Exchange Fee System Tutorial Training Guide
Contents
1. New Team Members A teammust have st less tte o teammembes with one des ignated as Head Trade F a tesmmember s name does nal appear in the let go to the hdoividual menu option to create the indiy dual a contains Hame Te O HEAD TRADER A Anais Tesm Mente Registering an ATS Team Operator ID 1 Input the Operator ID maximum of 18 characters 2 Enter the Effective Date which defaults to the current date The expiration date defaults to 12 31 9999 which reflects no expiration date 3 Click Add to continue 29 Registered Operator IDs O Include Expired Oper ators Click the Ink for an ex ting registered operator ID in the list below to view or update that rege tration To add a new operator id enter the ID in the blank feld below and cick the Add button Operator 10 Btective Date ATS Teame not aciwel ass pred t any Operator Ds A fro E 4 The screen will refresh to display Operator Details as read only text Operator Details ATSTeam Head Trae ABC Tradngi ABC TRADING TRADER THOMAS A 5 Proceed to the Registrations section to complete the fields for each applicable Exchange e Select the Exchange Registration Type and Associated Entity Use the status of the ATS Team Head Trader to determine the Registration Type o See the User Manual for a complete list of Registration Types o For ATS Team Head Traders who have been identified as Membership System Matches the Registration Type may be pre populated but can be2. NOTE 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 Create Main Account t I Show Expired O Single Exchange Mode Across Exchange Mode Main Account Details Select Action Account Type Effective Date Expiration Date Account Title omas tenun TRA1 FIRM 04 11 2012 12 31 9999 TRAINING Add Trading Accounts Trading Accounts that have the same Owner s and Controller s can be grouped together under a single Main Account The Main Account automatically becomes the first Trading Account therefore this does not need to be re entered To add a new Trading Account 1 Enter the account number in the first row under Add Trading Account s 2 Enter the associated Effective and Expiration Dates Should be equal to or between the Main Account s Effective and Expiration Dates 3 Click the Add or Add All when more than one Trading Account has been added link under the Actions column 3 CME Group Exchange Fee System Account CME Wed May 2 2012 03 19 PU COT Maintenance Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX CA Transaction Viewer Q Allocation W Account Maintenance Membership Information B Reports y fh Globex Registration Y Adjustment y Trading account s have been successfully added
3. Message of the Day ATS Teams Adding Individuals g Individual To register an Individual Operator ID Select Individuals from the Globex Registration sub menu The Individuals Page appears A An individual mus t be added to pha eg ntesing firm onty once and w ill then be svsibble in the individual is tfor any future updates Any members added to p rede e imdo not have to be re added w hen members hip status changes occur Enter the i ndividual name bebw hn order tos elect fromthe let of indvidusk that alresdy exist st the selected guaranteeing frm or s elect Add New to creste a new i individual Name Contains v ES Before registering the Operator ID you will register all of the required personal information for an electronic trader in the Individuals screen This list is unique to your firm and the individual must be added only once To enter information for an Individual 1 Select a guaranteeing firm from the list 2 Input the First and or Last Name in the field Individual Name Contains 3 The system will suggest possible matches from the list of individuals that already exist at the firm e The Show All hyperlink may be used to display all individuals in the list at the selected guaranteeing firm e Select the hyperlink for Name to be directed to Individual Details use the Extract hyperlink to extract all individuals listed or select Cancel Show All to return to the previous screen If the Individual name appears in the dro
4. This denotes when the original allocation was processed The account number to which the transactions were initially allocated is also required The account number entered here must be an exact match 25 Globex Registration The Globex Registration screen allows you to register Globex Operator IDs also known as Trader IDs or Tag 50 IDs as well as search edit and view details for previously registered IDs An Operator ID is required on all orders entered through CME Globex Registering an Operator ID is an important component in the calculation of fees for electronic activity Globex Registration has three sub menu options Search Select this option to view Operator IDs that are already registered This option enables you to work in Basic or Advanced Search After completing a search edit or copy functions can be completed or search results can be extracted Individuals Select this option to store information for individuals in lists that are unique to firm as well as to create edit or view Operator IDs for individuals ATS Teams Select this option to manage ATS Teams in lists that are unique to your firm as to create edit or view Operator IDs for ATS Teams your as well CME Group Exchange Fee System Home Page CBOT CSOT DOE CME CMEEL DE Transaction Viewer Afocaton Y Account Maintenance Y E Membership Information Y Reports v Y Adjustment v Administration v Search ka kimm El Individuais nd
5. and Execute reports to confirm and reconcile transaction fees charged Accessing EFS EFS authentication has transitioned to SMART Click which allows access to all SMART Click integrated systems to which the User has assigned privileges with one user ID and password To access the EFS application Open an internet browser and navigate to hitps efs cmegroup com Enter your CME Group SMART Click ID and Password Click Login Upon successful login the EFS Homepage appears Pe as lt 2 CME Group Exchange Fee System Use your CME Group SMART Click credentials to sign in By logging in you agree to the User License Agreement User ID Need to register Password forgot my password forgot my user ID Contact us More info 2015 CME Group Inc Version 2 8 14 Security Requirements To request access to the Exchange Fee System fax a completed System Access Request Form to the CME Group EASE Team at 312 930 3444 Form is available at http Avww cmegroup com clearing files onlineaccess paf Please allow 48 hours for processing EFS Homepage Once successfully logged in to the application the EFS Homepage will appear Tue June 12 2012 09 23 AM CDT Preferences Contact Us Report Packet Help Log Out gt CME Group Exchange Fee System Home Page CME CBOT CCE CME DME GREEN NYMEX COMEX A Transaction Viewer A Allocation W Account Maintenance v Membership Information Reports y Gl
