 CME Group Exchange Fee System The actions allowed within each mode are summarized in the following table Account s Add Owner sae Account Owner Controllers Across Exchange Mode When this mode is selected the User will need to perform the following additional selections a Exchange Selection Select the additional Exchange s to which the changes should be applied Note The other exchanges the User has been granted security access to will be available for selection based on what exchange the User is in for example if the user is in the CME exchange selecting this mode will display CBOT and NYMEX if the user has security access to those exchanges b Firm Selection After the exchange selection is complete select the appropriate firm for each exchange the firm number under which the account is will be registered Note Firms available for selection are also based on the User s security access and only one firm per exchange may be
66. ciated with proprietary trading firms and trading arcades located in countries outside the USA and Canada CME Group Exchange Fee System 8 4 Registration Form Step 3 Participant s Information Complete the participant s information that applies to the Operator ID being registered CBOT NYMEX COMEX Step 3 Participant s Information Name Required Field Tite First Name Middle Initial Last Name Suffix Additional Information Date of Birth Last 4 Digits SSN Tax ID Trading Location Email Address Clearing Member Firm Individual Type w CME Trading Entity O ID O Name E me Save and Continue to Next Exchange Registration Form Step 3 Participant s Information 8 4 1 Registering Participant Information of a Non ATS or an ATS Individual Operator ID To complete Step 3 of the registration form for a Non ATS or an ATS Individual perform the following steps e Inthe Name Section fill out the following when a user type other than Member or Clerk for Member is selected e Select the Title and then enter the First Name Middle Initial Last Name and Suffix in the appropriate text fields The Title Middle Initial and Suffix are optional fields Required Field Title First Hame John Middle Initial Last Hame Doe Suttix Registration Form Step 3 Name Section e Inthe Name Section fill out the following when user type is Member e Select the res
67. copied is already an owner then that specific individual s will not get copied over to the new designated account Only controllers where there is no owner relationship will be eligible for copy a From the section labeled Controllers select Copy Controller s from the drop down list above the Actions column The Copy To Main Account field will display Controllers A e e 07 06 2010 12 31 9999 E Delete Update Copy a Controller b Select the registered Main Account from the drop down list to copy the Controller s to EFS Manual May 2012 55 3 CME Group Exchange Fee System c After selecting an account click Copy A confirmation message will display 5 6 Account Maintenance Search The Account Maintenance Search screen is a read only screen that allows the User to view all accounts regardless of exchange and the respective details in one centralized place Also on this screen the User can view the Max Last Trade Date for the Main Accounts viewed which identifies the most recent Trade Date for which any of the underlying registered Trading Accounts had trading activity e Searches can be done by o One or More Main Accounts OR o Single Trading Account OR o Oneor More Account Owners NOTE The User cannot refine the search to have a combination of Main Trade and Account Owner the OR condition will only allow selection of ONE of the options noted above Account Search Search Accounts Across Exc
68. cting the Mode identifying the action to be taken Selecting the criteria by which the results should be organized in the Summarized By field Selecting a Firm Selecting the Location of the transaction if applicable Clicking the Show Criteria box to view the search criteria on the results page Once the search criteria are defined select the Submit button to execute the search and retrieve the data The User will receive a message indicating that the search Is in progress Two fields are required in order to complete a basic search Date and Firm If one or more of these fields are left blank an error message will appear For the best search results all fields should be completed however if not modified the default fields will be used for the Date Mode and Summarized By selections The Location field will default to both Pit and Electronic if left blank NOTE Refer to section Errors in Selecting Search Criteria for more information about Error Messages 3 2 1 Date Selection A date selection is required to execute a search Limit the search using Process Date and or Trade Date by checking the box in front of one or both of these date selections A Transaction Viewer Date Selection Descriptions Month to Date Month to Date automatically sets the beginning date to the first day of the current month and the end date to the prior trading day NOTE Dates cannot be changed while in the Month To Date mode Equals Equals specifies onl
69. ctive Date Expiration Date Account Tithe Femmes soni INT ID UAL 07 05 2010 12 31 9999 Edit Main Account Account Type Effectiwe Date Expiration Date Account Title Aaa 07 06 2010 ral 12 31 9999 LI a From the drop down select Edit Main Account b The User can edit the following e Main Account Number e Effective or Expiration Date e Account Title e Omnibus Indicator e Non Member Indicator Note The Account Type field cannot be modified the user must instead expire the Main Account and create a new Main Account record using the Copy Main Training Account s function noted above c After the appropriate fields have been updated click Submit A confirmation message will display above the Account Details stating that the account has been updated B Modifying Trading Accounts When viewing an existing Main Account the associated trading accounts are displayed under the Trading Accounts section Note The User may use the Across Exchange Mode io edit Trading Account s at multiple Exchanges simultaneously as long as the Trading Account s exist at each selected Exchange The User can perform the following with respect to Trading Accounts e Delete Trading Account e Update Trading Account Number and or Effective Expiration Dates e Mass Update Trading Account Effective and or Expiration Dates Main Account Details Select Action Account Type Effective Date Expiration Date Account Tithe Foon tanur MONTHS FIRM 07 06 2010 12 31
70. e customize and retrieve reports displaying fees and fee discount programs Other reports are also available to assist in determining how fees were applied and to whom the fees will be billed Data available for the reports is the current month to date plus the three prior months All reports are viewable in PDF format and may also be extracted into any machine readable format The exception to this is the Condensed Trade Detail Extract which is available for extraction only 7 1 Accessing Reports To access Reports select the option from the navigation menu o gt CM fF G Welcome WwW roup Exchange Fee System Home Wed September 7 2011 12 50 PM CDT Page Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance v Membership Information 3 Reports Globex Registration Adjustment w 7 2 Report Request When Reports is selected two sub menu options appear e Request Select this option to request a report neue e Viewing Select this option to view extract or delete a report 15wing To request a report select the Request option from the Reports sub menu When this option is chosen the Report Request page appears To request a Report click on the report name within the report drop down list or select the checkbox next the appropriate Report Type filter When a Report Type filter is selected
71. e updated Microsoft Internet Explorer i Gre you sure you want to remove selected item s cancel_ Alert Message for Removing Allocated Transaction 4 3 2 Performing Allocations by Trading Account The following screen will be displayed when selecting the Trading Account Mode in the search form Reallocation Current Transactions Current Quantity Import Extract Total Reallocated Quantity o Unallocated Quantity 452 Fealocate Allocating Transactions by Trading Account EFS Manual May 2012 29 3 CME Group Exchange Fee System The Trading Account mode allows the User to input the respective trading account without restricting the User to what has been registered within the EFS application This feature may also be utilized for allocating transactions to non member accounts The system will automatically correlate the inputted trading account to a main account if one exists in the EFS account registration database To Allocate Transactions by Trading Account 1 Inthe Trading Account field enter the Trading Account to which the transactions will be allocated The trading account can be a maximum of 20 characters 2 Go to the Quantity field and enter the number of contracts to be allocated to that account 3 To complete this entry select the Add button or tab to the Add button and then select Enter on the keyboard 4 To Allocate Items to More than Trading Account simply repeat steps 1 thr
72. e radio button and type the first few characters of the individual s last name in the textbox The drop down will automatically narrow the User s search to the name that matches what was entered Select the appropriate member from the list o Symbol Select the Symbol radio button and type the first few characters of the Individual s member acronym in the textbox The drop down will automatically narrow the User s search to the symbol that matches what was entered Select the appropriate member from the list 5 Enter the Effective and Expiration Date of the Account Controller Note that dates must be equal to or between the Main Account date range 6 Select the Add button A confirmation message will appear stating that the controller has been added Continue to add as many account controllers as necessary 5 5 View Existing Main Account Within the Account Maintenance View screen the User can view an existing registered Main Account by performing the following steps 1 Select Firm e If the firm number is known type it in the Firm box e If the firm number is not known click the arrow for the Firm drop down scroll through the list and click to highlight the appropriate firm 2 Select the Main Account e Click the arrow for the Main Account List drop down The User will then be able to scroll through the list of main account numbers for that firm until the desired account is located or EFS Manual May 2012 46 3 CME Gro
73. ect please contact CME Username and Password information password Group Customer Support Group 312 930 3444 between the hours of 6 30am CST and 5 30pm CST For please refer to the Message Center ake paca after hours support please contact CME Group ET Operations at 312 930 8200 i o ME Porta v if you have problems accessing the CME Group EOS or CME Group Globex products please contact the CME Group Globex Control Center at 312 456 2391 Details on availability during holidays may be found at CME Group Holiday Calendar Upon successful login the user will be d i re ct e d t O th e C M E Appl i C ati ons menu bee ni testing for Certification and End to End Applications please navigate to 2 Select the Exchange Fee System icon Exchange Fee System Icon Note If the user does not have access to CME Group Connect or the Fee Systems Portal please contact CME Group Firm Support at 312 930 3444 between the hours of 6 30am CST and 5 30pm CST 3 Log into the Exchange Fee System using your 4 CME Group Fee Systems Portal CME Group Connect portal User ID and iii Password Login to Fee Systems Portal Reset Mewe User Help User ID Pasa word 2009 CME Group Inc EFS Manual May 2012 3 CME Group Exchange Fee System 2 EFS Homepage Once successfully logged in to the application the EFS Homepage will appear as CM E G Welcome Suzanne Moss u rOUP Exchange Fee System Home Page CBOT Fri April 27 2012 11 3
74. ecting Add the search form will appear When adding Owner s in Across Exchange Mode the account owner list available for selection will contain only potential account owners that have member or incentive program status at all exchanges specified If the account owner does not appear in the list the User should review the owner s status at each Exchange selected and revise the Exchange selections accordingly EFS Manual May 2012 44 lt 2 CME Group Exchange Fee System d Select the Account Owner by utilizing the Filter By feature e For Account Type Individual the User will have the following Filter By features to locate the account owner o Name Select the Name radio button and type the first few characters of the individual s last name in the textbox The drop down will automatically narrow the User s search to the name that matches what was entered Select the appropriate member from the list o Symbol Select the Symbol radio button and type the first few characters of the individual s member acronym in the textbox The drop down will automatically narrow the User s search to the symbol that matches what was entered Select the appropriate member from the list Account Owners Individual Add Owner wf No records found matching the search criteria Filter By Effective Date Expiration Date Name cat 07 02 2010 12 31 9999 Adding Account Owner Filter By Individual NOTE When adding an Individual Member
75. ed Account Owner has been deleted Deleting Account Owner Confirmation Message NOTE If you are deleting an individual member account owner the system will also automatically delete the controller record for that member 2 Update Account Owner s Effective and or Expiration Dates a Identify the appropriate row containing the account owner to be updated e Ifthe Effective Date or Expiration Date needs to be updated the User may manually type over the date MM DD YYYY or select the calendar icon to select the effective date o Effective Date must be equal to or greater than the Main Account s effective date Expiration Date must be equal to or less than the Main Account s expiration date b Select the Update hyperlink in the Actions column for that row to apply the updates to the Owners Effective and or Expiration Dates O Account Owners Firm view M 07 06 2010 3 12 31 9999 E Delete Update View Membership c A Message Box will display asking the User to confirm the updates Select OK to continue or select Cancel d If OK was selected then a confirmation message will display above the Account Details section confirming the account owner has been updated NOTE If you are updating an individual member account owner the system will automatically update the controller record for that member 3 View Membership a Identify the appropriate row containing the account owner to view Select the
