Brokerage Payment System (BPS) User Manual
Contents
1. After clic King search the Broker Review Details section is displa yed 2 o view the broker s detail click on the line item Broker Review Details Page 1of1 1Row Show All Vien z Pre Go to Page Page Length Next TEST USER 2004 12 01 9999 12 31 Note When the Search Results list displays the View action is activated BPS 2 0 Copyright 2011 CME Group 10 amp CME Group Brokerage Payment System BPS After selecting the line item the Broker Group Review Details screen will display 3 Clickon the line ttm to view details Broker Review Details Broker ID XXX Page 1 of 1 1 Row 3 Prev Go to Next E TEST USER 2004 12 01 9999 12 31 Broker Group Review Details Broker ID AACE Page 5 of 5 5 Rows 4 Prev Go to Page ay Page Length SET Broker Group ID 4 EET Relationship Effective Date Relationship Expiration Date TEST USER 2009 10 01 9999 12 31 Broker Group ID 4 EET Relationship Effective Date Relationship Expiration Date gt To exit click the Back to List button CME Group Brokerage Payment System BPS 6 0 Rates SZ Firms v 2 Brokers The Rate screen allows usersto Search and Create rates Ratesare used to price tradesand determine the conect brokerage to be paid by a trading firm to the executing Broker When Rates is selected the sub menu options appear e Rates e Rate Group The search option consists of three views e Curent Rates e Adjustment Peno2. Extract Report transfers the report to be extracted into a database orspreadsheet application e Delete Report permanently removesthe selected report from the system Reports are automatically deleted after a two week period Select an action 2 Clicka line item Report Viewer Page 1of1 3Rows Show All Today s Reports Show All Repgfs View Repo Pre Go to Page p Page Length Requested By gt Report Type Extract Only Firm Bill Broker Group Time Requested No Data KWALKER Adjustments by Broker CME XXXX 09 23 2011 14 43 54 PM 09 23 2011 14 43 54 PM Ready KWALKER Adjustments by Broker N CME XXXX 09 23 2011 14 44 19 PM 09 23 2011 14 44 20 PM Ready KWALKER Firm Brokerage Rates CME 999 09 23 2011 11 44 15 AM 09 23 2011 11 44 20 AM Requested By gt Report Type gt Extract Only gt Firm Bill Broker Group Time Requested gt Last Updated See Appendix Ill fora list of BPS Report names BPS 2 0 Copyright 2011 CME Group A CME Group Brokerage Payment System BPS If a report is extract only then the View action will not be available Report Viewer Page 1 of 1 2Rows Show All Today s Reports Show All Reports View Report Prev Go to Page Set Page Length SET Next E Requested By gt Report Type gt Firm Bill Broker Group gt Time Requested Last Updated Reviewed KWALKER Firm Brokerage Rates CME 999 10 28 2011 09 36 01 AM 10 28 2011 09 36 56 AM Ready KWALKER Broker Trade Detail Extract CMEXXX 10 28
3. The system eliminates the costly labor intensive task of preparing and distributing monthly checksto brokers and assurestimely brokerage payments Daily and monthly reports and data files produced foreach firm detail executed trades volume and rate applied to each trade Monthly banking reports are produced forbrokers and firms BPS is designed to calculate disburse and report broker paymentsfortrades executed on behalf of a trading firm or its customers Memberfimsare able to access their CME CBOT NYMEX and COMEX trades along with applied ratesand detailed brokerage payment information from one application regardless of original venue BPS providesthe following features e Web based and accessible via the CME Group portal e Tiered and retroactive rate entry e Creation of daily and monthly ad hoc reports e Differentiation between electronic and pit executions e Ability to search and view summarized or detailed trades including rejected trades e Payment adjustment and hold functions e Ability to resubmit resolved rejected tradesforreprocessing e Ability to search and view Electronic Broker eBroker Tag 50 ID and Symbol BPS 2 0 Copyright 2011 CME Group CME Group Brokerage Payment System BPS 1 0 Accessing BPS To accessthe Broker Payment System BPS users mut firs log into the portal CME Group Connect by entering the following address in your intemet browser address section http connect cmegroup com 1 Enteryour
4. Welcome Karon TRADING FIRM I ome Fage Curent Date 08 10 2011 o Fims o CME Group Brokerage Payment System O Bro ke rs Adjustment Pit Wh Cn Us Ua Lg O Ra tes floes v fa Rates v febre Trades fz Payment Reien v Fl Reports o eBroker Messages o Trades o Payment Review For Help With The Brokerage Payment System Please Contact O Re p O rts CME Clearing Sevices at 312 207 2525 x Proc essing Dates System availability Business days 4 00 AM unt 7 00 PM Central Daylight Time o Curent Date o Curent Business Day igi NN 4124 2011 Trades for Green Exchange formally processed under NYMEX are now processed under ts own exchange GEX Please contact MEG Clearing Senicesto have your frm and broker banking infomation set up O P roce ssin g Pe no d 1211512009 Reminder 30 Days Notice Required When Changing Brokerage Rates For the fl tex ofthe Clearing House Adisory Notice click here O Adjustme nt Pe nod BPS ClearPort FAQ ClearPon FAQ e ContactUs Createsan email to CC megroup com CME Clearing BPS Endo Cyn Calendar Service S 2011 Banking Schedule e User Manual Displays an online version Comme Coe ig Commodity Codes of the BPS User Manual i e Log Out Closesthe application CCE Gg e For Help with BPS CME Clearing Services email link and contact number e System Availability Contains important messages regarding system availability e New BPS Features Contains messages regarding new functionality e BPS ClearPort FAQ Dis
5. e Ifa rate isdeleted the system will completely remove tt if its effective date was within the adjustment period or will expire the rate asof the day pnorto the start of the adjustment period if its effective date wasoutside the adjustment period BPS 2 0 Copyright 2011 CME Group 18 CME Group Brokerage Payment System BPS 6 3 Rate Group The Rate Group screen allows users to Search and Create rate groups similarto the Rate Screen Creation of a Rate Group allowsthe userto also create a Group ID name Rates are used to price trades and determine the correct brokerage to be paid by a trading firm to the executing Broker The search option consists of three views e Current Rates e Adjustment Period Rates e Historical Rates Using Rate Groups Rate groupscan be used foraccounts brokers or commodities that pay at the same rate you can alleviate duplicate work by creating one rate group with a single rate ratherthan having several line items with the same individual rate For example if you pay foreign exchange tradesatthe same rate you can create a Commodity Group containing commodities AC AD AJ AN BF BP BR BY and etc and name it FX You can then create a single rate for FX that will be used forall FX commodities in the group If this rate later changes you only have one rate to change 6 3 1 Searching The Rate Group Screen allowsthe usersto search orcreate groupsby Accounts Broker or Commodity OY M
