FTR SCHEDULE A Rule Violation Whether Composition Amount which may be Offered by the Exchange, where the Exchange has Determined the Member, Mandatory composition may Approved Trader and/or Registered Representative to be Liable minimum Rule Brief Description be offered Members Approved Traders Registered Representatives penalty imposable Chapter/Number of Rule 1st 2nd 3rd 1st 2nd 3rd 1st 2nd 3rd by the DC Violation Violation Violation Violation Violation Violation Violation Violation Violation 2.1 Access to QUEST Member to provide information to 2.1.2(a) each Customer Compoundable $500 $1,000 $2,000 N.A N.A N.A N.A N.A N.A N.A. for which it has authorised Direct Market Access Member to assist the Exchange in investigations into potential Not 2.1.2(b) Rule violations in Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 Compoundable relation to Customers for which it has authorised Direct Market Access Member to have measures covering $2,000 $4,000 $7,000 – – – 2.1.2(1)(a) minimum Compoundable N.A N.A N.A N.A N.A N.A N.A. $4,000 $7,000 $10,000 standards for Direct Market Access Member to have measures covering $2,000 $4,000 $7,000 – – – 2.1.2(1)(b) procedures on Compoundable N.A N.A N.A N.A N.A N.A N.A. $4,000 $7,000 $10,000 Direct Market Access for relevant persons Member to have measures $2,000 $4,000 $7,000 – – – 2.1.2(1)(c) providing Compoundable N.A N.A N.A N.A N.A N.A N.A. $4,000 $7,000 $10,000 information on access and
FTR SCHEDULE A Rule Violation Whether composition may be offered Composition Amount which may be Offered by the Exchange, where the Exchange has Determined the Member, Approved Trader and/or Registered Representative to be Liable Mandatory minimum penalty imposable by the DC Rule Chapter/Number Brief Description of Rule Members Approved Traders Registered Representatives 1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation 1st Violation 2nd Violation 3rd Violation 2.1 Access to QUEST 2.1.2(a) Member to provide information to each Customer for which it has authorised Direct Market Access Compoundable $500 $1,000 $2,000 N.A N.A N.A N.A N.A N.A N.A. 2.1.2(b) Member to assist the Exchange in investigations into potential Rule violations in relation to Customers for which it has authorised Direct Market Access Not Compoundable Not Compoundable N.A N.A N.A N.A N.A N.A $10,000 2.1.2(1)(a) Member to have measures covering minimum standards for Direct Market Access Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A N.A N.A N.A N.A N.A N.A. 2.1.2(1)(b) Member to have measures covering procedures on Direct Market Access for relevant persons Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A N.A N.A N.A N.A N.A N.A. 2.1.2(1)(c) Member to have measures providing information on access and Compoundable $2,000 – $4,000 $4,000 – $7,000 $7,000 – $10,000 N.A N.A N.A N.A N.A N.A N.A.