76. efault selection of None 7 Click Next to continue Step 1 and 2 display as read only text If something was entered in error within Step 1 of the process select the Previous button to go back to that Step To start completely over simply click Registration Form on the menu bar EFS Manual May 2012 81 3 CME Group Exchange Fee System Below are the associated definitions of the Step 2 Incentive Information Fields Same For All Exchanges User Type EFS Manual May 2012 This box should be checked if the ID has the same user type across all Exchanges selected in Step 1 The valid user types for this selection are e Asia Pacific Entity Clearing Member Firm Trader FMIP Participant IIP Participant LACIP Participant Member Non Member Customer e SAIP Participant If the check box is not selected the User may separately select the respective user type that applies to each exchange Asia Pacific Entity An individual trading for a firm that is a registered participant in the Asian Incentive Program AIP Clearing Member An individual trading on behalf of an Exchange Member Firm Trader Firm When the User selects this user type a Trader Type sub category will also need to be chosen The trader types that an individual may be classified under are as follows e Registered Commodity Trading Advisor CTA e Independent Contractor receiving a 1099 MISC e Owner of the firm with at least 250 000 invested in the firm e Rule
77. egistration Form Step 3 EMIP Registration Complete Registration e Once all of this information has been entered the User will have one of the following buttons to chose from depending on the selection criterion from Step 1 e If the User is only registering an Operator ID for one Exchange then click Save to complete the registration process e lf the User is registering an Operator ID for multiple Exchanges and the User Type represented Same For All Exchanges click Save and Continue to Next Exchange to complete the registration process for the next Exchange Note As applicable the information entered will be carried forward for the other EFS Manual May 2012 86 CME Group Exchange Fee System Exchange s for the User to verify and save The registration process is not complete until all Exchanges have been completed and saved e lf the User is registering an Operator ID for multiple Exchanges with different User Types then click Save and Continue to Next Exchange to complete the registration process for the next Exchange Note As applicable the information entered will be carried forward for the other Exchange s for the User to verify and save The registration process is not complete until all Exchanges have been completed and saved If registration was successfully completed the user will receive a confirmation message stating Your Information has been saved If something was entered in error within Step 2 of t
78. eously as long as that account exists at each selected Exchange a From the drop down select Expire Main Account b The Expire Main Account section will display c Enter the Expiration Date MM DD YYYY manually or use the calendar icon to select the expiration date d Select the Submit button e A Message Box will display asking the User to confirm the expiration of this account Select OK to continue the expiration or select Cancel Single Exchange Mode D Across Exchange Mode Message from webpage Main Account Details H Are You sure you want ko expire this Account S000 INDIVIDUAL l N N Expire Main Account Expiration Date 08 01 2010 Submit Editing Main Account Expire Account Screen f If OK was selected then a confirmation message will display above the Account Details section stating that the account has been expired NOTE Once the main account has been expired the only way to view this account and all its associated trading accounts is to click the SHOW EXPIRED box when submitting a search 3 Edit Main Account This feature allows the User to edit the Main account details Note The User may use the Across Exchange Mode to edit the Main Account at multiple Exchanges simultaneously as long as that account exists at each selected Exchange EFS Manual May 2012 49 3 CME Group Exchange Fee System Main Account Details Edit Main Account Account Type Effe
79. errors made in selecting search criteria a message will appear in red at the top of the page stating the number of errors identified e A red flag will also display next to the field s containing the error s e To see detailed information about the error s click the Show Errors hyperlink at the top of the Transaction Viewer EFS Manual May 2012 105 3 CME Group Exchange Fee System There is 1 error on this page E Show Errors M Process Date Month to Date r From 04 01 2010 To 04 05 2010 m wiew Trades r Trade Date Summarized By Month to Date r From 04 To 04 05 2010 ee Main Aeet Trd Aect m Show Criteria CME TEST FIRM O7 19 2007 12 31 9999 Basic Advanced Saved Search Submit e The details of the error s will then be displayed at the top of the page and changes can be made to the search screen to correct the error s e To hide the error details click the Hide Errors hyperlink There is 1 error on this page 4 Hide Errors Firm at least one must be selected I Process Date Mode Honth to Date From 04 01 2010 i To 04 05 2010 HE view Trades l Trade Date Summarized By month to Date From 04 01 2010 To 04 05 2010 HH Mein Reet Trd Beet Firm L Location ELC M Show Criteria CME TEST FIRM 07 19 2007 12 31 9999 PIT 13 4 Manual Fee Adjustment Instructions The Manual Fee Adjustment template is used for submitting adjustment requests for scen
80. ers Controllers This feature will copy all active owners controllers from one registered main account to another within the same Exchange these features are available only in the Single Exchange Mode To copy owners controllers the User will need to do the following 1 Copying Owners a From the section labeled Account Owners select Copy Owner s from the drop down list above the Actions column The Copy To Main Account field will display Account Owners Individual Copy Owner s 07 06 2010 12 31 9999 E Delete Update Copy To Main Account 9999 kai Copy an Account Owner b Select the registered Main Account from the drop down list to copy the Owner s to c After selecting an account click Copy A confirmation message will display Owners have been successfully copied to Main Account 9999 NOTE When an individual is copied as an owner to another account they are also automatically added to that account as a controller 2 Copying Controllers Note Only copy individuals can be controllers The following rules apply when copying account controllers lf the Account Type equals Firm then the controllers will be copied to the designated Main Account lf the Account Type equals Individual Joint or Non Member and the controller to be copied is not an owner then the controller will be copied to the designated Main Account lf the Account Type equals Individual Joint or Non Member and one of the controllers to be
81. ership The individual does not qualify for any of the other registration categories and therefore receives non member rates NYMEX Only An individual who has been granted POA of electronic trading discretion The individual must be registered with the CME Group Membership department An individual trading for a firm that is a registered participant in the South American Incentive Program SAIP also known as Latin American Bank Incentive Program LABIP CME Only An individual trading for a firm registered as a Rule 106 H Corporate Member This is the date the Operator ID for the specific user type and the Exchange became effective NOTE The default date will be the current business day when registering a new User ID This is the date the Operator ID for the specific user type and Exchange was expired NOTE The expiration date will default to 12 31 9999 when registering a new User ID This date just means that this will be the active Operator ID There is no set expiration date at the time of registration This is used to indicate whether Operator ID represents an Automated Trading System This indicates whether the Operator ID is associated with one of the CME Fee Incentive Programs None default NTIP 83 Operator ID is not associated with an incentive program Operator ID is trading for a registered participant in the New Trader Incentive Program NTIP which allows fee discounts to new traders asso
82. et save the adjustment template Note The adjustment worksheet will need to be attached to the manual adjustment request submitted through the Adjustment screen 13 4 3 Entering data into the Rate Adjustment worksheet 1 Select the Rate Adjustment worksheet Manual Adjustment Request Form CME Firm Hur Firmi Hamia Process Month da feat ee Fleects the GAA If aOR pou bare bileg a padarai Aut Mutt be ututtied for ach Proce Morth Folur Habe itai ipio Fer Type GQuamitg Charged Charged Cooect Aate CME He ho nom CME ha foo i CME Hi 0 LULL CME piui piii gigu 0 00 Grand Total Fikira Ai Feri ee oe eed 2 Enter the Firm Number Firm Name and Process Month YYYY MM EFS Manual May 2012 108 3 4 3 CME Group Exchange Fee System Manual Adjustment Request Form CME Firm Number Firm Name Process Month fe UAT a Reflects the month in which you were billed a separate request must be submitted for each Process Month Continue to enter the appropriate information in the shaded areas refer to example highlighted in yellow O rea on Deseipion Main Account C13 A grouping account created by firms to associate trading accounts with identical account ownership enter the Main Account associated with the adjustment request Trading Account D13 The trading account received from CME Clearing enter the trading account associated with the adjustment request F Futures or O Optio
83. et Explorer IiE Report Viewer View Report Criterion EFS Manual May 2012 76 CME Group Exchange Fee System 7 3 3 Delete Report To delete a report from the Report Viewer 1 Select Delete Report from the drop down list in the top right corner of the Report Viewer 2 Select the line item corresponding to the report to delete 3 An alert message will appear requesting confirmation of the report deletion click OK to confirm or Cancel to exit Microsoft Internet Explorer he h j Are vou sure you want to delete the selected report concel_ Report Viewer Delete Report Alert Message 7 3 4 Extract Report To extract a report from the Report Viewer 1 Select Extract Report from the drop down list in the top right corner of the Report Viewer 2 Select the line item corresponding to the report to be extracted 3 A File Download message box will appear click OPEN to open the file and the data will display in Notepad click SAVE to save the report or click CANCEL to exit File Download Do you want to open or save this file Mame Trade Summary xk Type Text Document From rgqaefs01c chicago cme com Bren seve cm While files from the Internet can be useful some files can potentially harm Your computer IF you do not trust the source do not open or save this file Wrfhat s the isk Report Viewer File Download Message Dialog Box 4 Ifthe user selects SAVE a Save As box will appear
84. evesseceeceesssssseeeeeeeesessssseeeees 108 13 4 4 Attaching the Manual Adjustment Worksheet Template cccccccssseseseessseccceccccceceeeeaaaaanseseeees 109 13 5 Fee Types 112 EFS Manual May 2012 3 CME Group Exchange Fee System 1 Exchange Fee System EFS The Exchange Fee System EFS is a browser based application that enables clearing firm fee administrators to e Search view and edit transactions e Maintain account and electronic Trader ID information and e Execute reports to confirm and reconcile transaction fees charged 1 1 Security Requirements To request access to the Exchange Fee System fax a completed System Access Request Form to the CME Group Customer Support Group at 312 338 2626 Form is available at http www cmegroup com clearing files onlineaccess pdf Please allow 24 48 hours for processing 1 2 Accessing EFS To access the EFS application users must first log on to CME Group Connect by entering the following address in the internet browser http connect cme com 1 Enter your CME Group Connect CME Group CME Group Connect Username and Password and then heera click Login Note The product selection should be set to CME Portal Login to CME Group Connect Message Center Note If the user does not have the username Welcome to CME Group Connect Please enter your login ID and password on the left and ensure the g correct product is selected If you have problems accessing CME Group Conn
85. for electronic trades transactions e PIT is for any transaction that took place on the floor open outcry e No selection defaults to both locations 3 2 6 Show Criteria The default setting is for the Show Criteria box to be checked e This displays a summary of all of the search criteria above the search results e Uncheck the Show Criteria box to display the results only 3 2 7 Saved Search and Saved Search Groups The Saved Search function provides the ability to save and load frequently used Transaction Viewer and Report search parameters Saved Search also has an administrative function Saved Search Groups which allows users to make common searches available to other users within the same clearing firm upon request e To create a predefined search click Saved Search and the My Criteria screen will display e Enter a name for the search criteria and click Save EFS Manual May 2012 6 3 CME Group Exchange Fee System e To use the saved criteria highlight the search name and click the action Load then click Submit e The User will be redirected back to the primary screen with the search criteria loaded the User has the opportunity to make any updates and then click Submit to retrieve the search results 3 3 Performing an Advanced Search In order to perform a more specific search choose an Advanced Search by selecting the Advanced button at the bottom left of the search screen The basic search selections will remain at the