6. o Editsto Payments Adjustment are only allowed for records with a process date within the cument month orthe prior month adjustment period only o Editsto Tax Adjustment are only allowed for records with process dates within the current fiscal year e Delete deletesthe adjustment o Deletion of a Payment Adjustment is only allowed for records with a process date within the curent month or future month o Deletion of a Tax Adjustment is only allowed for records with process dates within the cument fiscal yearora future fiscal year 9 11 Editan Adjustment e Alowsthe userto modify the amount and or comment fields Complete a search Select Editfrom the action list Click on the line item to edit Update the amountand orthe commentfield C lic k Submit Confimation message The Adjustment has been updated uos p m p BPS 2 0 Copyright 2011 CME Group 32 CME Group Brokerage Payment System BPS 9 1 2 Delete an Adjustment Complete a search Select Delete from the action list Click on the line item to delete A confirmation pop up window will appear 4 Click OKto remove the adjustment Confirmation message The Adjustment has been deleted 9 1 3 Create an Adjustments The Create button allowsthe usersto create eithera Payment Adjustment or Tax Adjustment record A payment adjustment is used to either increase or decrease the brokerage amount due to a brokerfora specific process month A tax adjustment is used to
7. o p mw p Exchange CME F View Current Groups Search Results Prey Select an Exchange Select a Firm Select Type Select Group ID optional View defaults to Curent Groups Click Search the search results list will display below the search criteria Firm Group ID 999 999 TEST FIRM x All Account Group Broker Group Commodity Group Go to Page Set Page Length SET Page 1 of 1 3Rows Show All View Next E 1 FX2 Group ID 4 ACCOUNT 08 10 2011 BROKER 08 10 2011 COMMODITY 08 10 2011 12 31 9999 12 31 9999 12 31 9999 Action options View Editor Delete e Selecta line item to execute the selected action BPS 2 0 Copyright 2011 CME Group 19 CME Group Brokerage Payment System BPS 6 3 2 Creating a Rate Group l Click Create Group ID Exchange Select Groups lt gt Firm Type Group ID account Group x Select M Effective Date Expiration Date New Members Current Members 08 10 2011 E 12 31 9999 E Select an Exchange Select a Firm Select a Type e Account e Broker e Commodity 5 Give the group a Group ID name All Group ID names must start with an asterisk and limited to 9 alpha ornumeric characters Example BRK2 6 Enteran Effective Date the Expiration Date will default to 12 31 9999 BPS 2 0 Copyright 2011 CME Group 20 CME Group Brokerage Payment System BPS 7 Select the Members to be added
8. the current month o LastMonth automatically sets the first and last business day of the previous month o Two Months Prior automatically sets the first and last business days of the two months priorto the current business month Exchange Selection e The exchange list box displa ysthe trading exchanges you have authority to view Firm Selection e The firm list box displays all the firms for the exchange selected To complete a search 1 Selecta date range Trade Date and or Process Date Select an Exchange V Trade Dt mmddyy 3 Select Sea rC h Mode Equals From 08 09 2011 E To View Summarized Trades v e View Summarized Trades f Process Date mmy bat From 08 09 2011 E T e View Detailed Trades e View Rejected Trades 4 Selecta Firm m Click Search Clear Search If you do not select a value foreach A et Se search criteria an eror message will Summa Tes CE ima ae appear Referto Appendix for more i em Go to Page H De e Length SET lat B information on Eror Messages nie m Trading Firm ie Commodity nis E Date Contract FutOpt Account Classification Rate Total Rate Total iie Date w Sell Vol Da Code Date Indicators Number Coded f Qy Brokaraged FQ Quoted XXX AGS AGS 049A 20206 RO 2 D XXX AGS AGS MB 20120 06 19 2011 Trading Firm m Commodity r y M Date Contract FutOpt Account Classification i Rate Total Total iy Date 5 x Vol ja Coded Date Indicators
9. updated BPS 2 0 Copyright 2011 CME Group i ess lt i ssss 14 CME Group Brokerage Payment System BPS 6 1 2 Copy Rate The copy rate action allows the usersto copy the attributes of an existing rate and modify as needed Complete a search Select action Copy Click on the rate to copy you will be directed to the Rate Create screen Update rate asneeded Click Submit v AeA WN FP 6 13 Delete Rate The delete rate option allowsthe users to Delete any rate that hasan effective date greaterthan or equal to current date Expire any rate asof today if the effective date iseanier than curent date Complete a search Select action Delete Click on the rate to delete Click Submit PWN P e Once arate hasbeen deleted it is considera historical rate BPS 2 0 Copyright 2011 CME Group 15 CME Group Brokerage Payment System BPS 62 Creating a Rate This screen allows the usersto create broker rates Exchange Firm Select View Current Rates M l Clickthe Create button 2 Enterthe data asneeded Exchange and Firm are required fields 3 Click Submit Firm Account Broker ID Select Select Classification Fut Opt E a E Contract Date mm yyyy Rate Type Tier Indicator Effective Date Expiration Date 08 10 2011 E 12 31 9999 E Rates 0 00 for the first 999 999 999 999 Back to Search e To remove data from any field click the Clear button e To entertiered
10. 13 0 APPENDIX Ill REPORT DESC RIPTIO NS correo erre renun nnn nnn nnn nnn nnn nuu nun 7 14 0 APPENDIX IV LOAD CRITERIA AND SAVE CRITERIA BUTTONS 2 eere erred The information within this user guide has been compiled by CME Group for general information purposes only Although every attempt has been made to ensure the accuracy of the information within this user guide CME Group assumes no responsibility for any errors or omissions While CME Group may use valid fim numbers or names to display examples in computer based training and user guides the data in all examples is fictitious and is provided for general information purposes only Additionally all examples in this guide are hypothetical 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 BPS 2 0 Copyright 2011 CME Group 3 CME Group Brokerage Payment System BPS Introduction CME Group s Brokerage Payment System BPS is a web based application accessed via the CME Group portal BPSfacilitates brokerage paymentsto filing brokers by member firms via automatic debitsto memberfims bank accounts All members and member fims are required to use BPS for broker billing and payment
11. 2011 09 55 04 AM 10 28 2011 09 55 06 AM Requested By Report Type Extract uny Firm Bill Broker Group gt Time Requested Last Updated gt x 2010 CME Group Inc A Report is For extract only not For view EA 10 3 View Batch Reports 1 To view the batch reports select a report name and complete the report criteria 2 Clickthe Submitbutton The report can be viewed in a PDF or Text format Report Category Report Name Firm Billing Group v Firm Brokerage Detail E Report Date From 08 01 2011 Es To 10 28 2011 E Exchange Firm cu e 999 999 TEST FIRM Submit Search Results Page 1of 1 1Row SM Al POF report Go to Page Set Page Length SET 1 4 Prev BPS710 M 08 03 2011 999 BPS 2 0 Copyright 2011 CME Group 42 CME Group Brokerage Payment System BPS 11 0 Appendix li Errors in Selecting Criteria e ifthere were any enorsmade in selecting yourcntena you will see a red flag displayed 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 page e he details of the error s will then be displayed at the top of the page and you can make changesto your criteria to comect the emors e To hide the enor details click the Hide Errors hyperlink There are 3 errors on this page Show Errors Trade Date mm dd yyyy 1 Mode Equals H From 08 09 2011 E To a vies Summarized Trades M Pro