6. 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 12 31 9999 999 CME TEST FIRM TEST 12354 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 Transaction Viewer A Allocation W Account Maintenance v Membership Information B Reports y Globex Registration W Adjustment y Recent Membership Updates Extract Members Extract Organizations Search Mode Firm Details y CME TEST FIRM Firm Details CME TEST FIRM RO E CME TEST FIRM ae CME TEST FIRM CME TEST FIRM 36 Adjustment The Adjustment screen allows you to add edit and view manual fee adjustment requests Manual fee adjustment requests are used only for scenarios that cannot be updated automatically within EFS Any adjustment that CAN be processed through EFS MUST be processed through EFS This section is for the exception cases only All adjustment requests are subject to the Adjustment Deadlines Banking Schedule posted on the EFS Homepage and can only be subm
7. Create Edit Adjustment screen enter the updated information Click the Update button To add an attachment click the Attach button AI DM 999 CME TEST FIRM 01 01 1898 12 31 9999 y Status Fee Type Quadrant REQUESTED x CLEARING FEE 265 INDEX INT Original Process Month Amount 04 2012 5 04 2012 ASSESSMENT 10000 00 Description Clearing Fee Adjustment for floor trades executed by discretionary lessee Y Clearing Fee Adjustment for floor trades executed by 2 discretionary lessee E Back to Details Update
8. 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 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 fF bo Create Main Account Tras x Show Expired O Single Exchange Mode Across Exchange Mode Main Account Details Select Action Account Type Effective Date Expiration Date Account Title CA FIRM 04 11 2012 12 31 9999 TRAINING Trading Accounts Page 10f1 4Rows Show All Extract Go To P 1 GO P L h10 E A Prev o To Page age Lengt Next E Check All a Trading Account Effective Date Expiration Date O TRA1 04 11 2012 E 12 31 9999 Delete Update TRAIA 04 11 2012 EE 12 31 9999 Delete Update E E TRA1B 04 11 2012 Es 12 31 9999 Delete Update r TRA1C 04 11 2012 E 12 31 9999 Delet Ypdate 10 Add Owners Controllers 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 to a Main Account 1 From the section labeled Account Ow
9. Summarized By Selection The Summarized By selection chooses how your data is sorted in the result set Summarized By Descriptions SELECTION DESCRIPTION Main Account Trade Summarizes data by Main Account and then by Trading Account Account Trading Account Summarizes data by Trading Account Trader ID Trade 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 Firm Selection Location amp Show Criteria The Firm list displays all of the Firms you are authorized to view 1 To select a Firm click on a Firm the Firm will then be highlighted 2 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 3 To deselect a Firm hold down the CTRL key on the keyboard and click to highlight all desired Firms The Location field is used to denote where the transaction took place ELC is for electronic trades transactions PIT is for any transaction that took place on the floor open outcry No selection defaults to both locations The default setting is for the Show Criteria box to be checked This displays a summary of all of the search criteria above the search results Uncheck the Show Criteria box to display the results only 18 Advanced Search In order to pe
10. amp CME Group Exchange Fee System Tutorial Training Guide June 2015 Contents o pasado esa CRS Ap AE Sn A tacseesete ets 4 ACCESS IMP EE das 5 A E nn A 5 EPS ON a PO ida 6 ACCOUNT Manten AAC it 7 Viewing a Registered Main Account ccccccssecccsececeseeceescccescecsuscecsneceeeeceeeneceeecesauucesseeceseuecetsneeesens 8 CS sn Dio Do o Da Siad 9 Add radio AC COUNTIES sio tt oi 10 Add Omners Con troERS tocino decidio 11 EOI ASUS ACCOUN S esse E E 12 Mass EXD PATIO Mirra ANS 14 Seas nada a o A Um en 15 Ue ao A A a eo e o a 16 BASIC SCANS vse 16 Date CICLO aida 17 Kale o SS CIEE OM IOMA PU Pe dd ENARE 17 Ud e OU o E 18 PN AINE SE ici hina 19 A A e E UE noz 20 MS A un E aa hdi Ena iai energia 20 OG MASS sacar A POR MRE DR RR OOO E E A 21 Recalcula ton Or OSS ii ebrio 22 A o ER RR UR QU PCR 22 VIEW ola nd go 6 ono ooo 23 AIOC o o Em a eggs no ned gnc E vag dares E E E E 24 Previously Allocated Trades csssccccsssscssssssesccusveccenssscneussseneousvectonessencuusscnecussectenssscneussseneoussestenssss 25 GIO DEK RO SIGE AU Nito atico ONE ita 26 vo o Na ce NM rebela 26 Membership System Mets sist litis 26 EI e y DRE RR RAR tens eaaececeraersasssdanseueeeaseane 27 PRU ICR HD SU SING aa ce sete teen NERD E RNPT DRE EEE AA RR RENTE RO 27 Registering an InaividuabOperator ID asas ds Ss aa al tenets 28 Aadne ATS Teams ss ss E SOS ii al a 28 creatine Teams alocada picada i 28 Adame ATS Team Mem
11. changed o The lists available for selection will vary based on the Exchange or Registration Type selected 6 Select Register to add information for the selected Exchange 7 To add additional Exchanges proceed to the next row submit the required information and select Register Registrations C inetd Expired Regis tations View Update Debte and Add Registrations CBT CBIPPARTICPANT cB001 8065 10 01 2014 12 21 9889 10 20 2014 Fe 1231 9988 ES 30 Reports The Reports Screen allows you to generate customize and retrieve a variety of reports for fees and fee discount programs The reports run in EFS will help reconcile to a Firm s CME Group monthly invoice When Reports is selected two sub menu options appear Request Select this option to request a report Viewing Select this option to view extract or delete a report There are many pre defined reports to choose from Some reports offer Advanced Search options which allow you to customize reports 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 Welcome Test ID A Test IDA CM E Group Exchange Fee System Report CM E Fri June 8 2012 09 21 AM CDT Reg uest Preferences Contact Us Report Packet Help Log Out CBOT CC