86. for the team member The system will default to the current business day to select a different date type in the date in MM DD YYYY format or click on the calendar to the right of the Effective Date text field and click on the appropriate date e The ATS Expiration Date Required will default to 12 31 9999 To select a different date type in the date in MM DD YYYY format or click on the calendar to the right of the Expiration Date text field and click on the appropriate date e Once all the required information for an individual team member has been entered select the ADD button and the user will be added to the ATS Team list To submit the information for another individual team member repeat the steps above NOTE Each ATS group must have a Head Trader Also if the user type is a Member then the User must designate the Head Trader as a member to ensure the appropriate fees are applied Additional Information Date of Birth Last 4 Digits SSN Tax ID Email Address ATS Effective Date 09 01 2010 al ATS Expiration Date 12 31 9999 Update ATS Team ite Firstname mice mitai asno oste orarin rario toaion eman Enecive oste pranon ont remove edit 1 John HEAD TRADER 09 17 1976 08 01 2010 12 31 9999 Regiawation Form Step 3 ATS Team List EFS Manual May 2012 89 3 CME Group Exchange Fee System To edit an ATS participant select Edit next to the participants name in t
87. g Accounts Page lofi 1 Row Show All Extract Go To Page 1 Page Length 10 SET A Prev sil CO iii Next E Check All W Trading Account Effective Date Expiration Date Add Trading Account s January 07 06 2010 12 31 9999 February 07 06 2010 12 31 9999 07 06 2010 12 31 9999 Mass Update Trading Account Mass Update Trading Accounts a To add a new Trading Account enter the account number up to 20 characters into the textbox in the first row under Add Trading Account s b Enter the associated Effective and Expiration dates should be equal to or between the Main Accounts effective and expiration dates e To add multiple Trading Accounts where the effective and expiration dates are the same use the ENTER key on the keyboard After selecting ENTER a new row will automatically be displayed to input the next Trading Account and the dates will already be populated e o add multiple Trading Accounts where the effective and or expiration dates differ use the TAB key on the keyboard The TAB key will bring the User to the next field and will create a new row once the Trading Account Effective Date and Expiration Date have been entered in the current row c After entering all of the Trading Accounts click the Add when a single Trading Account has been added or Add All when more than one Trading Account has been added link under the Actions column EFS Manual May 2012 43 3 CME Group Exchange Fee System
88. g Allocations by Main Trading Account The following screen will be displayed when selecting the Main Trading Account Mode in the search form Current Transactions ur neni Cunt ity Man Account Trading Aocoumy FREST Select Accoun Acea import Extract Main Account reading Acc cial lotal Reallocated Quantity zi Unallocated Quantity Ph Allocating Transactions by Main Account Trading Account This feature provides only those accounts that have been registered in the Account Maintenance section of the EFS application This ensures the User will not input an incorrect account number Note once the User allocates transactions the User will have to wait until the next business day to correct those transactions if an error was made To Allocate Transactions by Main Account Trading Account 1 In the Account field select the Main Account number to which the transactions will be allocated 2 Inthe Trading Account field select the Trading Account to which the transactions will be allocated Note Trading Account is an optional field 3 Go to the Quantity field and enter the number of contracts to be allocated to that account 4 Tocomplete this entry select the Add button or tab to the Add button and then select Enter on the keyboard 5 To Allocate Items to More than One Main Trading Account simply repeat steps 1 through 4 The User can continue to allocate to additional accounts as long as the Current Quan
89. gned e Inthe Additional Information Section fill out the following e Date of Birth Required In the Date of Birth text field type in the birth date in the format of MM DD YYYY or click on the calendar to the right of the Date of Birth text field and click on the appropriate date The Date of Birth must represent a user that is at least 18 years old e Last 4 digits SSN Tax ID Optional In the SSN Tax ID text field type in the last 4 digits of the participant s social security number or Tax ID For foreign traders type the last 4 characters of the unique government issued tax code or insurance number e Trading Location Required Select the appropriate country that represents where the trader is located EFS Manual May 2012 85 3 CME Group Exchange Fee System e Email Address Optional Enter the participant s email address e lf the user type selected was Clearing Member Firm Trader then an additional field will be required Clearing Member Firm Individual Type Select from the drop down list the appropriate status of the trader e Commodity Trading Advisor CTA Independent Contractor receiving a 1099 MISC Owner of the firm with at least 250 000 invested in the firm Rule 106 F trader holding the Firm seat W 2 employee of that clearing firm e Select the Trading Entity to which the participant is associated by highlighting the entity in the Trading Entity list The User may utilize the auto text fe
90. hange Select Firms Exchange Firms Selected Firms NYE 09 01 2009 12 31 9999 A CBI 03 05 2007 12 31 3339 Add All CBI 11 28 2005 12 31 9999 CBT 11 16 2007 12 31 9999 CME 11 16 2007 12 31 9999 M a Select the Exchange s to search this will filter the firm list below to contain only firms associated with the Exchange s selected Exchange All Ba b From the Firms list select the firm s to search The Firm list will default to ALL firms to which the User has security access Note Depending on the Exchange s selected in the previous step a firm that exists at more than one Exchange may appear multiple times in the Firm list The Exchange designation appears after the firm name prior to the firm s date range the User should be sure to consider this when selecting firms from the list To select multiple firms hold the Ctrl key and click on each firm name EFS Manual May 2012 56 Select Firms Exchange Fee System Exchange Firms Selected Firms CBT 11 28 2005 CBT 01 14 2004 11 06 1555 WY 05 30 2005 12 31 9955 c After selecting the firm s click the Add button The designated firms will be added to the Selected Firms section Selected Firms Add gt gt Add All Remove lt lt Remove All selected Show Search Criteria Search Criteria CME 05 05 2007 12 31 9995 CME 11 06 1995 12 41 9999 d Click on the Submit button The search criteria resul
91. has been successfully created Description Brokerage Charges Reversed Brokerage Charges Reversed al E 1 Click Browse The Choose file window will display Description Attachment s Brokerage Charges Reversed Browse Upload Brokerage Charges Reversed al iein Delete E Update Locate and click the file to attach Click Open Click Upload The filename will appear in the attachment list and a confirmation message will display Repeat these steps for any additional attachment s ey Attachment File Training Text doc has been successfully uploaded EFS Manual May 2012 98 3 CME Group Exchange Fee System Description Attachment s Brokerage Charges Reversed Browse Upload Brokerage Charges Reversed a Training Text doc Uien Delete E 5 Click Update to complete the attachment process a To view the file highlight the file name and click View b To remove the file click Delete To create another adjustment click Clear 9 4 Searching for Fee Adjustments To complete a search for an adjustment select Search from the Adjustment sub menu The Search Adjustment screen will appear Bill Firm 387 CHE GROUF TRAINING 3 Oso z00l l 731799599 Original Process Month YTY Y MM Payment Month 77 YT MM r r Select the Bill Firm Select the Original Process Month YYYY MM optional Select the Payment Month YYYY MM optional Select the Status optional
92. he ATS team list The information for that team member will be populated into the form above for updating When done editing the record select the Update button Required Field Member Tite First Name John Middle Initial Last Name Doe Suffix Additional Information Date of Birth 09 17 1976 Last 4 Digits S5N Tax ID Email Address ATS Effective Date 09 01 2010 iG ATS Expiration Date 12 31 9999 E Update ATS Team First Hame Middle Initial Last Name ATS Role Date of Birth Sie e Effective Date Expiration Date John HEAD TRADER 09 17 1978 09 01 2010 12 31 9999 Cle i d mber Firm Individual Type Registration Form Step 3 EDIT an ATS Team List To remove an ATS participant select Remove next to the participants name in the ATS team list An alert message will appear select OK to continue with the deletion or Cancel If OK is selected the user will be removed from the list Microsoft Internet Explorer 3 If the user type selected was Clearing Member Firm Trader then an additional field will be required Clearing Member Firm Individual Type Select from the drop down list the appropriate status of the trader which will be as follows e Commodity Trading Advisor CTA Independent Contractor receiving a 1099 MISC Owner of the firm with at least 250 000 invested in the firm Rule 106 F trader holding the Firm seat W 2 employee of that clearing firm 4 Select the Trading Entity to wh
93. he process select the Previous button to go back to that Step To start completely over simply click Registration Form located at the top of the page NOTE Upon completion of registering the Operator ID trades will need to be submitted for recalculation manually in the Transaction Viewer when the Operator ID s effective date is earlier than the current business date EFS Manual May 2012 87 3 CME Group Exchange Fee System 8 4 2 Registering an ATS Team Operator ID If in Step 2 it was identified that the Operator ID represented an ATS Team the following details will need to be completed in Step 3 of the registration process Dep 3 Participants Infocmatian ame Required Field BOW HEMOEE Foret Maree Middies initial Last Harmes Sufia Date of Barth Laat gits 550 Tae HE Trading Location Emai Address ATS Role ATS Effective Dete t ATS Expiration Date 12 31 9595 ATS Team ATS Bode Date of Birth Tax 0 Locsin Emai Eicctve Date Expiration Date He Team Member Asgigned Clearing Member Firm indvidual Type CME Trading Entity Registration Form Step 3 Participant s Information ATS Team 1 Inthe Name Section fill out the following for the first member of the ATS Team e Select the Title and then enter the First Name Middle Initial Last Name and Suffix in the appropriate text fields The Title Middle Initial and Suffix are optional Required Field Member wow MEMBER Ti
94. he same product code as the option Assignment or Exercise with the exception of Flex Options Weekly Treasury Options and Weekly Ag Options In order to allocate transactions associated with these option types the allocation must be done using the underlying future product code NOTE A translation of the Flex and Weekly option codes to the underlying futures codes is available within the Commodity Code Listing on the EFS Home Page e For Soybean Crush Options the product code and quantity ratio differ between the option and the underlying futures as shown in the table below NOTE A Crush Option Exercise or Assignment can be allocated using the option product code 31 The allocation will automatically apply the correct ratio to the corresponding Futures from Exercise or Assignment Commodity Code S 10 Soybean Futures Commodity Code 06 11 Soybean Meal Futures EFS Manual May 2012 25 3 CME Group Exchange Fee System Commodity Code 07 9 Soybean Oil Futures EFS Manual May 2012 26 3 CME Group Exchange Fee System 4 3 Performing Allocations Allocations will be performed based on the Mode selected in the allocation search screen e By Main Trading Account e By Trading Account Each mode will display the Current Transactions current unallocated transaction count and the Current Quantity current number of available contracts to be allocated at the top of the allocation form These numbers cannot be edited 4 3 1 Performin
95. ich the participant is associated by highlighting the entity in the Trading Entity list The User may utilize the auto text feature by entering of the first few characters of the entity name in the text field to avoid scrolling through the entire list EFS Manual May 2012 90 3 CME Group Exchange Fee System 8 5 Globex Registration Search To view the details for previously registered Operator IDs select Search from the Registration sub menu The User will be redirected to the search screen There are three different methods by which the registered Operator IDs may be retrieved e Firm Entity Type e Operator ID e User Name Select the radio button in front of the preferred search option For detailed descriptions on these search types refer to the sections below Firm Entity Type Firm Entity List GUARANTEEING FIRM Test Firm Operator ID UserName Search Options applies to all searches Show Expired Clear J Search CME Globex Registration Search Form 8 5 1 Searching by Firm Entity Type To search by Firm Entity Type the User must perform the following steps e Select the Firm Entity Type radio button e Select the appropriate Firm Entity Type to search for within the drop down list e Select the Apply button o Ifthe User leaves the textbox above the Apply button blank the list will contain all entities for the firm entity type selected o Ifthe User enters a string of characters in the textbox above the Appl
96. ify the details for existing Main Accounts including the associated Trading Accounts and the account owners controllers NOTE For any modifications made within the Account Maintenance screen the system will automatically submit for recalculation the associated transactions for the open adjustment period current plus two prior billing months A Modifying Main Accounts After the User locates an existing main account the following action items are available Main Account Details Select Action hiai Account Type Effective Date Expiration Date Account Title select Action Copy Main Trading Account s MONTHS FIRM 07 06 2010 12 31 9999 Expire Main Account Edit Main Account Modifying Main Account Select Action Items 1 Copy Main Trading Account s This feature is available in Single Exchange Mode only The most common use of the Copy Main Trading Account s feature is when the Account Type is changing for an existing Main Account for example from Individual to Firm or vice versa The User can expire the existing Main Account and then use the Copy feature to recreate the same Main Trading account grouping with a modified account type The Main Trading Account to be copied must be expired prior to executing the Copy Main Trading Account s functionality two active instances of the same Main Trading Account s cannot exist Once the Main Account the User is copying from has been expired perform a search for that Main