12. Brokerage Payment System Login to Brokerage Payment System Message Center New User Help The BPS Online Application is provided to you by the CME Group To gain access to the online system follow the steps below Step one Fill Out the System Access Request Form User ki Then fax it to 312 338 2626 average processing time is 24 hours Step two Welcome To the Brokerage Payment System P d asswor E Change Password It s that easy 2011 CME Group Inc BPS 2 0 Copyright 2011 CME Group 5 CME Group Brokerage Payment System BPS 2 0 Logging into BPS The BPS Login screen providesaccessto the application 1 Enter your UserID and Password and then click Login 3 CME Group Brokerage Payment System Login to Brokerage Payment System Message Center New User Help Change Password 2010 CME Group Inc Otherfunctions available on the login screen include e Change Password check boxto change your BPS password e Resetbutton to clearthe entered values for User ID and Password e New Userlink for information on how to gain accessto the system e Help link for tips on how to login BPS 2 0 Copyright 2011 CME Group CME Group Brokerage Payment System BPS 3 0 BPSHome Page The BPS Home Page displays the following information e CMEGroup icon isa link to www cmegroup com CME Group e Brokerage Payment System text isa link to the Home Page e Main Menu Tabs Home
13. Brokerage Payment System BPS User Manual December 2011 Global Operations Education CME Group Brokerage Payment System BPS Table of Contents LO 3 OS CBS on eee eee eee eee eee eee ee 5 20 LOGGING INIO DPS irinna E E Aa a AAEE 6 30 Eo GE arcs secre ce ITE E EI 7 AO IVS REED IE C C IM m 8 SE e 4c 10 4 ME Su lop 12 6 1 RATE SEARC EL o iooiep50292595299905900939050 va 08198999 0959 05908 P9 Gan OS RENE eT UU Ne NN dosWO LUV VenS IN dE UFEE UE 13 OLL EC Re m RRRRORR E 14 CLZ Gee i em 15 POLI BD LERI ana E mn Pn Teeny E 15 DAR v coii me E EE EI 16 SP EE UO CI i o c Omm 18 63 RAEGROUP HR 19 MEE reni emm 19 632 Creating a Rate GOUD RR 20 6 3 3 Creating a Rate Using a Rate Group ID ssssee eene nennen nnne 22 6 3 4 Rate Group Business RUIBS icssccccsescaseivssectedsarorcseveiassgeiegesectuvestharsedcavetiewsstateasehapibea hoceahecsadeanseaeabecassocetes 27 AO EDROKER c 24 7 1 SEAR PING eee E E EE AE A ES 24 7 2 ADMINISTRATIVE EBROKER USERS eeececcccccccccccccccccccccossecsccccccccoscccsecessscsces
14. CME Group Connect usemame and password 2 Ensure the productdrop down list displa ys C ME Portal 3 Click Login to display CME Applications tab CME Group CME Group Connect ACME Chicago Board of Trade NYWEX Company Login to CME Group Connect Message Center username Welcome to CME Group Connect Please enter your login ID and password on the left and ensure the correct product is selected If you have problems accessing CME Group Connect please contact CME password Group Customer Support Group 312 930 3444 between the hours of 6 30am CST and 5 30pm CST For after hours support please contact CME Group ET Operations at 312 930 8200 product CME Portal 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 To access CME Group Connect testing for Certification and End to End Applications please navigate to http connectcert cme com 2008 CME Group Inc The CME Applications tab will display 4 Click the Broker Payment System link or the icon CME Group CME Group CMEConnect CME APPLICATIONS R APPLICATION USER MAINTENANCI Logged in kwalker LOGOUT Contact CME 312 930 3444 Broker Payment System Fee System Portal Give Up Payment System The user will be directed to the BPSlogin window lt CME Group
15. Exchange Firm Broker ID Select x Select x Select Exchange Select e Fim e BrokerID 4 Enter Amountor click the Hold Entire Paymentcheck box e The value must be a positive value Enter Effective Date Update Expiration Date Enter Comment Click Submit O N O MI The Payment Hold has been created Exchange Broker Effective Date Expiration Date Hold Entire Payment iiri 09 01 2011 E 12 31 2011 E Comment Document 23568 Back to Search BPS 2 0 Copyright 2011 CME Group 39 CME Group Brokerage Payment System BPS When you select Reports from the BPS main menu three options will display e Request Reports e View Report Request e View Batch Reports The Report Request screen allows usersto run reports The selected report willbe generated and is viewable through the View Report Request tab The View Batch Reports will display the system generated batch reports 10 1 Report Request Screen To requesta report 1 Select Request Report 2 Select a Report Category Firm Biling Group or Broker Broker Group Report Category will filter the available reports the Report Name drop down list will immediately update to reflect only the reports within that Report Category Select a Report Name and enter the criteria forthe selected report Clic k Submit Report Category Report Name Firm Billing Group M accumulated Transaction Detail Trade Date Select From Proc
16. Number Coded Typed Qty Brokarage Quote Ne Seach Ne Seach BPS 2 0 Copyright 2011 CME Group 28 CME Group Brokerage Payment System BPS 8 2 Advanced Search Summanzed or Detailed Mode The advanced search consists of additional fieldsto narrow your search criteria To view the advanced search features select the Advanced button The basic search selections remain at the top of the screen and the advanced search fieldsappearbelow See Appendix Il for a list of field descriptions V Trade Date mm dd yyyy Mode Equais From 98 09 2011 Ea To view Summarized Trades Process Date mm dd yyyy Equais From 08 09 2011 rs To Exchange Firm Ege OTOP Select M Classification Code CTI Rate Type Account Add B Delete 4 Broker ID Quadrant Commodity ALL Y gt Add E Delete 4 Fut Opt Indicator Contract Date mm yyyy i Total Brokerage ai X All Add P Delete d UImOoZzo cu Example Search Detailed Trades View Detailed Trades CME Page 1 of 557 557 Rows Show All Extract Go to Page Set Page Length SET Next E 12345678910 een p ws you qim ed Process Trade Contract imm UAR disi Classification i pe eger iex b E D oier cac in ype perce m oe Date gt Date gt Date gt mber gt Code gt 4 Prev INDX INDX 08 09 2011 08 09 2011 201109 GUFRM 0 1 125 00 Trading scars Put Call Fut Opt Rate Buy Sell Order Strike Vol UL Op
17. Prev Go to Page Set Page Length 12345678910 Resubmit Trading poy Put Call Fut Opt Rate Buy Sell Order Trade Rejected Vol B edicator Firm ID xR Broker pare Process Trade Contract Indicator Indicator siete Classification neh aha Type Indicator m Number Mus a Price R ason Quote ID gt Code gt Date gt Date gt Date gt mber gt Code gt Code 08 09 2011 08 09 2011 201112 SPRD 9 800 00 0 00 ee Digne Operator Broker prom Commodity Process Trade Contract despues Paires Classification T iate lee slo E d ios ris Irade Loss capui Bo Indicator Firm ID In E upc Type grea pont Reason eg b i ID gt Code gt Date gt Date Date gt Number gt Code gt Code gt New Search Search Next B 3 Clickthe Resub Selected button After clicking the Resubmit button the Resubmit Indicator status is set to Y Yes e To resubmit all the trades shown in Search Results select the Resubmit All button Pad Pai i i xn FHES as Lena F Accogni Lair a a net hod T siaj kata SITE Westie bt aT M i B WHEN xU xu P Du Pasado Pup A item Puck a Lind zjali wiena ORE ra at t AMET ut uel i BPS 2 0 Copyright 2011 CME Group 30 CME Group Brokerage Payment System BPS 9 0 Payment Review v 2 Brokers v f 5 eBroker CA Trades s Payment Revie i E Reports v The Payment Review tab hasa sub menu Adjustments and Hold The Adjustments and Hold options allows the usersto search orcre