12. not traded for the past four months or more CM E G H P Welcome Test ID A Test ID A E roup Exchange Fee System Home Page CME Tue June 12 2012 09 23 AM CDT Preferences Contact Us Report Packet Help Log Out CB BOT CCE CME DME GREEN NYMEX COMEX Transaction Viewer Allocation W Account Maintenance Y Membership Information E Reports y Globex Registration Y Adjustment v Views Message of the Day ah Da EA Fee Schedule Last Updated Oct Search Schedule 2011 Banking Schedule Banking Schedule Mass Expire Contact Information Fee Inquiries Please contact the Fee Hotline at 312 648 5470 or CME Connect or User Security Inquires Please contact Firm Support at 312 930 3444 or firmsuppon Training For training contact Global Operations Education globaloperationseducation cmegroup com To register for training click here There are several available functions from the Account Maintenance View screen Create a New Main Account This function allows you to create register new Main Accounts which entails associating the underlying Trading Accounts and the Account Owners Controllers Edit Existing Main Accounts Trading Accounts Account Owners Account Controllers These functions allow you to modify the details for existing Main Accounts including the associated Trading Accounts and the Account Owners Controllers Account Maintenance Field Descriptions FIELD NAME DESCRIPTION Firm Firm that the Main Trad
13. E CME DME GREEN NYMEX COMEX A Transaction Viewer Q Allocation W Account Maintenance v E Membership Information 5 Reports Globex Registration y Y Adjustment y Report Type General Reports Reconcile Reports T Non Member Activity Non Trade Activity a Unregistered Activity Other l Across Exchange E Brokerage E Exchange Specific Fee Summary Trade Summary MV Process Date Month to Date Ed From 04 01 201 Trade Date Month to Date Ed From 04 01 201 Firm 399 CME TEST FIRM 01 01 1898 12 31 9999 Saved Search 31 Report Packet The Report Packet provides an overview of the report suite available to assist in fee reconciliation 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 reporis available as well as key items to note when using the various reports 2 4 1 HIA A Firm iquats Firrre Cmed F O Main Account Account Tithe Trading Account ED FUT ED ED Fur Report Types Foo Type CLEARING FEE E FUT CLEARING FEE GLOBEX FEE Done Account Summary HM Review total fees summarized by main account with a further breakdown by trading account Thes is the primary report to be used for overall fee reconciliation by account This report can also be used to isolate only CME BK Broker activity by changing the BK Broker selection criteri
14. Editing Action Descriptions ACTION DESCRIPTION View Details Allows you 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 You may also select View Details from the Trade Details level in order to view the associated Fee Details Change Account Allows you 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 Recalculate Allows you to submit transactions for recalculation Trades may be recalculated at the Transaction Summary level or at the Trade Details level Change Account Changing an account in EFS allows trades to be moved from one account to another To change an account number Select Change Account from the Select Action drop down list Click the check box es in the row s of the line item s to be changed Select the Continue button Enter the new Trading Account number 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 ARA The records have been updated TEST123 NEV 23 2 276 232 10 Transaction Summary Back to Summary 21 Recalculation of Fees In Transacti
15. S Teams An Automated Trading System ATS is a system that automates the generation and routing of orders to Globex ATS Teams are comprised of a Head Trader and at least one additional team member To register an ATS Team ID Select ATS Teams from the Globex Registration sub menu Creating Team Name Before registering an ATS Team ID the team must first be identified with the team name along with information for the Head Trader and other team members This list is unique to your firm and the ATS Team must be added only once To create an ATS Team 1 Select a Guaranteeing Firm from the list 2 Input the ATS Team name in the field ATS Team Name Contains 3 The system will suggest possible matches from the list of ATS Teams that already exist at the firm 28 Guaranteeing Firm E A ATS Teams rao LU incide Expred ATS Tears An ATS Team must be created under the qua anteeing frmonh once and w illthen be avaiable in the ATS Teamletfor any future updates Enter the ATS Teamnarre below in arder toseect fromthe list of ATS teams that alresdy exbtatthe s elected guarantee ing firm or select Add New to creste a new ATS Team w Show All e The Show All hyperlink may be used to display all ATS Teams in the list at the selected guaranteeing firm e Select the hyperlink for Name to be redirected to the ATS Team Details Page for that ATS Team Select the hyperlink for Head Trader to be redirected to the Individual Details for tha
16. Summary 11 73 Back to Summary Transaction Detail Trading Acct Trade Date Fill Firm Tran Type Name Underlying Product Trade Quantity F O Ind CBT Bus Code 04 10 2012 04 10 2012 999 999 ASSIGNMENT DA Trading Acct Trade Date Fill Firm Tran Type Name Underlying Product Trade Quantity F O Ind CBT Bus Code TO Back to Details Fee Detail CLEARING FEE E A SURCHARGE 0 25 23 Allocation The Allocation screen allows the allocation of non trade transactions 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 They must be manually allocated in the Exchange Fee System within the open billing period or they will be charged non Member rates You will need to define the Firm the trade month in which the transaction took place the product type of transaction and whether to allocate by Main Trading Account or solely by Trading Account Allocation Field Descriptions FIELD NAME DESCRIPTION This is equivalent to the Trading Member Firm or also known as the executing Firm You have authority to view specific Firms and should choose the appropriate Firm from their customized list From the drop down list select the specific product associated with the transaction to be allocated Allocations must be done one product at a tim