97. ine icc earaasceter sua seeaaawsetncatuctesnaoeds tea tunsuancs ETE ALEE E EAEE EEEE EEE 17 3 4 3 View Non Trades Mode scctvesaccusnsersneevasasnaceosnsessstaanondsaxesasecsandasdsdsunaneveansatevoaviancueeoieedsteeruceansas 18 Appendix Transaction Viewer Basic Search Field Definitions 20 Appendix Il Transaction Viewer Advanced Search Field Definitions 20 Accessing Allocation 24 Searching for Transactions to Allocate 25 4 2 1 Additional Allocation Notes iccccccccccccccsssscccccccscesssceeeeeeeessssseeeeesesssssseeeeeeesesssseeeeseeeeeessasaeeeseseeens 25 Performing Allocations 27 4 3 7 Performing Allocations by Main Trading ACCOUNT 111ssssseeeeeeeseeeeeceeeeeeeeenaaaaaesessssseeeeeeeeess 27 4 3 2 Performing Allocations by Trading Account cccsccccccccccsessceecesscesssseeeeceessssussaeeeseesesesssaeeeees 29 Editing Previously Allocated Trades 31 Allocation Import 31 4 5 1 Import INS UCHON S scsiaacasanuceussauistivsnoniecbivnstuneecnsabweeussteasdisneiecbins stancecnsaiweeusheasdiehentecbiosstuncecaseawebunien 32 Allocation Screen Key Concepts 33 Appendix Ill Allocation Field Descriptions 39 Accessing Account Maintenance 37 Account Maintenance View 37 Single Exchange and Across Exchange Modes 38 Create a New Main Account 39 5 4 1 Adding Trade ACCOUN S aicen AE Passages ae 42 5 4 2 Adding Owners Controllers to the Main ACCOUNt eeeeeesssssssnsnnnnnnnnesssssssssssssererresssssssssssssesee 44 View Existing Main Account 4
98. inputted text to be captured To Delete a Search Item 1 Find the item to be deleted in the search list 2 Click to highlight the item 3 Click the Delete hyperlink 3 3 3 Additional Features e To clear all selected search criteria select the Clear button at the bottom of the search form EFS Manual May 2012 3 CME Group Exchange Fee System e To switch back to the Basic Search form select the Basic button at the bottom of the search form 3 4 View Trades Search Result List Sorted by Mode The View Trades Mode provides the User a read only view of any trade results returned from the search criteria entered The results of all searches are initially sorted based upon the Mode selected in the basic search The below explanation of search results is organized based on each of the possible mode choices View Trades Edit Trades Edit Trader ID and View Non Trades After being sorted by mode a secondary sort is organized by the Summarized By field The Main Account Trading Account option is the default selection for organizing results within the Transaction Summary view NOTE See Summarized By Selection section above for further details Once sorted by Mode and then Summarized By the data is returned in a first level view called the Transaction Summary where a summary of all trades or non trades is visible Each returned record can then be chosen individually and displayed at the Transaction Details level Fee Details is the
99. k has been selected Use this to change the display back to show one page of data at a time e Extract selecting this hyperlink will extract the data into a text format Then open the file in other applications such as Microsoft Excel or Access e Prev and Next selecting the previous or next hyperlinks will bring the User to the previous or next page of data e Go to Page allows the User to enter a specific page number to view To use this feature type in a page number and click the Go button e Page Length allows the User to select the number of rows of data to see per page To use this feature type in a number and click the Set button e 1234 selecting one of these hyperlinks will bring the User to that specific page To view the next page click the link displayed as three dots e Sorting Columns To sort the column data in ascending or descending order Select the arrow next to the header of the column to sort Data can only be sorted by one column at a time Transaction Summary Search Results Page 9 of 2111 4221 Rows Show All Extract View Details Go To Page 9 GO Page Length 2 SET 4 Prew ge EE ge CEng Next El 123456769 10 Bo 56063 999 99 0 0 00 N 064 Soir 999 14 0 0 00 H To view all the columns in the search results use the left right scroll bar at the bottom of the search results 13 3 Errors in Selecting Search Criteria e When executing a search if there were any
100. le To cancel the extract process simply select Cancel The tab delimited file will contain all of the field values displayed on the search results screen EFS Manual May 2012 96 Exchange Fee System 9 Adjustment 3 CME Group The Adjustment screen allows the User to add edit and view manual fee adjustment requests Manual fee adjustment requests are used only for scenarios that cannot be updated automatically within the Exchange Fee System EFS Any adjustment that CAN be processed through EFS MUST be processed through EFS This section is for the exception cases only Note All adjustment requests are subject to the Adjustment Deadlines Banking Schedule posted on the EFS Homepage The User is encouraged to complete the Adjustment template located on each Exchange s Homepage in order to provide the necessary supporting calculation for the adjustment request Refer to the Adjustment Template Instructions also located on each Exchange s Homepage for assistance with completing the template 9 1 Accessing Adjustment To access the Adjustment screen select the option from the navigation menu CME Group Exchange Fee System Home age CBOT CCE CME DME A Transaction Viewer Q Allocation Account Maintenance w Membership Information Dropdown Menu e Create Select this option to add a new fee adjustment request Welcome Wed September 7 2011 12 50 PM CDT Preferences Contact Us Report Packe
101. leting Trading Account Confirmation Message 2 Update Trading Account Number and or Effective Expiration Dates a Identify the appropriate row containing the trading account to be updated b The following may be updated Trading Account Number Effective Date and or Expiration Date e If an existing Trading Account Number needs to be updated simply type over what is listed in the textbox e Ifthe Effective Date needs to be updated the User may manually type over the date MM DD YYYY or select the calendar icon to select the effective date Note that the effective date must be equal to or greater than the main account s effective date e Ifthe Expiration Date needs to be updated the User may manually type over the date MM DD YYYY or select the calendar icon to select the expiration date Note that the expiration date must be equal to or less than the main account s expiration date c Click on the Update hyperlink in the Actions column for that row d A Message Box will display asking the User to confirm the modification s Select OK to continue or select Cancel Trading Accounts Page lofi 4 Rows Show All Extract prev Go To Page 1 Page Length 10 SET sent 1 Message from webpage D re you sure you wank to modify Trading Account MARCH F JANUARY Delete Update C FEBRUARY Delete Update C MARCH1 07 06 2010 E 12 31 9999 S Delete Update e If OK was selected then a confirmation message will display above the
102. ll mj Main Acct Trading Acet Trade Date a Tran Type Hame caa Underlying Commodity CARE CET B 20011 20011 2010 01 07 2010 01 07 GBx TRD 20014 20011 2010 01 07 2010 01 07 999 GEX TRE ED Plt FUT 20011 20011 2010 01 07 2010 01 07 999 Bx TAD ED MaS FUT 20011 20011 2010 01 07 2010 01 07 999 GES TRD ED PKA FUT 20011 20011 2010 01 07 2010 01 07 999 GBx TRD ED PA FUT 20011 20011 2010 01 07 2010 01 07 999 GES TRD ED PA FUT 20011 20011 2010 01 07 2010 01 07 999 Bx TRD ED MaS FUT 20011 20011 2010 01 07 2010 01 07 999 GBx TRD ED PA FUT OYoyo o o o 70 0 20011 20011 2010 01 07 2010 01 07 399 GEA TRD ED na FLIT m m mm M M M M M M mM 20011 20011 2010 01 07 2010 01 07 GBx TRD Check All Main Acct Trading Acct r Trade Date Ea Tran Type Hame T Underlying Commodity Fea roar CBT B Yew Search Transaction Detail Screen in the Edit Trades Mode of the Transaction Viewer Also at the Transaction Details level e To Change an Account or to Recalculate Transactions follow the same steps outlined above e To view Fee Details for a particular trade select Show Fee Details in the drop down menu 2 Change Account Changing an account in EFS allows the user to move trades from one account to another a To Change a Single Account Number 1 Select Change Account from the Select Action drop down list 2 Click the check box in the row of the line item to be changed Transaction Summary Search Results Page 1of1 1 Row Show All
103. mation is required in reviewing allocations during fee audit examinations Also this feature provides only those accounts that have been registered in the Account Maintenance section of the EFS application Trading Account This feature allows the User to enter the respective trading account without restricting the User to what has been registered within the EFS application This feature may also be utilized for allocating transactions to non member accounts NOTE EFS will automatically correlate the entered trading account to a main account if one exists Allocations must be completed for one transaction type at atime The types of transactions are Exercise The process of exchanging an option for the underlying Futures contract Delivery The tender and receipt of an actual commodity or financial instrument or cash in settlement of a futures contract Assignment The designation of an option writer for fulfillment of his obligation to sell the underlying futures contract call options writer or buy the underlying futures contract put option writer upon notice from the Clearing House Notice to the seller of an option that has been exercised by the buyer EFS Manual May 2012 35 3 CME Group Exchange Fee System Expired When the expiration date for an option passes without the Options option being exercised or offset Cash The transfer of the associated cash position Settlement Future from The future created up
104. ncentive Information 81 8 4 Registration Form Step 3 Participant s Information 84 8 4 1 Registering Participant Information of a Non ATS or an ATS Individual Operator ID 54 8 4 2 Registering an ATS Team Operator ID scocnsrcasteiniexdscesvunerasvinvetteuvlesesesnvaiecasimats avon tianieeeres 88 6 5 Globex Registration Search 91 8 5 1 COICO OY DEI 1 Oca cans cssesedet mreess casonced EEE a 91 8 5 2 Searching by Operator ID or User Nat siissririerii iiitide isuriei iaie ia 92 8 5 3 SOTO l E E EE E N cee eee 92 8 6 Editing Operator IDs 93 8 6 1 Eire Ree Steve d Operdior 18 vscccsccnducssscudss sacevivaseecnceasseasiiadedes seca S eee ee 93 8 7 Copying Operator IDs 95 8 8 Extracting Operator IDs 96 9 ADJUSTMENT 97 9 1 Accessing Adjustment 97 9 2 Creating an Adjustment 97 9 3 Adding an Attachment 98 9 4 Searching for Fee Adjustments 99 9 5 Editing an Adjustment 100 10 PREFERENCES 102 11 CONTACT US 103 12 HELP AND LOG OUT 103 13 APPENDIX 104 EFS Manual May 2012 CME Group Exchange Fee System 13 1 Login Troubleshooting 104 13 2 Navigating the Data Results 105 13 3 Errors in Selecting Search Criteria 105 13 4 Manual Fee Adjustment Instructions 106 13 4 1 Downloading the Fee Adjustment Template ccccccccccccccccccecscccceesussssceeeeeeeeeeeeeeessesesssssaaaees 106 13 4 2 Entering data into the Position Transfer Rebate worksheet onnenn 108 13 4 3 Entering data into the Rate Adjustment worksheet ccccccccssccccccs
105. ns Correct Rate K13 Note Please refer to the applicable Exchange s Fee Schedule to identify the correct rate Description of the reason for the adjustment request For any additional line items repeat step 3 After completing the Manual Adjustment Request worksheet save the adjustment template Note The adjustment worksheet will need to be attached to the manual adjustment request submitted through the Adjustment screen 13 4 4 Attaching the Manual Adjustment Worksheet Template To submit the manual adjustment request and attach the completed template go to the Adjustment screen within the appropriate Exchange Complete the Adjustment request 9 10 11 13 14 15 16 Select the Bill Firm Status will default to Requested Select the Fee Type 12 Select the product Quadrant Note This displays as Product Venue for NYMEX COMEx this field does not apply for DME Select the Original Process Month MM YYYY Enter an Amount after selecting whether the adjustment represents a Rebate or Assessment Select a reason for the adjustment from the pre populated drop down list or type the reason in the Description text box To add an attachment click Save Attach EFS Manual May 2012 109 3 CME Group Exchange Fee System e CME Group Exchange Fee System Create Edit Adjustment Wed SAT 2011 03 16 PM COT Preferences Contact lis Repot Packet Hebe Lig Oui CAO CE CME DME GREEN ATTA T
106. nts exercise assignment delivery future from exercise assignment expired option that could be eligible for reduced rates based on the rules prescribed for each product exchange This report type focuses on activity that is not registered or recognized in the fee system that could ultimately trigger non member rates to be applied The main areas of registration anomalies are Accounts and Operator IDs This report type will assist in validating what has been registered within the fee system and provide assistance monitoring adjustments prior period or manual requests 3 CME Group Exchange Fee System 7 2 3 Report Basic Search Criteria The basic report search requires the User to select a date selection by either Process Date or Trade Date by checking the box in front of one or both of the date selections The User must also select the corresponding Firm prior to submitting a report Process Date The date that the trade was processed in EFS Refer to section below for the Date Selection choices Trade Date The date that the trade was executed Refer to section below for the Date Selection choices Firm Represents the filling firm executing firm of the transaction Fee Type Group This is an optional field that allows a user to include All Fees CBOT Option Only Exchange Fees or Clearing Fees NTA This is an optional field that allows a User to include or exclude Non Non Trade Activity Trade activity from Exchange Fee reports