18. administrators The Create button will not displayed to non administrative users 3 Click Search The eBroker Review Details list will display eBroker Review Details Page 1 of7 14Rows Show All View Go to Page Set Page Length SET 1234567 999 XXX 4444 2011 08 10 9999 12 31 d Prey Next B 2011 08 10 9999 12 31 999 ZZ YY50 BPS 2 0 Copyright 2011 CME Group 24 CME Group Brokerage Payment System BPS 7 2 Administrative eBroker Users Administrative Userscan edit and create electronic broker registration records 7 2 1 Edit The Edit action allows Administrative Users to update the Effective Date and or Expiration Date 1 Complete a search Reference page 24 Select Editfrom the drop down action list 3 Click on the line item to edit eBroker Review Details Page 1of 1 1Row Sw A Prev Go to Page as Page Length SET 2011 08 10 9999 12 31 4 Enterthe updated information click Submit Firm Broker ID 999 ia E TEST FIRM Tl ox JOHN DOE 2004 12 01 x Effective Date uu Expiration Date 08 11 2011 E 12 31 9999 E C onfimation will d isp la y E Broker has been successfully updated Note eBroker effective date cannot be before the current business date 7 2 2 Delete The Delete action allows Administrative Users to delete the eBroker record 1 Complete a search Reference page 24 2 Select Delete 3 Click on the eBrokerto be deleted 4 A confirmation dialog box will display clic
19. ally setsthe first and last business days of the two months priorto the cument business month Date on which BPS processed the transaction The Process Date J i options listed for Trade Date described above are the same View Summarized Trades Displays tradesata summarized level J J View Detailed Trades Displays the complete details of each trade View Rejected Trades Displays all rejected trades C S C tmm mme mn emm view C ee ee 7 7 7 1 Block Trade Block Trade Give Up From Block Trade Give Up To CPC Trade CPC Trade Give Up To CPC Trade Give Up From CPC Spread CPC Spread Give Up To CPC Spread Give Up From CPC Block Trade CPC Block Trade Give Up From CPC Block Trade Give Up To CPC EFP CPC Give Up From CPC Give Up To Classification Code EFP EFP Give Up From EFP Give Up To Electronic Spread Electronic Spread Give Up From Electronic Spread Give Up To Electronic Trade Electronic Trade Give Up From Electronic Trade Give Up To SUB Give Up From SUB Give Up To Spread Spread Give Up From Spread Give Up To Substitution of Future for Forward BPS2 0Copyright2011CMEGroup 000000000 44 Copyright 2011 CME Group 44 CME Group Brokerage Payment System BPS Basic Advanced Describtion Search Search p BEN NIE Trade Trade Give Up From Trade Give Up To CTI Member trading forhis herown account CTI 2 Proprietary or house trading Customer Type CTI 3 Member trading an a
20. an that value In Between lets you entera low and high number value and search for all items between the values All lets you search forall items and isthe default Total Brokerage N selection Equals lets you select the exact item you want to BPS 2 0 Copyright 2011 CME Group 45 CME Group Brokerage Payment System BPS Basic Advanced Describtion Search Search p search for Greater Than lets you entera value and search for all items greater than that value Less Than lets you entera value and search forall items less than that value In Between lets you entera low and high number value and search forall items between the values Rate types Current Rates Adjustment Penod Rates Historical Rates M Member F Fim C Customer Daily Rate applied to alltradesfora single trade day ieee v e Monthly Rate applied to all tradesforthe entire processing month BPS 2 0 Copyright 2011 CME Group 46 CME Group Brokerage Payment System BPS 13 0 Appendix Ill Report Desc nptions The main Reports are then broken down to further assist the User in identifying the best report to utilize Following are descriptions of the Reports Firm Billing Group Broker Broker Group Accumulated Transaction Detail Broker Account Detail Account Broker Detail Firm Monthly Broker Summary Firm Brokerage Rates Firm Daily Trade Fee Calculation Firm Monthly Brokerage Firm Nega
21. asan option to hold a broker s entire payment Also the Hold screen requires an Effective Date and Expiration Date 9 2 1 Searching A search consists of selecting e Exchange e Firm e Broker ID Optional Exchange Firm Broker ID Select Select EE To perform a search l Select Exchange 2 Select e Firm e Broker optional 3 Click Search The search results list will display below the search criteria 4 Clickthe line item to view default action is View Payment Hold Review Details Page 1 of3 3Rows Show All m M Prey Go to Page Es P Page Length Next B 999 XXX N 2011 12 31 500 00 2011 09 01 Document 23568 Action options View Edit or Delete e Clickona line item to execute the action BPS 2 0 Copyright 2011 CME Group 36 CME Group Brokerage Payment System BPS 9 2 2 Editing a Hold Record Vr 3 w pP p Allowsthe usersto modify the following fields o Remove the Hold on Entire Payment Amount Effective Date Expiration Date Comment O O Complete a search Select Editfrom the action list Click on the line item to edit Enter the update s Click Submit Confirmation message The Payment Hold has been updated 9 2 3 Deleting a Hold Record l Complete a search Select Delete from the action list Click on the line item to delete A confirmation pop up window will appear Select OKto delete the payment hold Confirmation messa ge The Pa
22. ate an Adjustment or Hold record per broker 9 1 Searching foran Adjustment An Adjustment search consists of selecting e Perspective o View Firm Adjustments create edit and search o View Broker Adjustments search only e Exchange e Fim Process Month O ptional e Restrictsthe search to the month specified Type of Adjustment Optional e Search by either Payment or Tax adjustments Broker ID e BrokerID isoptional if perspective is View Firm Adjustment e Broker ID is required if perspective is View Broker Adjustment To perform a search l Select Perspective 2 Select Exchange 3 Select Him 4 Clickthe Search button Perspective Type of Adjustment View Firm Adjustments Exchange Process Month 999 TEST FIRM x Broker ID Select BPS 2 0 Copyright 2011 CME Group 31 CME Group Brokerage Payment System BPS The search results list will displa y below the search criteria Search Results Page 10f2 3Rows Show Al View e Prev Go to Page E Page Length Next B XXXX PMTADJ 12 31 2010 15 00 XXXX PMTADJ 03 31 2011 37 50 Select Actions Choos an action from the drop down action lis and then select the line item for which you want to invoke the action Available actions e View displaysthe detail information of the adjustment in read only format e Edit displaysthe detail information of the adjustment and allows modifications to the Amount and Comment fields
23. ccount of another Indicator CTI member CTI 4 Individual Trading fora customer account M Member F Fim C Customer Al isthe default selections which lets you search for all items Equals lets you enter the exact item that you want to search Contains lets you enter a string of numbers and or letters and search forall items that contain that Account Number string Ends With lets you enter the last few numbers and or letters of the item s that you want to search Begins With lets you enter the first few numbers and orletters of the item s that you want to search Displays a listing of all the brokers for the trading exchange selected All lets you search forall items and isthe default Broker ID J selection Equals lets you select the exact item you want to search for the list is built based on the Trading Exchange ID selected Commodity Code Displays a listing of allthe commodity codes for the le exchange selected unm Month in which the futures contract will expire Contract Date All lets you search forall items and isthe default selection Equals lets you select the exact item you want to search for All lets you search forall itemsand isthe default selection Equals lets you select the exact item you want to search for Quantity Greater Than lets you entera value and search for v all items greaterthan that value Less Than lets you entera value and search for all items less th