17. TEST FIRM 1 NYX 07 27 1995 12 31 9999 15 Transaction Viewer The Transaction Viewer screen provides the ability to search and view trades edit trades and edit Trader IDs as well as view non trade activity This screen offers both basic and Advanced Search options to access trade activity and drill down to view very specific fee details Using the information you can access in transaction viewer is essential in the fee reconciliation process Basic Search Basic Search criteria appears by default Two fields are required in order to complete a Basic Search Date and Firm Default fields will be used for Mode Summarized By and Location selections ca CMEG FOUP Exchange Fee System os CME io speed Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX Transaction Viewer Allocetion W Account Maintenance v E Membership Information Reports y Globex Registration Y Adjustment y V Process Date Mode Month to Date EA From 04 01 201 gt 104 10 201 View Trades Ed Trade Date Summarized By Month to Date v From 04 01 201 04 10 201 Main Acct Trd Acct Location ELC M Show Criteria A ER A P PIT CME TEST FIRM 01 01 1898 12 31 9999 Basic Search Field Descriptions FIELD NAME DESCRIPTION Firm o Represents the filling Firm executing Firm of the transaction The location in where the trade was executed Pit or Electronic The action to be ta
18. assig existing ATS team se th TS Team tecno Oe Es ABC TRADNG HEAD TRADER E A 122 TRADING TRADER v 10 01 2014 Registering an Individual Operator ID 1 Input the Operator ID maximum of 18 characters 2 Enter the Effective date which defaults to the current date The expiration date defaults to 12 31 9999 which reflects no expiration date 3 Click Add to continue Registered Operator IDs Cl Include Expired Operator IDs Click the link for an ex b ing registered operator ID in the list below to view or update that rege tration To edd a new oper stor id enter the ID n the blank feld below and click the Add button Individual notdrecth associated w ih any Operstor IDs 4 The screen will refresh to display Operator Details as read only text 5 Proceed to the Registrations section to complete the fields for each applicable Exchange e Select the Exchange Registration Type and Associated Entity o See the User Manual for a complete list of Registration Types o For Individuals who have been identified as Membership System Matches the Registration Type may be pre populated but can be changed O Me ee available for selection will vary based on the Exchange or Registration Type selected 6 Select Register to add information for the selected Exchange a 7 To add additional Exchanges proceed to the next row submit the required information and select Register 14 10 20 2014 7 1231 9989 Pa Adding AT
19. be S ia ati 29 Registering an ATS Team Operator Deiren E ANO NANN 29 A 31 REDON PACKE triada dios ias ati 32 Repo IV 32 NN 33 RENO VICW ING air a aa 33 VOW REDOT asientan o tania 34 View Report Criteria a TO 34 EXLTACUREDOR ereire E A A E NEEE NE O 34 Membership IN OLMAN sins A ad Sra 35 Serch Modena aia 35 Searc A RESUMS dera 36 Recent Membership UOC ALCS ja e O Ea DES at 36 NOUS EMEA aE a 37 Creatine am Aa Juste ali E AAO 37 Searching for Fee Adjustments onanism a a a nocilla duo dE Saad ada subds 38 oli aie Se LE sad 9 aco paia o e eee eRe 38 Introduction The Exchange Fee System EFS tutorial is approximately 100 minutes in length It contains eight different sections and is best viewed using the audio feature throughout the tutorial 1 Introduction Account Maintenance Transaction Viewer Allocation Globex Registration Reporis Membership Information eNOS w Adjustment FP A Exchange Fee System a CME Group wz Slide Title Navigation o What is EFS gt Access EFS Login Homepage 2 Summary Exchange Fee System Tutorial Global Operations Education April 2012 O Find 00 02 03 20 Minutes The Exchange Fee System is a fee application that is multi Exchange accessible Firms will be able to access each of CME Group s Exchanges from the same access point EFS enables Clearing Firm fee administrators to Search view and edit transactions Maintain account and electronic Trader ID information
20. by the following criteria Search by Main Account default or Search by Trading Account or Search by Account Owner To execute a search 1 Select the Exchange s to search From the Firms list select the Firm s to search The Firm list will default to ALL Firms to which you have security access To select multiple Firms hold the Ctrl key and click on each Firm name 3 After selecting the Firm s click the Add button 4 Click the Submit button The search criteria results will display the Firm s and Exchange s selected Click the Extract Account Details button below the Search Criteria section to extract the information Welcome Test ID A Test ID A S CM E Grou p Exchange Fee System Account C M E Mon April 30 2012 01 54 PM CDT Search Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NY MEX COMEX A Transaction Viewer A Allocation W Account Maintenance v E Membership Information amp Reports v Globex Registration v Y Adjustment v Account Search Directions Step 1 Select the exchange s you would like to filter your firm list by Step 2 Select the firms for which you would like to bring back accounts for Search Accounts Across Exchange Select Firms Exchange All E Firms Selected Firms CME TEST FIRM CBT 11 16 2007 12 31 9999 CCE TEST FIRM 1 CCE 04 01 2011 12 31 9999 Add All CME TEST FIRM CME 01 01 1898 12 31 9999 NYMEX TEST FIRM GEX 10 09 2010 12 31 9999 NYMEX
21. ces Contact Us Report Packet Help Log Out GREEN NY MEX COMEX CBOT CCE CME DME E Reports y Globex Registration y Y Adjustment y A Transaction Viewer Q Allocation W Account Maintenance E Membership Information Report Type General Reports l Across Exchange Reconcile Reports l Non Member Activity l Non Trade Activity O Unregistered Activity l Other O Brokerage On Exchange Specific l Fee Summary Fee Type Summary M Process Date Month to Date Eq From 04 01 2012 Ea To 04 10 2012 T Trade Date Month to Date gt From 04 01 2012 Ea To 04 10 2012 Firm 999 CME TEST FIRM 01 01 1898 12 31 9999 Report Viewing To access a submitted report 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 Today s Reports Show All Reports View Report E Report Status Requested By EA Report Type Report Name Time Requested No data FOOOTSTA CME Non Trade Activity Allocated Non Trades Fri Jun 08 09 26 53 CDT 2012 Fri Jun 08 09 24 35 CDT 2012 Fri Jun 08 09 27 04 CDT 2012 Ready FOOOTSTA CME 999 Fee Summary Fee Type Summary Ready FOOOTSTA CME 999 Fee Summary Commodity Fee Summary Ready FOOOTSTA CME Fee Summary Fee Type Summary Fri Jun 08 09 29 09 CDT 2012 Report Status gt Requested By AAA Report Type Report Name Time Requested 33 View Report After selecting the line