107. o copy an Operator ID select Copy Record from the drop down list at the top right corner of the search results ETI Reparation h Search Resita Page rari tRows Show A Extrectiy Trageaosty baa ATS TG a rpi Soto Page 1 Te Set Page Lengi 10 En hied gt fi F User Wama Gusranieeing Firm Eechange amp User Type Trade fim Effective Daie Expiration Date ATS NTP Site STOP Site Heme FOOOTSTA TEST oE a TFN CHE CLEARING MEMBER FIRM TRADER a ommi Winga paises F E E User fame Guaranteeing farm F ixchange amp User Type Irete Firm F Effective fate Eiraan Date ATS NTIP Site TP She himo ta Select the line item to copy within the search results list The copy user section will display User ID Copied From New Operator ID FOOOTSTA New Search The User ID Copied From is populated with the selected line item ID e Enter the New Operator ID and then click Copy User The confirmation message will display click Close Operator ld Copy Successful The New Operator ld was Created Successtulhy The new Operator ID will be displayed in the search results list with all other field values matching the Operator ID that was copied Registration search Results Page Tofi 2Rows Show Al Estacthy Traaea Ensty Exteact ATS Exact Cony Recora 4 Prev Go to Page 1 EJ Set Page Length 10 Ea Hent i gt 1 DF Use
108. odes Search Mode Firm Details the search results will return the following information e Firm Details Firm Name Membership Status details vary by Exchange Effective and Expiration Dates e Account Owners Firm Name Main Account ID Effective and Expiration Dates Firm Details Extract 1BB1 Clearing FCM 10 01 2007 12 31 9999 Account Owners Page 1of5 10 Rows Show All Extract A Prev Go To Page 1 Fage Length 2 Next El 122345 oe mete co 01 07 2008 42 31 9999 De 05 10 2007 12 31 9999 Exchange CBOT EFS Manual May 2012 63 PANN lt 2 CME Group Exchange Fee System Firm Details Extract ee R CME IMM IOM B GEM E _ Effective Date Date ALLE Expiration Date Date OOO O SSma e E E E oean 2an Firm Hame CME IRA RA IOM GEM renin ate Date SSS sa Date Page 1 of 180 536 Rows Show All Extract GoTo Paget Page tonas 123456878910 Main Account 1D _Effective Date Expiration Date n OO O ee oeaan OOOO anoano Main Account ID fossa Date PSS Date Extract Firm Name _ Member iber Typer Expiration Dater lt ee DME CLEARING MEMBER 06 01 2007 12 31 9999 Firm Name TS Typer Eneee h ctiwe Date SSS ration Date Firm Hame Main Account ID Effectiwe Date Expiration Date No records found matching the search criteria Firm Bane Main Account ID Effective Date Expiration Date Exchange DME Firm Details Firm Name NYMEX COMEX COMEX Option Effective Dat Date E 02 27
109. on field if left blank electronic and pit will be included Select ELC to update only the TAG 50 Operator ID or select PIT to update only the Broker Symbol Click Submit a ak aa on Search Results Page 10f23 45 Rows Show All Extract Change Trader id Go To Page 1 EJ Page Length2 SET 12345678910 57 012 5 416 14 4 Prew Next E 10 894 1 970 68 New Search Edit Trader ID Summary Results 6 Select the Change Trader ID option from the drop down menu 7 Enter the New Trader ID Search Results Page 10f23 46 Rows Show All Extract Change Trader id Go To Page 1 EEJ Page Length 2 SET 12345678910 28 148 133 980 12 726 10 4 Prev Next El of 012 5 416 14 Fr Change Trader Id 0 New Trader bd Continue New Search EFS Manual May 2012 17 3 CME Group Exchange Fee System New Change Trader ID Entry Screen 8 Click the Continue button The Change Trader ID screen will be returned with a confirmation message The adjustment status has changed to Y The old trader ID is still displayed at this time but will be updated in that night s processing cycle The records have been updated Transaction Summary 28 148 133 980 12 728 10 Back to Summary Auto Response Identifying Trader ID Updated 3 4 3 View Non Trades Mode The View Non Trades mode allows the User to view allocated and unallocated Exercises Assignments and Deliveries
110. on option exercise or assignment Assignment or Exercise EFS Manual May 2012 36 3 CME Group Exchange Fee System 5 Account Maintenance The Account Maintenance screen allows the User to add edit move and view accounts within the fee system 5 1 Accessing Account Maintenance To access Account Maintenance select the option from the navigation menu g CM E G Welcome e roup Exchange Fee System Home Wed September 7 2011 12 50 PM CDT Page Preferences Contact Us Report Packet Help Log Out CBOT CCE H DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation Account Maintenance w f Membership Information 5 Reports 3 Globex Registration Adjustment v When Account Maintenance is selected the sub menu options appear Dropdown Menu e View Select this option to create a new account or to view or update an existing account e Search Select this option to search accounts across exchanges e Mass Expire Select this option to expire multiple accounts at once at the Main Account level 5 2 Account Maintenance View The Account Maintenance View screen allows the User to add accounts and associate the owners and controllers individuals trading with discretion to those accounts Without registered account information the EFS application will default to the non member rate Therefore it is important to ensure that accounts are registered timely and accurately A
111. ons of the Report Types General Reports Reconcile Reports Across Exchange Brokerage Exchange Specific Fee Summary Non Member Activity Non Trade Activity Unregistered Activity Other EFS Manual May 2012 71 This report type will include activity for qualified participants where discounts are applied based upon volume accumulation or fees charged across the product exchanges e g CME CBOT NYMEX COMEX or where the discount program is identical across the exchanges NOTE This report will only return display data for the specific product exchange that the end user has selected This report type contains fees that are charged directly to the broker This is the only area where this activity can be isolated in the fee system Currently this fee is only applicable to CME and CBOT product exchanges This report type isolates activity to address fee discount programs unique to an individual product exchange e g CME Interest Rate Volume Discount CBOT U S Treasury Volume Discount NYMEX Day Credits etc Fee Summary reports provide various high level overviews of fees applied by account commodity and or transaction type specifically to facilitate reconciliation to the Clearing Member Firm s billing statement This report type isolates trade activity e g PIT Electronic ClearPort where the non member rate was applied This report is tailored to review and manage non trade activity e g cash settleme
112. or ID to be registered will be trading CME products select CME e CBOT If the Operator ID to be registered will be trading CBOT products select CBOT e NYMEX If the Operator ID to be registered will be trading NYMEX COMEX products select NYMEX lf the Operator ID to be registered will be trading multiple or all Exchanges select the appropriate Exchange check boxes EFS Manual May 2012 80 3 CME Group Exchange Fee System 8 3 Registration Form Step 2 Incentive Information Complete the incentive information that applies to the Operator ID being registered Step 1 General Information Operator ID Guaranteeing Firm Exchange RIKWA CME TEST FIRII CME CET NYX Step 2 Incentive Information Same For All Exchanges User Type Effective Date Expiration Date ATS Type ATS Group Name Incentive Ind E CME CLEARNGMEMBERFRMTRADER ogasami 1231 3909 individual Team None CBT CLERK FOR MEMBER mem 1231 3009 Inhidual Team NYX MEMBER e poset 1231 3099 Individual Team Notice All Team ATS Registrations must meet the requirements of CME Group Policy and are subject to the approval of CME Group Market Regulation Registration Form Step 2 Incentive Information To complete Step 2 of the registration form perform the following steps 1 Select the Same For All Exchanges checkbox when the Operator ID has multiple exchanges and the User Type Effective Date Expiration Date ATS info
113. ough 3 The User can continue to allocate to additional accounts as long as the Current Quantity available to be allocated is greater than zero 5 To complete the allocations the User must select the Reallocate button If this is not done the allocations will not be processed Please verify the data in the list is correct before reallocating 6 Upon selecting the Reallocate button the User will be prompted to confirm the submission Select OK to confirm or select Cancel to exit 7 Ifthe User selected OK a confirmation message will display To Remove an Allocated Trading Account prior to completing the Allocation 1 Highlight the line s to be removed within the allocation box 2 Select the Remove button The User will be prompted to confirm the request Select OK to confirm or select Cancel to exit 3 If OK was selected a confirmation message will display and the unallocated transaction count will be updated Microsoft Internet Explorer x P j re vou sure you want to remove selected itemisi cas Alert Message for Removing Allocated Transaction NOTE Once the allocations have been submitted they CANNOT be changed the same day The allocations will be processed by the system overnight and the transactions will not be available for edit until the next day EFS Manual May 2012 30 3 CME Group Exchange Fee System 4 4 Editing Previously Allocated Trades The Prev Alloc checkbox on the search form will allow
114. pective Member from the drop down list The User may scroll through the list or enter a string of characters of the member s last name in the text field to find the appropriate name in the list EFS Manual May 2012 84 3 CME Group Exchange Fee System Required Field Member SSN i Registration Form Step 3 Name Section Member e Inthe Name Section fill out the following when user type is Clerk for Member e Select the respective Clerk for Member from the drop down list If the clerk is not found contact CME Group s membership department to ensure the appropriate paperwork has been submitted Required Field Clerk for Member Registration Form Step 3 Name Section Clerk for Member e Inthe Name Section fill out the following when Incentive Indicator is NTIP e Select the respective NTIP Participant from the drop down list If the NTIP participant is not found contact CME Group s membership department to ensure the appropriate paperwork has been submitted Required Field NTIP Participant Of e Inthe Name Section fill out the following when user type is Power of Attorney Exchange NYX e Select the respective Power of Attorney from the drop down list If the Power of Attorney is not found contact CME Group s membership department to ensure the appropriate paperwork has been submitted Required Field Power of Attorney Members ls Power Of Attorney For No Members Assi
115. populate in the box to the right of the product list e To Select multiple products o Repeat the steps above for each product OR hold down the CTRL key on the keyboard o Click each product to highlight it o Click the Add hyperlink to add all of the products at once e To Delete a product from the search list o Click and highlight that product code in the list box o Click the Delete hyperlink e To Delete multiple products from the search list o Click and highlight more than one product code in the list box o Click the Delete hyperlink F O Choose to search for either a Future or an Option to narrow the search Currency Choose to select a specific currency venue This field allows the User to search by a specific Venue NYMEX DME GREEN Main Account This field specifies the grouping account EFS Manual May 2012 3 CME Group Exchange Fee System Trading Account This field identifies a specific trading account or sub account of the Main Account indicated in the previous field or can be used alone to search for a specific trading account where the main account is unknown Broker This field allows the User to search for a trade transacted by a specific broker Operator ID This field allows the User to search for a trade by the Operator ID on the trade Order Number This field allows the User to search by the order number Transaction Type This field specifies the type of transaction executed Fee Type This field allows the User
116. r Hame Guaranteeing Hirm Erchanmpe amp User Type Irede Firm amp Effectve Daie Gepiratheon fete F ATS TEP Sete TIP Site Him Ln ARRTSTA TEST JOE i CHE CLEARING MEMBER FIRM TRADER Lash SSS H m F User Hame Guaranteeing him Exchanger User Type Trace Firm Effective Date Espiro Date ATS EP Site TIP Sie Rone 4 EFS Manual May 2012 95 CME Group Exchange Fee System 8 8 Extracting Operator IDs To extract the Operator ID search results click the Extract Extract by Trading Entity or ATS Extract link located at the top right corner of the search results section Ree aC earch Aasulis es Prey i User Hame Guaranteeing Firm Enchange Effective Daie Expiration fate ATS P NTP Site HTIP Site Hia e 4 POOOTSTA TEST JOE l CLEARING MEMBER FIRM TRADER Dar ia 2012 13 31 9999 i amp User Manne F GuaTanieeing Firm F Exchange F User Type Trade Firmi Eftectve Dait Expiration Daie P ATS F WTIP Site HTIP Site Han Extract Hyperlink The Extract hyperlink will provide an extract of the data results sorted by ID The Extract by Trading Entity hyperlink will provide an extract of the data results sorted by Trading Firm The ATS Extract will provide an extract of all ATS Team registration details within your search results After selecting one of the extract hyperlinks a windows dialog box will appear requesting the User to Open or Save the tab delimited fi
117. r selects the Allocation menu option from the navigation bar the allocation search screen will be displayed Refer to Appendix Ill Allocation Field Descriptions Trade Month Prev Alloc February 010 E TEST Firm 07 19 2007 12 31 9999 Filter By Product Transaction Type Mode Code ASSIGNMENT i MainTrading Account Name oH EMIM LEAM HOG AGN Trading Account Get Quantity Allocation Search Screen To execute a search for unallocated transactions the User must select the following fields e Firm e Trade Month e Product Filter by Code or Name e Transaction Type e Mode to allocate by Main Trading Account or Trading Account After completing these fields select the Get Quantity button The Reallocation screen will display Depending on the Mode selected the User will be able to select the Main Account and or Trading Account to which transactions should be allocated 4 2 1 Additional Allocation Notes For NYMEX COMEX GREEN CCE and DME Exchanges Only e The Show Optional Types selection allows the user to allocate the optional transaction types those that do not have a fee impact associated with the allocation Transaction Type Show Optional Types For CBOT Only e Future from Assignment or Exercise transactions will systematically be allocated to the same main and or trading account when the corresponding Assignment or Exercise is allocated e A Future from Assignment or Exercise has t