24. cess Date mm dd yyyy al ETT From 08 09 2011 E To Exchange Firm 1 Select 7 my There are 3 errors on this page T Hide Errors Trade Date Either Trade Date or the Process Date must be selected Process Date Either Trade Date or the Process Date must be selected Firm Firm must be selected Trade Date mm dd yyyy 1 Mode Equals From 08 09 2011 E To vies Summarized Trades Process Date mm dd yyyy 6 Equals E From 08 09 2011 3 To Exchange Fim arg Select cp BPS 2 0 Copyright 2011 CME Group 43 CME Group Brokerage Payment System BPS 12 0 Appendix Il Field Descriptions Thistable providesa description of the fields on the basic and advanced search option Basic Advanced Description Search Search p Date on which the transaction took place Options you can chose from include Equals allows you to specify one particular day Between allows you to specify beginning and end dates Note Forthe Between and Equals selections you can specify the datesby clicking the field and typing the date in MM DD YYYY format or by using the Trade Date N N calendarto the nght of the field Make sure the dates represent the period you want to view Month to Date automatically sets the first and last business day of the current month Last Month automatically sets the first and last business day of the previous month Two Months Prior automatic
25. d Rates e Histoncal Rates You can use either the basic search or advanced search buttonsto request data The advanced search consists of additional fields that allow the userto narrow the search results list The default is Basic search Exchange Firm BBIBSE xl zx s View Current Rates x Basic Search View Exchange Firm Account Broker ID oe z Add P Delete d Commodity Classification Fut Opt All Y All All Contract Date mm yyyy Tier Indicator a Add P Delete d View Current Rates Y Advanced Search View BPS 2 0 Copyright 2011 CME Group 12 CME Group Brokerage Payment System BPS 6 1 Rate Search The basic search consists of selecting e Exchange e Firm e View o Curent Rates o Adjustment Penod Rates o Historical Rates l Select an Exchange 2 Select a Hrm 3 View defaultsto Curent Rates 4 Click Search The Search Results section will display below the Rates Search screen Exchange Firm os vj 909 999 TEST FIRM View Current Rates x amm Search Results Page 10f293 1757 Rows Show All View Pre Go to Page Set Page Length SET Next B 12345678910 999 750008 Daily 393 999 999 999 0 0 06 01 2009 12 31 9999 999 900000 Daily 393 999 999 999 0 0 06 01 2009 12 31 9999 999 MMM 3 Trade Daily 1000 000 000 000 0 5 05 01 2006 12 31 9999 999 MMM 3 Trade Daily 1000 000 000 000 05 05 01 2006 12 31 9999 999 KKK 3 Electronic T
26. either increase or decrease the brokerage amount that will be reported to the IRS Only the perspective of View Firm Adjustments can create an adjustment Perspective Type of Adjustment View Firm Adjustments M Exchange Process Month ag yj d Select Broker ID select 5 Multiple adjustments can be entered on a single screen provided they are the same Exchange Firm Adjustment Type Process Month BPS 2 0 Copyright 2011 CME Group 33 CME Group Brokerage Payment System BPS To create multiple adjustments press the Tab key while in the Comment field A new empty row will display This feature allow up to five rows of data Exchange Firm ae vj 999 999 TESTFIRM Type of Adjustment Process Month Payment adjustment v 08 2011 Broker ID Amount Comment XXXX 145 00 Incorrect rate ku imi XXXX BROKERID 2004 12 01 v Broker ID Amount Comment YYY 250 00 Over payment YYY BROKERID 2004 12 01 ku imi Broker ID Amount Comment Select Select Y Back to Search ku imi e To remove changesmade to the adjustment fields click the Clearbutton Field Descriptions e Type of Adjustment o Payment increase ordecrease in a broker s monthly brokerage o Tax increase ordecrease in a broker sannual brokerage reported to the IRS e Process Month isthe month when the adjustment will be applied o Payment Adjustment Must be the current month or future mont
27. erator rag Br oer Pd Hm T Process Trade Contract a dicato dicator Account Classification jy Tye in dicato pes Number Price Quote ID gt Date gt Date gt Date gt Number gt Code gt dien New Search Search BPS 2 0 Copyright 2011 CME Group 29 CME Group Brokerage Payment System BPS 8 3 Rejected Trades There are three reasonsa trade may be rejected e 1 Firmnotfound e 2 Brokernot found e 3 Customer Type Indicator 1 CTI 1 Rejected Trades CME Page 5 of 955 955 Rows Show All Extract Prev Go to Page Set Page Length SET n 12345 678910 him Fim T pod pid Commodity Process Trade Contract has niat Account Classification a im n dea a Strike Code gt Date gt Date gt Date Number Code Price Next B 00 09 2011 08 09 2011 201112 SPRD 3950 00 0 12 i pg pe pian Commodity Process Trade Contract x m Account Classification a r a zm a Strike Code gt Date gt Date Date Number Code gt 4 Price Resub Selected Selected rm All New Search 8 3 1 Resubmitting Rejected Trades To resubmit rejected trade s perform the following actions a Resubmit resubmits a trade for re processing during the nightly run b Resubmit All resubmits all of the rejected trades listed for re processing during the nightly run l Complete a search for rejected trades 2 Clickthe check box of the trade to resubmit Rejected Trades CME Page 1 of 955 955 Rows Show All Extract
28. ess Date Select M From Exchange cu Select Account Number Broker ID Add B Delete d Commodity Quadrant z an e Clear to clearthe criteria click the Clearbutton BPS 2 0 Copyright 2011 CME Group 40 CME Group Brokerage Payment System BPS Date Selection e Selecta Trade Date and or Process Date or Banking Cycle Note you don t have to click on the checkbox this will automatically be done after a value has been selected o Trade Date isthe date on which the transaction took place o Process Date isthe date on which the transaction was processed o Banking Cycle isthe penod in which the transaction was processed 10 2 Report Viewer The View Report Request tab requires Adobe Acrobat Reader to be installed on your computer All reports are in PDF format The report viewing options are e View Report e Extract Report e View Report Criteria e Delete Report There are two view optionsthat can be selected within the report viewer e Today s Reports e Show All Reports The Report Viewer Screen is shown below This screen allows the userto select one of the four report viewing functions from the drop down list Select Actions Choose an action from the drop down list and then select the report you would like to invoke the action for e View Report opensthe report detail information in PDF format e View Report Criteria disolaysthe selection criteria used to run the report e
29. ge and Adjustments by Trading Firm or Broker Grouped by banking cycle Trading firm report containing rejected transaction details and reason for rejection Trading firm report containing detailed Adjustment information Grouped by Trading Firm Trading firm report containing detailed Adjustment information Grouped by Broker ID Trading Firm and Broker Group report containing Total Brokerage and Tax Adjustment information by Transaction Month Group by Broker ID Broker Group Firm and Billing Group Trading firm report containing Prior Balance Calculated Brokerage Adjustments and Total Brokerage foreach banking cycle Broker group report containing detailed transaction data and rates applied Grouped by Broker Group Broker group report containing Total Brokerage Service Charges Lessee Brokerage New Brokerage Misc Withholding amp banktransfer amount Grouped by Broker ID 47 BPS 2 0 Copyright 2011 CME Group CME Group Brokerage Payment System BPS Broker Group Banking Details Adjustments by Broker Broker Accumulated Transaction Summary Broker Trade Detail Extract Broker group report containing Total Brokerage Non Bank Amounts Negative Brokerage and Withholding Grouped by Trading Firm Broker group report containing detailed Adjustment information Grouped by Trading Fim and Broker ID Broker group report containing summary transaction data and rates applied Grouped by Broker Group Broker group