22. 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 e Enter a title in the Account Title field f Select the check box if this is an Omnibus account g Select the check box if a Non Member jointly owns the account 4 After completing each field select the Submit button to create the Main Account details 5 lt is important to note there can only be one active instance of each Main Account and Trading Account per Firm at each Exchange Also performing the preceding steps only created the main and Trading Account records You must also add the respective Account Owners and Controllers for the account to be eligible to receive reduced rates 2 CME Group Exchange Fee System account OnE Men ira AZ ZZE T Maintenance Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX 4 Transaction Viewer Allocation W Account Maintenance Membership Information Reports v Globex Registration v Y Adjustment y The following account was successfully created TRA1 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
23. dition Value Firm Equals 999 41 Apr 2012 0 Apr Process Date Between idas aco iab ES Internet Extract Report To extract a report from the Report Viewer 1 Select Extract Report from the action drop down list 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 4 If you select SAVE a Save As box will appear 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 34 Membership Information The Membership Information screen displays Membership information for individual Members Member Frms and incentive or corporate Membership programs This screen displays the Membership status in each of the Membership divisions the Effective and Expiration Dates associated with each change in Membership status and all the Main Accounts for which the selected entity or individual is registered as the Account Owner with the associated dates Recent Membership Updates Extract Members Extract Organizations Search Mode Firm Details y Firm Details CME TEST FIRM Search Mode The first step is to select a search mode You can search on all types by choosing the All selection or
24. e 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 You 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 You are able to allocate transactions for the current month and the prior two months This feature allows you to allocate by the Main Account or Main Trading Account It is strongly encouraged by the CME Group Auditors to do allocations by Main Account and Trading Account as this information is required in reviewing allocations during fee audit examinations The Trading Account feature allows you to enter the respective Trading Account without restricting you to what has been registered within the EFS application Transaction Allocations can only be completed for one transaction type at a time Type Transaction types include Exercise Delivery Assignment Expired Options Cash Settlement and Future from Assignment or Exercise Not all transaction types are available for allocation for every Exchange Reference the User Manual to verify transaction types which are eligible for allocation by Exchange After completing the applicable search fields select the Get Quantity button Depending on the Mode selected transactions may be allocated by Main Account and or Trading Account Each mode will display the Current Transaction
25. e by selecting the Exchange then the function to be performed Homepage Information The CME Group fee team utilizes this screen to communicate important messages Information on this page is subject to change but will display items such as the Fee Schedule Banking Schedule Contact Information System Availability Glossary of Terms etc Help Click on the Help link in the top right corner of any EFS screen to be directed to the EFS User Manual If further assistance is needed please call the EFS Hotline at 312 648 5470 or email EFSAdmin cmegroup com 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 the CME Group website www cmegroup com Select the Exchange Fee System logo at the top of any page to be redirected to the homepage of that Exchange Account Maintenance The Account Maintenance screen allows you to add edit move and view accounts within the Fee System It is important to note if an account is not properly registered within EFS non Member rates will apply by default Therefore it is important to ensure that accounts are registered timely and accurately The Account Maintenance menu tab has three sub options View Create a new account or to view or update an existing account Search Search and view accounts across Exchanges Mass Expire Expire multiple accounts at once at the Main Account level when the accounts have
26. g for Fee Adjustments To complete a search for an adjustment Select Search from the Adjustment sub menu Select the Firm Select the Original Process Month MM YYYY Select the Payment Month YYYY MM optional Select the Status optional Click the Search button Select the Adjustment Summary line item to view the details of that adjustment E OS lt 2 CME Group Exchange Fee System Search CME i as fg som Adjustment Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NYMEX COMEX Transaction Viewer Q Allocation W Account Maintenance v E Membership Information B Reports y f Globex Registration v Y Adjustment y Firm 999 CME TEST FIRM 01 02 1838 12 31 9999 Original Process Month Payment Month Status 04 2012 5 04 2012 select y Select E EN Adjustment Summary Page 10f1 2Rows Show All Extract To Page 1 P h10 E Prev Go To Page age Lengt Next E 4 MET Rebate Assessment Total Amount Original Process Month Payment Month Status 999 ASSESSMENT 10000 00 04 2012 REQUESTED REBATE 5100 00 04 2012 REQUESTED 999 Bill Firm Rebate Assessment gt Total Amount gt Original Process Month gt Payment Month gt Status Editing an Adjustment To edit an adjustment Click the line item to edit Select Edit from the Select Action drop down list Click the line item to edit in the Adjustment Detail section Upon being directed to the