118. ransaction Viewer A Allocation C Account Maintenance f Membership information E Reports 7 5 Gobet Regestratiod 2 Adjustment Status Fee Type Quadrant Original Process Month Anount Description Berate of position adjustment fees Rebate of position adjustment tees al ieu Ei Browse Upload Update 6 Click Browse The Choose file window will display 7 Locate and click the saved file 8 Click Open 9 Click Upload The filename will appear in the attachment list Repeat these steps for any additional attachment s Attachment s Browse Upload Manual Fee Adjmt Worksheet xls wie wy Delete Update After completing the Manual Fee Adjustment screen click Update to save the adjustment request with the attachment s A confirmation message will display that the Adjustment has been updated EFS Manual May 2012 110 3 CME Group Exchange Fee System Bill Firm 299 CHE TEST FIRM O5 O7 2001 12 31 9999 Status Fee Type Quadrant REQUESTED r CLEARING FEE AGS Original Process Month Amount 03 2010 035 2010 REBATE 1500 00 Description Attachment s Rebate of position adjustment fees r Browse Upload Rebate of postion adjustment tees Manual Fee Adjmt Worksheet xls ere Delete El Adjustment has been successfully updated If you have any questions telephone CME Group EFS Hotline at 312 648 5470 or e mail efsadmin cmegroup com
119. rmation and Incentive program status are the same for each Exchange Otherwise leave this checkbox blank 2 Select the User Type from the drop down list for each Exchange one selection if the Same For All Exchanges checkbox was selected in the previous step 3 Enter the Effective Date to indicate when this Operator ID should be effective for the specific User Type and Exchange The effective date defaults to the current business day to select a different date type in the date MM DD YYYY or click the calendar next to the Effective Date text field 4 The Expiration Date defaults to 12 31 9999 which represents no expiration date To select a different date type in the date MM DD YYYY or click the calendar next to the Expiration Date text field 5 Select Yes from the ATS Automated Trading System dropdown if the Operator ID represents an ATS operation otherwise select No If the User is unsure what qualifies a user to be an ATS select the ATS FAQ hyperlink o Individual If the Operator ID represents only one individual person operating the ATS select Individual o Team If the Operator ID represents an ATS being operated by a team of individuals select Team and enter the team s name in the ATS Group Name field Note The Clerk for Member user type cannot be associated with an ATS Team 6 Select the Incentive Indicator if the Operator ID is associated with a listed CME Group Fee Incentive Program otherwise leave as the d
120. rom Assignment transactions do not need to be allocated separately These transaction types will systematically be allocated to the same main and or trading account entered for the associated Exercise or Assignment transaction NYMEX GREEN CCE and DME feature only Show Optional Types by selecting the check box The fees for these optional transaction types are not based on membership status therefore they are not required to be allocated however the User may do so if desired 4 1 Accessing Allocation To access Allocation select the option from the navigation menu 3 Welcome e CME Group Exchange Fee System Home Wed September 7 2011 12 50 PM CDT Page Preferences Contact Us Report Packet Help Log Out CBOT CME DME GREEN NYMEX COMEX A Transaction Vene fR Alocaton Been Maintenance w s Membership Information Z Reports v Globex Registration v 0 Adjustment w __ The following transaction types are available for allocation by Exchange CBOT ee ee Assignment X N Swap from Assignment Swap from Exercise X Full allocation functionality N A Not valid for allocation for that product exchange Optional Available for allocation but will have no fee impact if applied Feature was made available per request for bookkeeping purposes EFS Manual May 2012 24 3 CME Group Exchange Fee System 4 2 Searching for Transactions to Allocate After the Use
121. roup Market Regulation 3 After clicking Expire a confirmation will display indicating the information has been saved Your information has been saved Step 1 General Information Operator ID Guaranteeing Firm Exchange FOOOTSTA CME TEST FIRM CME CBT Step 2 Incentive Information Same For AllExchanges User Type Effective Date Expiration Date ATS FAG ATS Type ATS Group Hame Incentive Ind Expire No CME CLEARING MEMBER FIRM TRADER 03 20 2009 42 31 2009 Fano CET CLEARING MEMBER FIRM TRADER 03 20 2009 42 31 9999 Fano Notice All Team ATS Registrations must meet the requirements of CME Group Policy and are subject to the approval of CME Group Market Regulation idl To update all of the associated Exchanges Expiration Dates click the Expire All button after entering the new expiration date in all rows Your information has been saved Step 1 General Information Operator ID Guaranteeing Firm Exchange FOOOTSTA CME TEST FIRM CME CBT Step 2 Incentive Information Same For All Exchanges User Type Effective Date Expiration Date ATS FAG ATS Type ATS Group Hame Incentive Ind Expire Mo CME CLEARING MEMBER FIRM TRADER 03 20 2009 06 30 2009 Mone CBT CLEARING MEMBER FIRM TRADER 03 20 2009 06 30 2009 Motice All Team ATS Registrations must meet the requirements af C are subject to the approval of CME Group Market Regulation EFS Manual May 2012 94 3 CME Group Exchange Fee System 8 7 Copying Operator IDs T
122. ry Account Summary FriApr 27 13 20 12 CDT 2012 Ready E13333 CBOT Fee Summary Condensed Trade Detail Extract FriApr 27 13 20 24 CDT 2012 Ready E13333 CBOT Fee Summary Fee Type Summary Fri Apr 27 13 20 35 CDT 2012 T Report satus Reuesteaty exchange remen ReportType gt Reporttame Time Requested Report Viewer Report Action Items After selecting the line item for the appropriate report a new window will open to display the report EFS Manual May 2012 74 3 CME Group Exchange Fee System Once Adobe Acrobat has completed loading the PDF format the report will be displayed If the report is not being displayed make sure that the most recent version of Adobe Acrobat is available Seb amp eC o eoel fse gf res 5 CME Trade Summary Firm Equals 999 Process Date Between O1 01 20170 and 01 21 2010 EE _ Firnn ooo Fes Trade Price App Fee Incentive Cmeod Fee Type Trader ID Tran Type Loc Quad Code Rate Inid Ind Oty Total Main Account Qwner sk Account Title Trading Account AD F POSITION ACUUSTRAENT BOS ADJ PIT CURR 0 100 Cc Mone 64 7 00 BP F POSITION ACIUISTRIENT POS AD PIT CURR 0 100 C Mone 6 1 00 C1 F POSITION ACWUSTRIENT POS ADJ PIT CURR 0 100 Cc Mone 35 3 50 C1 O POSITION ADIUSTMENT POS ADI PIT CURR 0 100 Gc Mone 2 1 00 EC F POSITION ACUUSTRIENT Bos AD PIT CURR 0 100 C Mone 5 1 00 ED F POSITION ACIUSTMIENT Bos ADJ PIT INT 0 100 c Nona 1 1 00 ES F POSTION ADJUSTMENT POS ADI PIT INDA 0
123. s CBOT CCE CME DME GREEN and or NYMEX COMEX based on the user s security access e Homepage Information The CME Group fee team utilizes this screen to communicate important messages to the Users Information on this page is subject to change but will display such items as the Fee Schedule Banking Schedule Contact Information System Availability Commodity Code Listing Glossary of Terms etc e Help click on the Help link on the top right corner of the page on any EFS screen to be directed to the EFS User Manual If further help is needed please call the EFS Hotline at 312 648 5470 or email EFSAdmin cmegroup com The Exchange Fee System offers 24x7 accessibility except on weekdays from 7 00 to 10 00 p m CST to perform scheduled maintenance If the maintenance window extends beyond this time a message will be listed on the home page Navigation within EFS is driven by the top menu bar The user first selects the appropriate Exchange and then within that Exchange selects the appropriate function to be performed EFS Manual May 2012 3 CME Group Exchange Fee System The EFS homepage also includes a link to the CME Group website Select the CME Group logo in the top left corner to be redirected to m the CME Group website www cmegroup com amp CM E G rou DO Select the Exchange Fee System logo at the top of any page to be redirected to the homepage of that Exchange Exchange Fee System 3 Transaction Vie
124. saction Summary Search Results Page 1of1 1 Row Show All Extract view Details gt Go To F F L h SET a Prev o To Page co age Lengt Ean Next Bi 20011 20011 3271 294 39 Continue Mew Search View Details of a Trade within Edit Trades Mode of the Transaction Summary 3 After selecting the appropriate item select the Continue button NOTE Only one line item can be selected at a time If more than one check box has been selected the User will receive an error message Transaction Summary search Results Page 1 of 538 3766 Rows Show Al Extract View Details a Prev Goto Page 1 teal Set Page Length 7 SET 12345678 Microsoft Internet Explorer x si a Main Acct pa Vol F Fees Adj aN Cannot view Details For More Than 1 Trade Please Uncheck 2 Checkboxes Das ms E a L o i e a Ooo m wS a ma w a S e E E E E a ASRE1L7I2 ASRE1L7I2 3 05 Continue f Hew Search View Details Error Only One Item May be Viewed at a Time EFS Manual May 2012 13 3 CME Group Exchange Fee System At the Trade Details level the User may again select from the drop down list Show Fee Details Change Account Recalculate Transaction Summary 20011 20011 32r 294 39 Back to Summary Transaction Detail Page 1 of 97 963 Rows Show All Extract Show Fee Details show Fee Details wo To Page Ea Fage Length Next Fl Change Account 12345678910 Recalculate Check A
125. sage NOTE In order to delete a controller who is also an account owner that member s account owner record must be deleted 2 Update Account Controller s Effective and or Expiration Dates a Identify the appropriate row containing the controller to be updated e If the Effective Date or Expiration Date needs to be updated the User may manually type over the date MM DD YYYY or select the calendar icon to select the effective date o Effective Date must be equal to or greater than the Main Account s effective date o Expiration Date must be equal to or less than the Main Account s expiration date b Select the Update hyperlink in the Actions column for that row to apply the updates to the Controllers Effective and or Expiration Dates c A Message Box will display asking the User to confirm the updates Select OK to continue or select Cancel Message from webpage 2 j Are you sure vou want to modify this controller e If OK was selected then a confirmation message will display above the Account Details section confirming the account controller has been updated Account Controller ee has been updated EFS Manual May 2012 54 lt 2 CME Group Exchange Fee System Updating Account Owner Confirmation Message NOTE If you are updating an individual member account controller who is also listed as an account owner the system will automatically update the owner record for that member E Copy Own
126. search feature for allocations based on the Trade Month Product Transaction Type and Mode prior to selecting the Get Quantity feature Trade Month Prev Alloc March z010 D 2599 CHE TEST FIRM O5 O07 2001 12 31 9999 i Fitter By Product Transaction Type Mode Code ASSTGMMENT Main Trading Account c Harme HR HOUSTON MONTHLY HDD c Trading Account Set Quantity After the search has been executed the Import feature will now be made available If the provided CME Group spreadsheet located on the homepage is complete the end user may select the Import hyperlink Reallocation Current Transactions Current Quantity Main Account Trading Account Quantity FIRMTEST Select account Account Main Account Trading Account Quanti Total Reallocated Quantity OoOo Unallocated Quantity 442 FRFealocate Once the Import hyperlink has been selected the User will locate the Excel spreadsheet that has been saved created using the Browse button Once the file has been located select the file utilizing the standard window prompts The User will be able to view the filename in the Allocation Import Window s textbox to denote whether the file selected is accurate If the file selected is accurate select the Upload button If the file selected is not accurate re execute the Browse button to find the file EFS Manual May 2012 32 3 CME Group Exchange Fee System
127. ss day the system will automatically submit those transactions for recalculation during the open adjustment period Therefore if you are unable to view trades in the edit mode they may have already been submitted Select View Trades mode in your search criteria and check for one of the following adjustment indicators in your search results A Allocation N No Adjustment S Record is split i e left over quantity or unallocated quantity Y Resubmit Change Account Change Trader ID 2 There is a Rebate Period for these changes Trades may only be EDITED during the current month and two months prior The User may only view trades three months prior 3 The User will need to manually submit transactions for recalculation in the Transaction Viewer for which the User had added or modified Operator IDs in the Globex Registration Screen A Transaction Summary After executing a search in the Edit Trades Mode the Transaction Summary screen will display The Edit Trades Mode defaults to View Details displayed in the top right corner of the Transaction Summary screen Transaction Summary Search Results Page 1of1 1 Row Show All Extract view Details Go To Page Fe Page Length 1 Using the Edit Trades Mode within the Transaction Summary Screen of Transaction Viewer B Edit Functions The User may choose the action to be performed whether it is to view the transactions change the trading account number or submit trans
128. t Help Log Out GREEN VME X COMEX P Reports Globex Registration v Y Adjustment w ta e Search Select this option to edit or view the status of existing fee adjustment requests 9 2 Creating an Adjustment To create an adjustment select Create from the Adjustment sub menu The Adjustment screen will display Bill Firm 07 19 2007 12 31 9999 i Fee Type REQUESTED CLEARING FEE Original Process Month Amount foxcars N boo Se1ece Description EFS Manual May 2012 97 Quadrant 3 CME Group Exchange Fee System Complete the Adjustment request form 1 Select the Bill Firm 2 Status will default to Requested 3 Select the Fee Type 4 Select the product Quadrant Note This displays as Product Venue for NYMEX COMEX this field does not apply for DME 5 Select the Original Process Month MM YYYY 6 Enter an Amount after selecting whether the adjustment represents a Rebate or Assessment 7 Select a reason for the adjustment from the pre populated drop down list or type the reason in the Description text box 8 To add an attachment click Save Attach NOTE Adjustments can only be submitted for the open adjustment period refer to the EFS Adjustment Deadlines Banking Schedule located on the homepage 9 3 Adding an Attachment To add an attachment click the Save Attach button A confirmation message will appear along with the Attachment s section Adjustment