30. h if within the adjustment period can be the prior month o TaxAdjustment represents the fiscal tax year when the adjustment will be applied must be a month with the current or future fiscal year e Amount isthe value of the adjustment can be positive ornegative e Comment allowsthe userto describe the reason forthe adjustment using up to 120 characters ma ximum BPS 2 0 Copyright 2011 CME Group 34 CME Group Brokerage Payment System BPS To create an adjustment complete the following steps Click Create located on the Payment Adjustment Search screen 2 Select Exchange Select e Type of Adjustment e Firm e Process Month e BrokerID 4 Enter Amount e 500 00 e 500 00 5 EnterComment To enter multiple adjustments use the Tab key 6 Click Submit The Adjustment has been created Exchange Firm loz v 999 999 TESTFIRM Type of Adjustment Process Month Payment adjustment 08 2011 Broker ID Amount Comment XXXX 500 00 Over payment XXXX TEST USER Single Adjustment Process Month Create up to 5 adjustments by pressing a Tab key on the Comment box after selecting a Broker ID Droker ID Amount Multiple Adjustments BPS 2 0 Copyright 2011 CME Group 35 CME Group Brokerage Payment System BPS 9 2 Payment Holds The Payment Hold screen is very similar to the Adjustment screen It works in the same manner users can search and create Payment Hold records The Hold screen h
31. k OK Confirmation will display E Broker has been successfully deleted BPS 2 0 Copyright 2011 CME Group 25 CME Group Brokerage Payment System BPS 7 2 3 Create The Create option allows Administrative Users to enterthe broker s Tag 50 ID l Click Create Broker ID Select 2 Selectthe following fields e Firm e BrokerID 3 Enterthe following information e ag 50ID e Effective Date cument day orlater e Expiration Date defaults to 12 31 9999 Firm Broker ID Select M Select M Effective Date Expiration Date 08 10 2011 E 12 31 9999 E Back to Search 4 Click Submit A confimation will display 5 To exit click Back to Search If the eBroker was entered incorrectly click the Delete button E Broker has been successfully created Broker ID 999 TEST FIRM Effective Date Expiration Date 08 10 2011 E 12 31 9999 E BPS 2 0 Copyright 2011 CME Group 26 CME Group Brokerage Payment System BPS 8 0 Trades The Trades tab will disolay the Trade View search screen within the search screen there are three mode search types e View Summarized Trades Tradesare displayed with a limited amount of information e View Detailed Trades Complete details of each trade are displayed e View Rejected Trades All rejected tradesare listed along with the rejected reason code In allthree views you can use the basic search oradvanced search option to request data To
32. member s to from the group the effective date isthe date the new membership is effective Re pricing will be done for this membership based on the group seffective date forall rates which specify the group EXAMPLE If you add commodity AD to the existing Group ID FX and set the group s effective date to 7 1 2011 all of the FX srates will be used to re price all AD transactions as of 7 1 2011 BPS 2 0 Copyright 2011 CME Group 23 CME Group Brokerage Payment System BPS 7 0 eBroker v 2 Brokers v 2 Rates v eBroker KA Trades IZ Payment Review 5 Reports The eBrokertab allows BPS administrative users to manage the registration of the electronic broker IDs Within the eBroker screen the administrative user will be able to view edit and create new electronic broker records The administrator will maintain the association between a brokertag 50 ID and broker symbol This will allow BPSto recognize all of the transactions and associated firmsthat a broker has represented A non administrative userhasa read only authority Note Currently only CME exchange isavailable in eBroker 7 l Searching An eBroker search consists of the following fields e Exchange e Firm e Broker ID Optional e Tag 50 Optional To complete a search 1 Select an Exchange 2 Select a Firm Only the firms you are authorized to view will display Broker ID Select M Note The Create option is only for
33. na mow your searches use the advance option 8 1 Searching A basic search consists of the fields listed below an advance search will lista vanety of fields allowing you to filter the search in more detail Advance Search fields reference page 29 e trade Date and or Process Date e Exchange e Firm Trade Date mm dd yyyy Mode Select From view Summarized Trades d Process Date mm dd yyyy select From Exchange Firm Select M Ep Date Selection e o search by Trade Date orProcessDate select one of the search values listed in either of the drop down boxes Note You do not have to click the Trade Date or Process Date check box this will automatically populate once you make a selection from the drop down list o Trade Date isthe date on which the transaction took place o Process Date isthe date on which BPS processed the transaction BPS 2 0 Copyright 2011 CME Group 27 CME Group Brokerage Payment System BPS e Select the criteria for yourdate range by using the drop down anow o Equals allows you to specify one particularday o Between allows you to specify beginning and end dates Note Forthe Between and Equals selections you can specify the datesby clicking the field and typing the date in MM DD YYYY format or by using the calendarto the right of the field Make sure the datesrepresent the period you wantto view o Month to Date automatically sets the first and last business day of
34. os To ensure that leading zeros remain in an account number for BPS display purposes fimms must submit a written request to CME Group Clearing Services CC megroup com If a request is not submitted leading zeros will be stripped from the account number The Leading Zero Indicator defaultsto N No which implies that leading zeroes will be excluded BPS 2 0 Copyright 2011 CME Group 8 CME Group Brokerage Payment System BPS After selecting the line item the Billing Group Review Details screen will display Firm Review Details Firm ID Page 1 of 1 1 Row 3 Prev ous Next E TEST FIRM 2004 12 01 9999 12 31 Billing Group Review Details Firm ID Page 1 of 5 5 Rows Back to List Prev Go to Page i Page Length SET Nex B Billing Group ID 4 EET Relationship Effective Date Relationship Expiration Date TEST FIRM 2004 12 01 2005 11 25 Billing Group ID 4 EE NN Relationship Effective Date Relationship Expiration Date To exit click the Back to Listbutton BPS 2 0 Copyright 2011 CME Group 9 CME Group Brokerage Payment System BPS 5 0 Brokers After clicking Brokers from the BPS main menu the Broker Search screen will display which allow the users to search all active Broker IDs forthe selected exchange A search consists of selecting e Exchange e BrokerID e Last Name Optional l Select an Exchange and Broker ID and then click Search Exchange Broker ID Last Name org Select