27. hyperlink in the Actions column for that row 4 Select OK to continue in the pop up message box or select Cancel Trading Accounts and their Effective and Expiration Dates can be updated individually or as a group Designate individual Trading Accounts to be udpated by selecting the box in front of each account The check all box will select or deselect all accounts currently displayed on the page Use the arrow buttons to navigate additional pages of results or use the show all link to display every Trading Account related to this Main Account To update Account Controller s Effective and or Expiration Dates 1 Identify the appropriate row containing the Controller to be updated 2 Modify the Effective Date or Expiration Date as necessary 3 Select the Update hyperlink in the Actions column 4 Select OK in the pop up message box or select Cancel To copy Account Owners 1 Select Copy Owner s from the drop down list above the Actions column 2 Select the registered Main Account from the drop down list to copy the Owner s to 3 After selecting an account click Copy To copy Account Controllers 1 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 2 Select the registered Main Account from the drop down list to which the Controller s will be copied 3 After selecting an account click Copy 13 Mass Expirati
28. ing Account MTG10 Create Main Account E T Show Expired Single Exchange Mode Across Exchange Mode Main Account Details Expire Main Account Account Type Effective Date Expiration Date Account Title om MTG10 FIRM 12 12 2003 12 31 9999 MORTGAGE TRADING amp HEDGE 10 Expire Main Account Expiration Date 04 15 2012 Es Submit Trading Accounts Page 10f1 1Row Show All Extract To Page 1 P h10 co Go To Page GO age iii Next E Check All El Trading Account Effective Date Expiration Date O Actions ee MTG10 12 12 2003 Es Delete Update Add Trading Account s 12 To copy a Main Account 1 Select Copy Main Trading Account s 2 Modify available fields as needed 3 Click the Submit button The most common use of the Copy Main Trading Account s feature is when the Account Type is changing for an existing Main Account The Main Trading Account to be copied must be expired prior to executing the Copy Main Trading Account s functionality because two active instances of the same Main Trading Account s cannot exist To edit a Trading Account 1 Identify the appropriate row containing the Trading Account to be updated If multiple accounts need to be updated utilize the Mass Update fields in conjunction with the select account checkboxes to modify several accounts at the same time 2 Modify the Trading Account Number Effective Date and or Expiration Date 3 Click on the Update
29. ing Account clears under Main Account List Drop down list that is automatically pre populated with all the Main Accounts registered under the Firm selected Main Account ID Field that is automatically filled with the Main Account ID once you choose it from the Main Account List You may also choose the Firm and then type the Main Account number directly into the Main Account ID field Trading Account You may search for a registered Trading Account by entering a Trading Account number in this field and clicking Submit Viewing a Registered Main Account To access a registered account for a Firm you can scroll through the list of Main Account numbers or use the auto complete feature which suggests possible Main Account matches Corresponding details for the Main Account and subsequent Trading Accounts will be visible C M E Welcome Test ID A Test ID A Grou D Exchange Fee System Account CME Fri April 27 2012 03 19 PM CDT Maintenance Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NY MEX COMEX Transaction Viewer Q Allocation W Account Maintenance v Membership Information Reports y Globex Registration Y Adjustment v 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 o
30. item for the appropriate report a new window will open to display the report 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 To view a report in the Report Viewer 1 Select View Report from the action drop down list 2 Select the line item corresponding to the report to be viewed A report will not be viewable unless the Report Status is Ready or Reviewed View Report Criteria To view the criteria entered for a report in the Report Viewer 1 Select View Report Criteria from the action drop down list 2 Select the line item corresponding to the report to view the criteria The Report Criteria window will display the criteria submitted for that report 3 Close the Report Criteria window by selecting the Exit button or the close icon Today s Reports Show All Reports Vie Report Status Requested By EA Report Type Report Name Time Requested No data FOOOTSTA CME Non Trade Activity Allocated Non Trades Fri Jun 08 09 26 53 CDT 2012 Ready FOOOTSTA CME Fee Summary Fee Type Summary Fri Jun 08 09 24 35 CDT 2012 Ready FOOOTSTA CME Fee Summary Fee Type Summary Fri Jun 08 09 27 04 CDT 2012 Reviewed FOOOTSTA e ee Summary Fri Jun 08 09 29 09 CDT 2012 Report Status Requested By i 5 a Time Requested comnmectcert E DFs Danalnfo rgceers Search Ee Con
31. itted for the open adjustment period You are 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 Creating an Adjustment To create an adjustment Select Create from the Adjustment sub menu Select the Firm Status will default to Requested Select the Fee Type Select the product Quadrant 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 9 To add an attachment click Save Attach OS IS eo lt 2 CME Group Exchange Fee System Create Edit CME dei SAE e pratt Preferences Contact Us Report Packet Help Log Out Adjustment CBOT CCE CME DME GREEN NY MEX COMEX Transaction Viewer Allocation W Account Maintenance v E Membership Information B Reports y Globex Registration Y Adjustment v Firm 999 CME TEST FIRM 01 01 1898 12 31 9999 Status Fee Type Quadrant REQUESTED Y 106D BROKERAGE AGS CURR INT Original Process Month Amount 04 2012 y 04 2012 REBATE 5000 00 Description Brokerage Charges Reversed 37 Searchin
