(A pdf version of Ch. 9 is at the bottom of the page)

GENERAL

900.                  CATEGORIES OF CLEARING MEMBERS

901.                  GENERAL REQUIREMENTS AND OBLIGATIONS

902.                  CLEARING MEMBERSHIP ASSIGNMENT REQUIREMENTS
                                 902.A.   Assignment Requirement
                                 902.B.   [Reserved]
                                 902.C.   Assignment Process
                                 902.D.   Assignment Substitutions
                                 902.E.   Assignment Withdrawal Disputes
                                 902.F.   Lien on Memberships and Class A Shares

903.                  RESPONSIBILITY FOR QUALIFIED MEMBERS

904.-909.           [RESERVED]

APPLICATION PROCEDURES FOR CLEARING MEMBERS

910.                  APPLICATION FORMS

911.                  SCREENING PROCEDURES

912.                  APPROVAL

913.                  WITHDRAWAL FROM CLEARING MEMBERSHIP
                                 913.A.   Voluntary Withdrawal
                                 913.B.   Release of Security Deposit, Membership and Class B Share Proceeds and Assignments

 914.-928.           [RESERVED]

929.                  APPLICABILITY OF RULES 930 THROUGH 983

ACCOUNT HOLDER PERFORMANCE BOND REQUIREMENTS

930.                  PERFORMANCE BOND REQUIREMENTS: ACCOUNT HOLDER LEVEL
                                 930.A.   Performance Bond System
                                 930.B.   Performance Bond Rates
                                 930.C.   Acceptable Performance Bond Deposits
                                 930.D.   Acceptance of Orders
                                 930.E.   Calls for Performance Bond
                                 930.F.   Release of Excess Performance Bond
                                 930.G. Loans to Account Holders
                                 930.H.   Aggregation of Accounts and Positions
                                 930.I.    Hedge Positions
                                 930.J.   Omnibus Accounts
                                 930.K.   Liquidation of Accounts
                                 930.L.   Failure to Maintain Performance Bond Requirements

931.                  CUSTOMER MARGINS FOR SECURITY FUTURES POSITIONS HELD IN FUTURES ACCOUNTS

932.                  ACCEPTABLE MARGIN FOR SECURITY FUTURES AND TREATMENT OF UNDERMARGINED ACCOUNTS

933.-949.           [RESERVED]

SALES PRACTICES AND CUSTOMER PROTECTION

950.                  SUPERVISION

951.                  DISCLOSURE REQUIREMENTS

952.                  SALES COMMUNICATIONS

953.                  PROMOTIONAL MATERIAL

954.                  CUSTOMER COMPLAINTS

955.                  ASSIGNMENT AND NOTIFICATION OF EXERCISE NOTICES

956.                  DISCRETIONARY, CONTROLLED AND MANAGED ACCOUNTS
                                 956.A.   Requirements
                                 956.B.   Presumption of Authority
                                 956.C.   Supervision and Trading of Discretionary Trading Accounts
                                 956.D.   Position Limits
                                 956.E.   Exceptions

957.                  CONFIRMATIONS TO CUSTOMERS

958.                  BRANCH OFFICES, GUARANTEED INTRODUCING BROKERS, AND ASSOCIATED PERSONS

959.                  [RESERVED]

OMNIBUS AND CARRYING BROKER ACCOUNTS

960.                  OMNIBUS AND CARRYING BROKER ACCOUNTS

961.-969.           [RESERVED]

FINANCIAL REQUIREMENTS AND FINANCIAL EMERGENCIES

970.                  FINANCIAL REQUIREMENTS

971.                  SEGREGATION AND SECURED REQUIREMENTS

972.                  REDUCTIONS IN CAPITAL

973.                  CUSTOMER ACCOUNTS WITH THE CLEARING HOUSE

974.                  FAILURE TO MEET MINIMUM FINANCIAL REQUIREMENTS

975.                  EMERGENCY FINANCIAL CONDITIONS

976.                  SUSPENSION OF CLEARING MEMBERS

977.                  SUSPENSION OF OFFICERS OR PARTNERS

978.                  OPEN TRADES OF SUSPENDED CLEARING MEMBERS

979.                  SUSPENDED OR EXPELLED CLEARING MEMBERS

RECORDS AND REPORTS

980.                  REQUIRED RECORDS AND REPORTS

981.                  ANTI-MONEY LAUNDERING

982.                  RISK MANAGEMENT

983.                  DISASTER RECOVERY AND BUSINESS CONTINUITY