35. osossossooo 25 Jal I E PP 25 Jw 34E EE 25 DZ CG T 26 i re 27 8 1 cce cR T E E 27 8 2 ADVANCED SEARCH SUMMARIZED OR DETAILED MODE e eee ee eee eee eee eee ee eee e eee 29 5 3 RBE ID P PET m 30 8 3 1 Resubmitting Rejected TAdES 2 iccccccescccssscccsssscssssscesssecesssecesssecesssecesssecesssecessecesseeesseseeseeens 30 SU PAYMENIREVIEM auusetccx dice neice tence canon RU edna E 31 9 1 SEARCHING FOR AN AD USIMENT eeeeeeeeeeeeeeeossssssssssssseseeeeessssessssssssssseeeesessssessoe 31 MN ECU i Eia dcing cipit 32 912 Bed ey Serf glee usame RTT 33 oa ec MEE GU IIo 2 8 ko 100 9 ho ee ee veneer AE A iini 33 9 2 PAYMENT O DS ooo cso cece 1995009389958 6099092889380 05 8809900280008 uses reece ne 090 2EI NU SUS UE EI MU INIM SU DIRE 306 SV EE rela MR RRRE 36 92 2 Editing a Hold RECOM seriaro enie a EE EEE E E EEA A OE EEO i 37 Zi Pe emg r HOR RECON ean N EA AIE ENO OTE E ETEN 37 9 2 4 Creating a Payment Hold esee e iia Eai ai riai 38 BPS 2 0 Copyright 2011 CME Group 2 CME Group Brokerage Payment System BPS 11 0 APPENDIX I ERRORS IN SELECTING CRITERIA csccssscnsccnsccnsccnsccnsenssenssenssenssenssenseenssensennssnssenss Oo
36. pla ys an online ClearPort FAQ e BPSEnd of Cycle Banking Calendar Providesa PDF of the Broker Report and Fee Deposits schedule and activity list e Commodity Code Listing Containsa list of commodity codes BPS 2 0 Copyright 2011 CME Group 7 CME Group Brokerage Payment System BPS 4 0 Ams v 2 Rates v 5 eBroker CA Trades IZ Payment Review E Reports The Firms tab letsthe user search and viewsa list of Trading Firm IDs This screen will display detailed information for firms and sub firms that you are authorized to view A search consists of selecting e Exchange e Firm e Firm Name Optional l Select an Exchange and Firm and then click Search Exchange Firm Firm Name Contains Select M EX After clic King search the Firm Review Details section is displa yed 2 To view the firm s detail click on the line item Firm Review Details Page 1of1 1 Row Show All ies Pre Go to Page B t Page Length ed Exchange IDa Expiry Date Leading Zero Ind Trade Extract Ind Last Updated Last Updated By 7 03 02 CME TEST FIRM 2004 12 9999 12 31 KWA Exchange IDa Expiry Date Leading Zero Ind Trade Extract Ind Last Updated Last Updated By vi x Note When the Search Results list displays the View action is activated Leading Zero Indicator Yes or No This field contains the account numbersasformatted in BPS which left justifies the numbers by stripping off leading zer
37. rade Daily 1 000 000 000 000 0 0 05 01 2006 12 31 9999 Electronic Spread Daily 1 000 000 000 000 05 01 2006 12 31 9999 0 0 0 0 0 0 Select Actions The following actionscan be selected upon display of the rate search results e View displaysthe detail information of the rate in read only format e Edit displaysthe detail information of the rate and allows modifications to select fields e Copy displaysthe Create Rate screen with the selected rate information populated e Delete deletesthe rate BPS 2 0 Copyright 2011 CME Group 13 CME Group Brokerage Payment System BPS 6 1 1 Edit Rate 1 Aftercompleting a search select the Editaction 2 Click on the line item to edit Page 3 of 1757 1757 Rows Sf in Al BP Go to Page Set Page Length 1H Dm ul CEE MMM ED Trade Dally 1000000000000 0 5 06 01 2006 1 319998 me fies usb imam tee o imet ln TEO The Rate Edit sc reen is displayed this screen allows users to modify the following fields e Effective Dates e Expiration Dates e Rate Values 3 Enterthe changes and then click Submit Exchange Firm Account Broker ID 999 MMM 999 TEST FIRM MMM MOUSE 2009 08 01 CTI Classification Fut Opt Contract Date mm yyyy Rate Type E Effective Date Expiration Date 08 01 2011 E 09 30 2011 E use tab to enter more rates for the first 999 999 999 999 Back to Search Confirmation The Rate has been
38. rates use the keyboard TAB key use tab to enter more rates 0 50 for the first 5 000 then 0 35 until 999 999 999 999 Note Aftera rate is created previously entered data is saved on the screen i e entry fields are not reset to default settings This isto avoid redundant data entry BPS 2 0 Copyright 2011 CME Group 16 CME Group Brokerage Payment System BPS Dates e Effective Date o Representsthe date the rate is effective from o Mustbe a date from curent month orfuture month o If inthe adjustment period can be a date from prior month e Expiration Date o Representsthe date through which the rate is effective o Mustbe a date from cument month orfuture month but greaterthan current date o If inthe adjustment period can be a date from the prior month Rate Values e Fornon tiered rates o Rate Price The rate at which all trades matching the rate criterion will be priced Quantity Always defaults to 999 999 999 999 Rates 0 00 for the first 999 999 933 939 e Fortiered rates o First Rate The rate at which all trades matching the rate criterion will be priced Quantity having quantity between 1 999999999999 9999 Quantity having quantity between 2 999999999999 9999 Quantity having quantity between 3 999999999999 9999 Quantity having quantity between 4 999999999999 9999 Quantity having quantity between 5 999999999999 9999 Each quantity should be greaterthan the prior quantit
39. reate Rate section page 16 Exchange Firm Account Broker ID cu 999 999 TEST FIRM x CTI Classification zl s Contract Date mm yyyy Tier Indicator Effective Date Expiration Date 08 10 2011 I for the first Back to Search 2010 CME Group Inc 6 3 4 Rate Group Business Rules e The Group ID name which you assign must always begin with an asterisk e There cannot be an existing identical group that is effective forany part of group s effective date range e Groupscannot be deleted orexpired until all of the rates containing the group are deleted or expired e Ifa member account broker or commodity isadded to a group the member must not have an existing rate that isa duplicate of an existing rate forthe group e Ifa group iscreated ormodified the effective date of the group cannot be priorto the start of the adjustment period the prior month up to business day 3 otherwise the cument month BPS 2 0 Copyright 2011 CME Group 22 CME Group Brokerage Payment System BPS e Oncea group isdefined it can be used wherever its members can be used The appropriate groups will appearin the broker and commodity drop down lists If an account group is specified the system will check that the group exists Note Re pricing will be done as with any rate e The Effective Date of the group isthe date that the group is effective including the current membership date If you add orremove
40. report containing detail transaction data BPS 2 0 Copyright 2011 CME Group 48 CME Group Brokerage Payment System BPS 14 0 Appendix IV Load Criteria and Save Criteria Buttons The Search and Report screens have two additional buttons displayed allowing usersto create and save predefined searches then load the defined search forfuture usage load Crtena Save Criteria e Save Cnritena 1 Entercriteria information 2 Clickthe Save Criteria button 3 Entera cntena name forthe saved criteria 4 Select filter Rate Search or Report 5 Click the Save button Confirmation message Search Criteria hasbeen created The new criteria name will display in the Saved Criteria section Criteria Name Filter Rate Search Saved Criteria BROKER SEARCH XXX Update Existing Criteria Load Criteria Rename Criteria Delete Criteria e Load Criteria 1 Click Load Criteria The My Criteria screen will display 2 Selecta criteria name from the Save Criteria list 3 Clickthe Load Criteria radio button 4 Click the Submitbutton Clicking the submit button will redirect you to the search screen with the sa ved criteria information populated 5 Click Search to execute the loaded criteria information Note The Saved Criteria listings will change depending on the selected tab Rates or Reports BPS 2 0 Copyright 2011 CME Group 49 CME Group Brokerage Payment System BPS 15 0 Appendix V Na