129. t trade will be displayed EFS Manual May 2012 10 MA lt 2 CME Group Exchange Fee System gt Transaction Summary 20121 20121 16104 33340 4934 96 Back to Summary Transaction Detail 20121 20121 2010 01 07 2010 01 07 GBx TRD Back to Details Fee Detail CLEARINGS FEE 0 07 o 07 o 07 GLOBES FEE O25 0 06 0 0g Trade Details and Fee Details EFS Manual May 2012 11 3 CME Group Exchange Fee System Additional Navigation Features To go back to the Transaction Summary screen select Back to Summary button To go back to the Transaction Details screen select Back to Details button To start a brand new search select the New Search button Please note that selecting this button will clear all search criteria 1 e 3 4 1 Edit Trades Mode The Edit Trades Mode allows the User to view adjust and submit transactions for recalculation This mode also allows the User to change the trading account when a transaction has cleared with an incorrect account number Recalculation of trades and changing of the trading account can occur at the Transaction Summary and Transaction Details levels Fee Details can also be viewed from this area Note that the User must return to the Transaction Viewer and choose the Edit Trades Mode from the mode drop down menu in order to execute these edit processes NOTE 1 If you have executed a change to an account within the Account Maintenance screen during the current busine
130. tar IN Guaranteoing Firm Fxchange CHE TEST FIRM g C eset Registration Form Step 1 General Information To complete Step 1 of the registration form perform the following steps 1 Type the Operator ID in the Operator ID text field maximum of 18 characters 2 Highlight the Guaranteeing Firm in the firm list box 3 Choose the Exchange s for this Operator ID multiple Exchanges can be selected CME CBOT and or NYMEX Note The NYMEX Exchange represents both NYMEX and COMEX 4 Click Next to continue Step 1 General Information will display as read only text and Step 2 of the registration form will display below Below are the associated definitions of the Step 1 General Information Fields Operator ID The operator identifier also known as Trader ID or TAG 50 is required on all orders entered through CME Group s iLink connections The ID registered must be unique for each individual operator at the clearing firm level across Exchanges and may be a maximum length of 18 characters Guaranteeing Firm This is the firm that guarantees the trades for a particular ID This is equivalent to the Class A Clearing Firm under which the Trader s trades clear Exchange The Exchange indicator identifies which Exchange s products the trader will be trading and also determines the required fields to complete within the remainder of the registration form Following are the indicators that the User may chose e CME If the Operat
131. ted in ascending or descending order by clicking the sorting arrow to the right of the column header Data can only be sorted by one column at a time Report Status Displays the status of the reports submitted e Requested Report has been submitted for processing e Running Report is currently being processed by the Report Server e Ready Report has completed processing and is ready to be viewed e No Data There was no data matching the submitted criteria e Reviewed Report has been viewed printed and or extracted Requested By Displays the User ID of the individual who requested the report Report Pos If applicable This will display the order in which the report was submitted in the queue if there are several reports pending Exchange Displays the Exchange for which the report was submitted Firm s Displays the Firm s for which the report was submitted Report Type Displays the Report Type for the report submitted Report Name Displays the Report name Time Requested Displays the date and time the report is requested 7 3 1 View Report To view a report in the Report Viewer 1 Select View Report from the drop down list in the top right corner of the Report Viewer 2 Select the line item corresponding to the report to be viewed Note a report will not be viewable unless the Report Status is Ready or Reviewed Today s Reports S All Users Reports MEI Aa Ank bd Ready E13333 CBOT Fee Summa
132. the User to correct update a previously allocated transaction SIN Firm Trade Month Prev Allot March 2010 DO 399 CHE TEST FIRM oO5 0O7 2001 12 31 9595959 Filter By Product Transaction Type Mode Code assTommEnt C Main Trading Account Mame HR HOUSTON MONTHLY HDD i Trading Account Get Quantity Reallocation Screen with Prev Alloc Selection Search Criterion for Previously Allocated Transactions 1 Select the Firm 2 Select the Prev Alloc checkbox 3 After selecting the Prev Alloc checkbox the Trade Month and Process Month will be displayed defaulting to the current month The trade month denotes when the original trade was cleared while process month denotes when the original allocation was processed For instance if a January 2010 Exercise was allocated in February 2010 the User must select January 2010 as the trade month and February 2010 as the process month 4 Continue to select the Product Transaction Type and Mode By Main Trading Account or Trading Account 5 Enter the Account Number trading account to which the transactions were previously allocated Trade Month Process Month Prev Alloc august 2011 august 2011 Vv 989 CMETESTFRM 05 07 2001 12 31 9999 F Filter By Product Transaction Type Mode Code assramsent l MainTrading Account i 1GE EUR USD 1MO REALIZED VOL FUT C Trading Account Account Number 6 Select the Get Quantity button to
133. the report drop down list will immediately update to reflect only the reports within that Report Type EFS Manual May 2012 68 MAW lt 3 CME Group Exchange Fee System gt Report Type General Reports Reconcile Reports Across Exchange L Hon Member Activity 0 Brokerage C Hon Trade Activity Oo Exchange Specific C Unregistered Activity l Fee summary L other Trade Sunmar M Process Date Month to Date From 01 01 2010 Fe To 01 20 2010 E E Trade Date Menen to Date From 04 04 2010 Fa To 01 20 2010 a Fee Type Group Hon Trade Activity HTA All Fee Include Only HTA Data TEST FIRM 11 29 Z005 Lz 31 9999 Exchange Fee Exclude HTA Data T Clearing Fee Advanced Submit Report Request CBOT Report Type General Reports Fee Summary Month to Date j Fom 6 04 9044 co Toe itia P g Proces ate From 08 01 2011 A to e al Product Venue ELA ARGUS BIODIESEL RME ELC BRENT CED PLATTS VS EW SINGAPORE HOGAI 92 DNLEADED JHA Add El Delete id Adi EJ Delete 4 ES Es EE Ea Report Request CCE EFS Manual May 2012 69 CME Group Exchange Fee System Report Type General Reports Reconcile Reports Across Exchange L Hon Member Activity O Brokerage C Hon Trade Activity E Exchange Specific E Unregistered Activity Fee Summary other Trade Summary Zz M Process Date Month to Date From 01 01 2010 Fe To 0 7 2010 E Tr
134. third level where basic fee information can be identified for each transaction A Transaction Summary After executing a search in the View Trades mode the Transaction Summary screen will be displayed Show Search Criteria Search Criteria Firm Equals 299 Process Date Month ta Date 01 01 2010 and 01 12 2010 Summarized By Equals Main ScctTrd Acct Mode Equals View Trades Transaction Summary Search Results Page 1of2 18 Rows Show All Extract view Details H Prev Go To Page leo Page Length ile 12 20004 20004 999 agri 5970 595 50 M 20011 20011 999 963 3271 294 39 M 20040 20040 399 355 a434 326 23 Transaction Summary Defined e Show Search Criteria hyperlink will allow the user to view the search form and see the field parameters utilized to obtain the results Go to Page allows the user to enter a page number to navigate through the results Set Page Length allows the user to modify the number of records displayed in a single page on the screen Show All hyperlink allows the user to view all records on one screen Extract hyperlink converts the results into a Tab Delimited format that enables users to import into any machine readable format 1 Viewing or Modifying Search Criteria EFS Manual May 2012 3 CME Group Exchange Fee System a To view the search criteria form and the parameters previously selected click on the Show Search Criteria hyperlink located just below the Transaction Viewer title
135. tity available to be allocated is greater than zero 6 To complete the allocations the User must select the Reallocate bution If this is not done the allocations will not be processed Please verify the data in the list is correct before reallocating EFS Manual May 2012 27 3 CME Group Exchange Fee System Import Extract Main Account Trading Account SUB FIBMTEST Total Reallocated Quantity JET Unallocated Quantity Remove 7 Upon selecting the Reallocate button the User will be prompted to confirm the submission Select OK to confirm or select Cancel to exit Microsoft Internet Explorer x lt Are you sure you want to reallocate cel Alert Message for Submitting Allocations 8 If the User selected OK a confirmation message will display Allocation Import 50 transactions have been reallocated Confirmation Message for Submitting Allocations To Remove an Allocated Account prior to completing the Allocation 1 Highlight the line s to be removed within the allocation box EFS Manual May 2012 28 lt 2 CME Group Exchange Fee System SUB TRADING Total Reallocated Quantity 50 Unallocated Quantity 0 Remove Clear allocate 2 Select the Remove button The User will be prompted to confirm the request Select OK to confirm or select Cancel to exit 3 If OK was selected a confirmation message will display and the unallocated transaction count will b
136. tle First Hame Middle Initial Last Hame Suffix Registration Form Step 3 Name Section lf the user Type is Member select the appropriate Member by scrolling through the list and highlighting the member name The other fields Title First Name Middle Initial Last Name and Suffix in the name section will become disabled after the selecting the member via the drop down list 2 Inthe Additional Information section fill out the following EFS Manual May 2012 88 lt 2 CME Group Exchange Fee System e Date of Birth Required In the Date of Birth text field type in the birth date in the format of MM DD YYYY or click on the calendar to the right of the Date of Birth text field and click on the appropriate date e Last 4 digits SSN Tax ID Optional In the SSN Tax ID text field type in the last 4 digits of the participant s social security number or Tax ID For foreign traders type the last 4 characters of the unique government issued tax code or insurance number e Trading Location Required Select the appropriate country that represents where the trader is located e Email Address Optional Enter the participant s email address e ATS Role Required Select the role of that individual on the ATS team Head Trader Trader Risk Monitor Trading Monitor Technical Programmer Other from the drop down list There must be one Head Trader role e Enter the ATS Effective Date Required
137. to indicate where to save the file Once indicating the location and File name click Save The file is saved in a tab delimited format and may be imported into any machine readable format such as MS Excel or MS Access EFS Manual May 2012 77 lt 2 CME Group Exchange Fee System Save As 3 _ 7 x Save in 2 Desktop J Sr o e Fe My Documents og My Computer My Recent My Network Places Documents Deskto m May Documents Wr My Computer ai Mu Network File name TE RRRA B Places Save as type Text Document Cancel we Report Viewer Save As Message Dialog Box 7 3 5 Other Report Viewing Features Report Display The Report Viewer will default to showing only reports requested during the current day To view reports requested prior to the current day click the Show All Reports hyperlink in the upper right corner of the Report Viewer The Report Viewer will retain two weeks of reports To go back to only viewing the current day s report requests click the Today s Reports hyperlink Today s Reports Show All Reports All Users Reports View Report Other Report Features Report Display All Users Reports To display a report request by another EFS User click All Users Reports Today s Reports Show All Reports All Users Reports M 5 asamae Report Status gt Requested By gt Exchanger Firms e Report Type Report Name Time Requested Refresh
138. to search by the fees charged to the transaction Applied Fee Indicator _ This field identifies the fee level that corresponds to the fee schedule Hours This field identifies the trading session as Electronic Trading Hours ETH or Regular Trading Hours RTH Fee Incentive Indicator This field indicates the fee incentive program associated to the transaction 3 3 2 Transaction Viewer Advanced Search Operator Descriptions Several of the Advanced Transaction Viewer fields offer a drop down list with operators or functions that allow the User to sort or narrow the search criteria within that field The definitions for those operators or functions are Any Allows the User to search for all items and is the default selection Begins With Allows the User to enter the first few numbers and or letters of the desired search item s Contains Allows the User to enter a string of numbers and or letters and search for all items that contain that string Ends With Allows the User to enter the last few number and or letters of the desired search item s Equals Allows the User to enter the exact search item Equals may also be used to enter multiple accounts so that it works as an is in option To Add a Search Item 1 For all selections except Any type the desired search item in the text field below the drop down menu 2 Click the Add hyperlink to add that item to the search list NOTE The Add hyperlink must be selected in order for