32. ken e g Edit Trader ID Edit Trades View Non Trades View Trades 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 16 Date Selection A date selection is required to execute a search You may choose Process Date or Trade Date individually or select both Date Selection Filter Descriptions SELECTION DESCRIPTION the current month and the end date to the prior trading day ee trading day Between days of the previous month prior to the current month months prior to the current month Mode Selection The Mode selected identifies the action to be taken and determines whether you will be able to edit or view information Mode Selection Descriptions SELECTION DESCRIPTION View Trades Allows you to view all transactions as read only Edit Trades Allows you to view and submit trades for recalculation or to change Trading Accounts Edit Trader ID Allows you to view transactions by a specific Trader ID and change the Trader ID for both pit and electronic trades In this mode you can only summarize the data by Trader ID or by Trader ID Trade Account View Non Trades Allows you to view all non trade activity such as Exercises Assignments Deliveries Expirations Cash Settlements and Futures from Exercise Assignment 17
33. lly expired NOTE Expiring Accounts will NOT trigger automatic recalculations for the Main Account expired for the open adjustment period current plus two prior billing months The expiration date applied to the Main Account will be the prior business day Firm 01 01 1898 12 31 9999 gt Main Account Inactive Main Accounts Page 1 of 243 2423 Rows Show All Extract Go To Page 1 Page Length 10 SET Diay g EI 9 g E Next 12345678910 TEST 1234 FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123B FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123 FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123D FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123E FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 WES slp FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 1236 FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123H FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 TEST 123 FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 LH OPO OPO Oy 0 0 TEST 123 J FIRM NO RECORD OF ACTIVITY AS OF 4 1 2010 14 Search The Account Maintenance Search screen is a read only screen that allows all accounts regardless of Exchange and the respective details to be viewed in one centralized place It is useful when searching and viewing Accounts across all three Exchanges Searches can be executed by One or More Main Accounts or Single Trading Accounts or One or More Account Owners Searches within selected Exchange s Firm s can be further refined
34. ners select Add from the drop down list above the Actions column Select the Account Owner Select an Exchange CME and CBT Only Select the Firm Type Member or Incentive Program category Enter the Effective and Expiration Date of the Account Owner Dates must be equal to or between the Main Account s date range 6 Select the Add button GA IN 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 To add a Controller to a Main Account 1 From the section labeled Controllers select Add from the drop down list above the Actions column 2 Enter the Effective and Expiration Date of the Account Controller Dates must be equal to or between the Main Account date range 3 Select the Add button Account Owners Firm View y FIRM ABC 04 11 2012 EN 12 31 9999 5 Delete Update View Membership Controllers No records found matching the search criteria Name Ea 04 11 2012 12 31 9999 Es Symbol JOHN DOE h 11 Edit Existing Accounts Within the Account Maintenance View Screen you can use the edit mode to modify the details for existing Main Accounts associated Trading Accounts and the Owners and Controllers Edit allows you to change each field in a registered Main Account except for Account Type Individual Trading Accounts can be edited or mass
35. obex Registration Y Adjustment y Message of the Day Fee Schedule Last Updated October 17 2011 Fee Schedule 2011 Banking Schedule Banking Schedule Contact Information Fee Inquiries Please contact the Fee Hotline at 312 648 5470 or efsadmin cmegroup com CME Connect or User Security Inquires Please contact Firm Support at 312 930 3444 or firmsupport cmegroup com Training For training contact Global Operations Education globaloperationseducation cmegroup com or 312 432 3586 To register for training click here System Availability Business Days 4 00am to 7 00pm Commodity Code Listing Commodity Code Listing PDF Commodity Code Listing XLS Fee Policy Bulletin CDS Fee Schedule Clearing Fee Policy CDS Fee Schedule Last Updated January 1 2011 CDS Fee Schedule Clearing Fee Policy Update Allocation Import Instructions Allocation Import Instructions Manual Fee Adjustment Template Adjustment Template Excel Allocation Import Template Allocation Import Template Manual Fee Adjustment Instructions Adjustment Template Instructions PDF Non Member Account Move Template Non Member Account Move Template Excel Operator ID Registration Form Operator ID Registration Form 2010 CME Group Inc EFS Homepage Features Multi Exchange Accessible Firms will be able to access CBOT CCE CME CMEEL DME and or NYMEX COMEX However EFS will only display Exchanges based on your security access Navigat
36. on The Mass Expire screen allows you to expire multiple accounts at once at the Main Account Level Main Accounis 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 and will identify the most recent Trade Date for which any of the underlying registered Trading Accounts had trading activity Therefore it is helfpul in identifying groups of inactive accounts you may want to expire in EFS To Mass Expire inactive accounts 1 Within the Mass Expire screen select a Firm 2 If desired filter the results by Main Account 3 Click Submit The Inactive Main Accounts window will display 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 5 After selecting the account s to expire click the Submit button 6 To confirm the expire request click the Continue button i Welcome Test ID A Test DA CME Group Exchange Fee System Mass Expire CME Fri May 4 2012 10 25 AM CDT Inactive Preferences Contact Us Report Packet Help Log Out Accounts CBOT CCE CME DME GREEN NYMEXICOMEX Transaction Viewer Allocation W Account Maintenance Membership Information Reports v Globex Registration v Y Adjustment y Selected accounts have been successfu