41. te i Sell Vol Code Date Indicator Number Codet Typer Qty gt Brokarage Qty Quote XXX 5 INDX INDX 08 02 2011 201108 GUFRM 08 02 2011 Trading Firm pel Commodity gs ae bo Date Contract Fut Opt Account Classification a Rate Total d Total a Date Buy Sell Vol IVES Code Date Indicator Number Code Typeh Qty Brokarage gt Qyh Qyh Quote BPS 2 0 Copyright 2011 CME Group 50 CME GROUP HEADQUARTERS CME GROUP GLOBAL OFFICES 20 South Wacker Drive New York Washington D C Houston Chicago IL 60606 Londan Singapore Tokyo cmegroup com Sao Paulo
42. tive Brokerage Rejected Transaction Adjustments by Firm Adjustments by Broker Tax Details by Billing Group Firm Monthly Broker Detail Broker Accumulated Transaction Detail Brokerage Details by Firm Trading firm report containing daily buy sell and total quantities and resulting fee data aggregated to the Broker Product Account CTI Transaction Type Rate Type Trade Date and Process date level Grouped by broker Trading firm report containing daily total quantities and resulting brokerage aggregated to the Account Broker level Grouped by broker Trading firm report containing daily total quantities and resulting brokerage aggregated to the Broker Account level Grouped by account Trading firm report containing daily total quantities and resulting brokerage Grouped by payment month and Broker Trading firm report containing all the firm s cument rates ordered from most specific to least specific Note When reading down the table the first match will be the rate charged Trading firm report containing the details of the Accumulated Transaction Detail report and indicating the specific rate key used to determine the brokerage Grouped by broker within rate key Trading firm report containing the brokerage due and brokerage withheld foreach broker who has brokerage due from the firm Listed in broker order It includesthe firm total brokerage service charge Trading firm report containing the Calculated Brokera
43. to the group located in the New Member field o If the type is Account Group enteran account number in the New Memberfield Then click the arrow o Ifthe type is Broker Group highlight the broker name from the New Member field Then click the arow o If the type is Commodity Group highlight the commodities from the New Member field Then click the arrow Repeat steps until all the members are added If a member was added in error highlight that member and click the arrow 8 Click Submit A confimation message will display The Rate Group hasbeen created Exchange Firm Type Group ID ox sl Commodity Group xl Select x Effective Date Expiration Date New Members Current Members E 12 31 9999 E Back to Search After creating a Rate Group e g BRK2 you can add this Rate Group to the applicable rates This will price all tradesin the Rate Group that match the rate key BPS 2 0 Copyright 2011 CME Group 21 CME Group Brokerage Payment System BPS 6 3 3 Creating a Rate Using a Rate Group ID l Click Rate from the menu selections 2 Click Create 3 Select Firm 4 Selectthe Rate Group ID you previously created e Account enterthe created account Group ID name e g ACCT2 e Commodity click the dropdown arrow to locate the Group ID name e g FX2 e BrokerID click the dropdown anow to locate the Group ID name e g BRK2 5 Continue to create the rate asdescribed in the C
44. vigation There are multiple waysto navigate through your data If you do not have more than one page of data some of these options will not be available e Show All selecting this hyperlink located in the upper right hand comer above the Search Results window will change the display to show all transactions on one page Use the scroll baron the nght of the browser window to scroll through the data e Reset thishyperlink will appearafterthe Show All hyperlink has been selected Use this to change the display backto show one page of data at a time e Prev and Next selecting the previous or next hyperlinks displays the previousornext page of data e Goto Page lets you entera specific page numberto view To use this feature type in a page numberand click the Go button e SetPage Length lets you select the numberof rowsof data you would like to see per page To use this feature type in a numberand clickthe Set button 1234 selecting one of these hyperlinks will bring you to that specific page e Sorting Columns You can sort the column data in ascending ordescending order Select the amow next to the headerofthe column you would like to sort Data can only be sorted by one column at a time Summarized Trades CME Page 1 of 975 9 5 Rows Show All Extract A Prev Go to Page set Page Length SET Next mire J Hie Firm one Commodity ron pn bs Date Contract Fut Opt Account Classification R Rate Total HE Total ise Da
45. y perthe following example Rates 0 57 for the first then 0 95 until 11 000 then 1 10 until then 1 60 until 333993339333 BPS 2 0 Copyright 2011 CME Group 17 CME Group Brokerage Payment System BPS 6 2 1 Retroactive Rates The Create Rate Screen lets you create retroactive rates by Firm Retroactive ratesare rates with an effective or expiry date earlierthan the current business date e The effective date and expiration date of the new or modified rate cannot be earlierthan the start of the adjustment penod the first of the pnor month for business days 1 through 3 then the first of the Current month e here cannot be an existing identical rate that is effective forany part of rate seffective date range e Rateswith monthly tier levels must have an effective date that isthe first day of a month and an expiration date that isthe last day of a month e The effective date expiration date rate amount and tier levels can all be modified e Any price changescaused by the new ormodified ratesare applied immediately Any reports orqueries done afterthe rate isadded deleted or changed will reflect the new rates e The only restriction isthat the effective date of the revised rate is within the adjustment period e When editing an existing rate set the effective date to the date you want the new rate to become effective The old rate will automatically be expired on the day priorto the modified rate s effective date
46. yment Hold has been successfully deleted BPS 2 0 Copyright 2011 CME Group 37 CME Group Brokerage Payment System BPS 9 2 4 Creating a Payment Hold The Create button allows the usersto create a payment hold which is used to gamish brokerage The payment hold can be set up fora specific amount orthe brokers entire brokerage amount due within a specified time penod Firm Broker ID Select xl Select Amount Effective Date Expiration Date Hold Entire Payment 0 00 fs 12 31 9999 E Field Descriptions Note held Hold Entire Payment withholdsthe entire payment due the broker forthe time period specified within the Effective and Expiration Date range Hold Amount containsthe dollar value of the hold the value must be positive Effective Date the date from which the payment hold is effective o Mustbe the curent month orfuture month o If within the adjustment period can be the prior month Expiration Date representsthe month to which the payment hold is effective o Mut be the curent month orfuture month o If within the adjustment period can be the prior month Comment describe the details of the payment hold 80 character maximum When creating a hold record the BPS system does not compute a running total of amount being BPS 2 0 Copyright 2011 CME Group 38 CME Group Brokerage Payment System BPS Creating a Hold Record 1 Click Create located on the Payment Hold screen
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