139. top of the page and must be completed as noted above and the advanced fields will appear below Refer to Appendix Basic Search screen or Appendix Il Advanced Search Screen for detailed field definitions 3 3 1 Transaction Viewer Advanced Search Field Descriptions Quadrant It is not mandatory to choose a selection from the Quadrant or Product Venue fields The default setting will search all quadrants or product venues It is possible to narrow a search to a single quadrant or product venue however by clicking on the specific quadrant or product venue in the list to highlight it Product Venue NYMEX NOTE Any time a specific quadrant or product venue is chosen the Product list will automatically update to reflect only the products available within that quadrant or product venue To narrow the search to a particular product select the desired products identified in the Product field for the chosen quadrant venue Product It is not mandatory to choose a selection from the Product field The default setting will search all Products To narrow a search by Product select a single product either by scrolling through the list OR type the product code in the text field above the product list The system will automatically locate the first item in the list that matches the entry e To Add a Product from the product list o Highlight the product in the list o Click the Add hyperlink or press the enter key o The product s code will then
140. tract Members Extract Organizations Search Mode Sort By Organization All Name C i AII 6 3 Search Mode by Exchange To assist the User in searching for membership information there are search categories provided as described below There is also a secondary filter available to streamline the search process For example if the User selects Incentive Programs a secondary filter will be available with the various incentive program categories Exchange Membership Exchange Search Mode Secondary Search Filter Firm Details Not applicable Member Details Not applicable Organization Details Not applicable Incentive Programs Asian Incentive Program AIP International Incentive Program IIP Latin American Commercial Incentive Program LACIP Latin American Fund Manager Incentive Program FMIP South American Incentive Program SAIP also known as Latin American Bank Incentive Program LABIP Firm Details Not applicable EFS Manual May 2012 61 3 CME Group Exchange Fee System po Member Details Not applicable oo yO Incentive Programs eFX Bank Incentive Program Asian Incentive Program AIP CTA Hedge Fund Incentive Program International Incentive Program IIP Latin American Commercial Incentive Program LACIP Latin American Fund Manager Incentive Program FMIP South American Incentive Program SAIP also known as Latin American Bank Incentive Program LABIP Corporate Memberships Hedge Fund Group 1
141. ts associated to the selected Account Owner s Main Account Details Page 1of1 2 Rows Show All Extract 1 ngth 10 SET ine Go To Page co gs Length ET Next E ee Account Type Effective Date Expiration Date os ee Max Last Trade Date 12 31 9999 NO RECORD OF ACTNITY AS OF 4 1 2010 12 31 9999 NO RECORD OF ACTNITY AS OF 4 1 2010 Search by Account Owners 5 7 Account Maintenance Mass Expire The Account Maintenance Mass Expire screen allows the User to expire multiple accounts at once at the Main Account level Main Accounts available to be expired will only be those where all of the associated trading accounts have not traded for the past four months or more A Max Last Trade Date will be displayed on the screen for reference which identifies the most recent Trade Date for which any of the underlying registered Trading Accounts had trading activity Firm 11 16 2007 12 31 5995 J Inactive Main Accounts Page 1of3 24 Rows Show All Extract Go To Page 1 Page Length 10 SET E Prev Next E 123 poan INDMIDUAL NO RECORD OF ACT TY AS OF 4 1 2010 99999 FIRMA NO RECORD OF ACTIVITY AS OF 4 1 2010 F GOG INDIVIDUAL NO RECORD OF ACTIVITY AS OF 4 1 2010 1 Within the Mass Expire screen select a Firm 2 If desired filter the results by Main Account The User can search for Main Account s that Begins with Contains Ends with or Equals a string of characters entered into
142. ts will display the firm s and Exchange s rm imine change meee at CME T Search by Main Account eS Main Account Exchange a11 Effective Date Expiration Date 05 05 2007 12 31 9999 CME 11 06 1995 ia Pi Fa ee Si ett 4 12 31 9999 Add gt gt gt Search by Trading Account Extract Account Details e Add All gt Search by Account Owner Clear Remove lt lt options J e Search by Account Owner The User can further search within the selected Exchange s Firm s by clicking the link for one of the following EFS Manual May 2012 57 If the User would like to obtain an extract of all of the registered account details for the selected firms click the Extract Account Details button below the Search Criteria section Search by Main Account default or Search by Trading Account or 3 CME Group 3 CME Group Exchange Fee System 1 Search by Main Account a From the Main Account list select the Main Account s to view To select multiple accounts hold the Ctrl key and click on each account number Search by Main Account Main Account Exchange 411 b After selecting the Main Account s click Submit The Main Accounts details will display Main Account Details Page 1of1 3Rows Show All Extract Go To Page 1 Page Length 10 SET einer o To Page co age Lengt Next E T esate Som Account Type Effective Date Expiration Date a Max Last Trade
143. up Exchange Fee System e The User may utilize the AutoComplete feature that suggests possible main account matches as text is entered within the textbox If the AutoComplete feature suggests more than one Main Account click to highlight the appropriate account 3 Select the Trading Account Optional e The User may enter a Trading Account Number to search for a specific trading account registered under the Main Account previously selected The account number entered must be an exact match or no results will be returned e The user may also choose to search using only this field if the Main Account is not known 4 Select Submit e The associated account details will display after selecting the Submit button NOTE To view expired Main Accounts in the Main Account List drop down and to display expired account information in the corresponding results check the box labeled Show Expired SoTL i kes nome wall epee Pepee npea te Ear Tan o Tig ome marim for m eee reel terres loners oe ee ee sire i funn niys e eer De deaji omi Pigge se eee ieii mi aaiye Atr Gian Arco Grisin eS a _ Ea 4 12 5 mai Account Maintenance Results after Search Performed EFS Manual May 2012 47 lt 2 CME Group Exchange Fee System 5 5 1 Editing Main Accounts Trading Accounts Account Owners Controllers Within the Account Maintenance View screen the User can mod
144. ve the updated ID Any required changes can also be made in Steps 2 and 3 as needed 2 If there are no changes to be made within Step 1 to edit information in Step 2 Incentive Information click Edit Step 2 and proceed through Step 2 and Step 3 making any required changes 3 If there are no changes required within Steps 1 or 2 to edit information in Step 3 Participant s Information click Edit Step 3 and update the participant s information as needed 4 Click Complete Registration when finished Step 1 General Information Edit Step 1 Operator ID Guaranteeing Firm Exchange FOOOTSTA Test Firm 999 CME Step 2 Incentive Information Edit Step 2 Same For All Exchanges User Type Effective Date Expiration Date ATS FAG ATS Type ATS Group Name Incentive Ind NO CME CLEARING MEMBER FIRM TRADER 04 02 2010 12 31 9999 NO None Notice All Team ATS Registrations must mest the requirements of CME Group Policy and are subject to the approval of CME Group Market Regulation CME Step 3 Participant s Information Name Title First Names JOE Middle Initial Last Names TEST Suffix Additional Information Date of Birth 09 17 1978 Last 4 Digits 55N Tax ID Trading Location US Email Address Clearing Member Firm Individual Type WW 2 EMPLOYEE CME Trading Entity CHICAGO MERCANTILE EXCHANGE 996 Editing an Operator ID 8 6 1 Expire Registered Operator IDs To expire an Operator ID select Edit Record from the drop down list at the top
145. ve to be completed a Select the Exchange s by clicking the corresponding checkbox es b Select the Firm s from the drop down list Across Exchange Mode CBOT 11 28 2005 12 31 9999 NYMEX COMEX 09 01 2009 12 31 9999 Creating a New Main Account using Across Exchange Mode Firm Cl Show Expired TEST FIRM 11 16 2007 12 31 9555 S Main Account List Main Account ID Trading Account Create Main Account Select Account Fi Show Expired Single Exchange Mode D Across Exchamge Mode Main Account Details Account Type Effective Date Expiration Date Account Title Omnibus Non Mbr FIRM 702200 A 12 31 9999 EB O d Creating a New Main Account Single Exchange Mode and Associated Fields to be populated 4 Complete the Main Account Details Field Descriptions of the Main Account Details Main Account This is the Main Account roll up account account alias or grouping account to which the User wishes to associate the Trading Account s Account Type Account Type selection determines the list available for the account owner selection e Firm Only Firm Entities may be the account owner e Individual Only Individual Members may be the account owner e Joint Two or more Individual Members may be listed as the account owner e Non Member An account that is jointly owned by a Member and a Non member can be registered under this account type Effective Date The date the main
146. wer The Transaction Viewer screen offers both basic and advanced search options to View Trades Edit Trades Edit Trader ID and View Non Trades Exercises Assignments Deliveries Expired Options Cash Settlements and Futures from Exercise and Assignment 3 1 Accessing Transaction Viewer To access Transaction Viewer select the option from the navigation menu lt 3 CME Group Exchange Fee System Home ae Page Preferences Contact Us Report Packet Help Log Out p CCE CME DME GREEN NYMEX COMEX aerate Q Allocation X Account Maintenance w 82 Membership Information B Reports v Globex Registration v W Adjustment w 3 2 Performing a Basic Search for Trades When the Transaction Viewer link is chosen from the EFS Homepage the Transaction Viewer s basic search page appears M Process Date Mode Monch to Date From 43 04 2009 To 42 24 2009 fi view Trades Trade Date Summarized By Monen to Date From 12 01 2009 HH To 12 24 2009 HH Main acct Trd Acct Location ELC I Show Criteria TEST FIRM 11 28 2005 12 31 9999 PIT Advanced Saved Search Submit Transaction Viewer Main Page Basic Search Page NOTE Refer to section 3 2 7 Saved Search for more information about this function A Basic Search consists of EFS Manual May 2012 3 3 CME Group Exchange Fee System Selecting a check box for Process Date and or Trade Date identifying the date search criteria Sele
147. y 2012 34 3 CME Group Exchange Fee System 4 7 Appendix Ill Allocation Field Descriptions See the below table for more detailed descriptions of each Allocation field Firm This is equivalent to the trading member firm or also known as the executing firm The User has authority to view specific firms and should choose the appropriate firm from their customized list Product From the drop down list select the specific product associated with the transaction to be allocated Allocations must be done one product at a time The Product list can be sorted using Filter By Code or Name Prev Alloc Optional Select this box to edit transactions that were previously allocated The User will need to enter the specific trading account to which the items were previously allocated Trade Month Select the month in which the transaction took place Users are able to allocate transactions for the current month and the prior two months NOTE During the first two business days of the month the Trade Month field will default to the previous month Thereafter the Trade Month field will default to the current month Mode Feature allows the User to perform allocations using the following options Selection Criterion Description Main Trading Account This feature allows the User to allocate by the Main Account only However it is strongly encouraged by the CME Group Auditors to do allocations by Main Account and Trading Account as this infor
148. y button the list will contain only entities whose name contains that string of characters within that firm entity type selected e Select the desired Firm Entity from the Firm Entity List o Scroll through the list utilizing the scroll bar or enter the first few characters of the entity name in the textbox above the Firm Entity List o Click to highlight the appropriate firm entity e Toinclude expired Operator IDs in the search check the Show Expired box under Search Options e Select the Search button to retrieve the registered Operator IDs EFS Manual May 2012 91 CME Group Exchange Fee System 8 5 2 Searching by Operator ID or User Name To search by Operator ID or User Name the User must perform the following steps e Select the Operator ID or User Name radio button and type in the string of characters contained in the Operator ID or User Name that is to be retrieved The string of characters entered does not have to be an exact match it will pull back all items that contain that string e Click the Search button to retrieve the information 8 5 3 Search Results The search results will be displayed in a section below the CME Globex Registration Search form and will contain all field values associated with the ID Firm Entity List C Firm Entity Type GUARANTEEING FIRM Apply g Operator ID C UserName Search Options applies to all searches abc l Show Expired Registration Search Results
149. y one day The system default displays the prior trading day Between Between specifies the beginning and end dates for a date range NOTE With a Between search criteria it is only possible to view a maximum of one calendar month at a time Last Month Last Month defaults the beginning and end dates to the first and last days of the previous month Two Months Ago Two Months Ago defaults the beginning and end dates to two months prior to the current month Three Months Ago Three Months Ago defaults the beginning and end dates to three months prior to the current month NOTE Data viewed Three Months Ago is outside of the open adjustment period and therefore cannot be edited When using the Between and Equals selections specific dates must be entered August 2011 gt either by clicking in the date fields and entering the Mon Tue Wed Thu Fri date in the MM DD YYYY format or by choosing a Om 1 2i 3 if 4 isle date using the calendar to the right of the date field 9 10 44 42 4 Click on the calendar icon for the calendar window 5 16 17 18 19 2 2 23 24 EFS Manual May 2012 23 2 30 31 6 7T 3 CME Group Exchange Fee System EFS Manual May 2012 3 CME Group Exchange Fee System 3 2 2 Mode Selection Select the Mode using the drop down menu e View Trades allows the User to view all transactions as read only e Edit Trades allows the User to view and submit trades for rec

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