37. on Viewer you can submit transactions for recalculation 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 To submit an item for Recalculation 1 Select Recalculate from the Select Action drop down list 2 Click the check box es in the row s of the line item s to be changed 3 Select the Continue button A message window will appear asking for confirmation to recalculate the trades 4 Click OK to confirm or Cancel 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 19 Transaction s have been submitted for Recalculation Transaction Summary 19 USD hd TEST123 TEST123 999 2 276 232 10 Back to Summary Edit Trader ID In Transaction Viewer you can update the Trader ID associated with a trade 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 lt may be necessary to update the Trader ID if it has been determined that a Trader ID has been passed through incorrectly for a transaction To submit an item for Recalculation Choose Edit Trader ID from the Mode drop down list Choose a Firm and define other applicable criteria Click the S
38. on to Yes Otherwise this selection will default to No and the report will include all activity based on the other criterion selected CME Account Summary Process Dete Betmeen O4 O1 2017 and 04 18 2011 Foe Incentivo ind App Fee ind Owner s e Currency USD 30 192 126 304 0 070 2 113 44 11 372 76 Nore E None 0090 et ete O 156 556 000 a Unknown Zone Fa gt 0 00 There are several pre defined reports to choose from the Report drop down list To limit the Report list you may select the Report Type that contains the type of report you want to execute The main Report Type categories are General Reports Reconcile Reports Report Type General Reports l Across Exchange l Brokerage Exchange Specific Fee Summary Trade Summary Reconcile Reports Non Member Activity Non Trade Activity L Unregistered Activity Other 32 Request a Report To request a report 1 Select the checkbox next to the desired Report Type filter When a Report Type filter is selected the report drop down list will immediately update to reflect only the reporis within that Report Type 2 Choose the report name from the report drop down list 3 Select the Process and or Trade Date 4 Click the Submit button to request the report Welcome Test ID A Test ID A lt 2 CME Group Exchange Fee System Report CME Fri June 8 2012 09 21 AM CDT Request Preferen
39. p down highlight that name and choose Select The screen will refresh to display the Individual Details and you can continue the process of registering an ID 5 If no match is found select Add New to associate a new individual with your firm 4 Membership System Matches Based on your entry the screen will display potential Membership System Matches for individuals that already exist in the CME Membership System Members CME and CBT Clerk for Members and NYMEX Power of Attorney 26 e lf there is a match click Add to associate the individual with your firm list and proceed to register an Operator ID for this individual e Use View Details to view member details for the selected individual e I no match exists proceed to Manual Entry Membership System Matches F ndividusl 6 inthe let cick the Add button next to the comes ponding row Then you w ill be abe to enter operator IDs and or ATS Teameass ignments for the individual TRADER JAMES G jare gtraden itsder com View Detsils TRADER SCOTT E USA s cote fade trade com WA WA View Details MUA Manual Entry If individual is not listed in Membership System Matches personal information should be entered in the Manual Entry section Required Fields are marked by an asterisk When manual entry is complete click Add to continue and proceed to register an Operator ID for this individual Manual Entry F individual E mot in the above let you cans pecify he details below Ae
40. rform 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 top of the page above the advanced fields M Process Date Month to Date Ea From 04 01 2012 104 10 2012 View Trades EA Trade Date Summarized By Month to Date Ed From 04 01 2012 04 10 2012 Main Acct Trd Acct Iv Show Criteria 01 01 1898 12 31 9999 Quadrant Currency E USD 16E EUR USD 1MO REALIZED VOL FUT 12 AUSTRALIAN DOLLAR 1B BRITISH POUND 1C CANADIAN DOLLAR Trading Account Broker Operator ID Order Number any y any El Fee Type Applied Fee Indicator 106D BROKERAGE B CBOE MEMBER 106F BROKERAGE BP FX BANK CLEARING FEE C NON MEMBER E A SURCHARGE E EQUITY EFP SURCHARGE F 106F EMPLOYEE 2010 CME Group Inc Advanced Search Operator Descriptions Several of the Advanced Transaction Viewer fields offer a drop down list with Operators or functions that allow you to sort or narrow the search criteria within that field OPERATOR DESCRIPTION Any Allows you to search for all items and is the default selection Begins With Allows you to enter the first few numbers and or letters of the desired search item s Contains Allows you to enter a string of numbers and or letters and search for all items that contain that string Allows you to enter the last few number and or letters of the desired search item s me Allows yo
41. rn the following information Firm Details Firm Name Membership Details Effective and Expiration Dates Account Owners Firm Name Main Account ID Effective and Expiration Dates 35 Search Results The search resulis 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 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 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 Firm Detai s Extract E E E 999 CME TEST FIRM E 02 08 2000 12 31 9999 Account Owners Page 1 of 278 2778 Rows Show All Extract Go To Page 1 Page Length 10 4 Prev Next 999 999 999 999 999 999 999 999 999 CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM CME TEST FIRM TEST 12345 TEST 12346 TEST 12347 TEST 12348 TEST 12349 TEST 12350 TEST 12351 TEST 12352 TEST 12353 05 04 2009 01 25 2006 02 25 2009 12 02 2008 12 02 2008 12 05 2007 05 30 2008 03 11 2008 12 05 2007 11 13 2007 12
42. s current unallocated transaction count and the Current Quantity current number of available contracts to be allocated at the top of the allocation form 24 To Allocate Transactions by Main Trading Account Select the Main Account number to which the transactions will be allocated Select the Trading Account to which the transactions will be allocated optional Enter the number of contracis to be allocated to that account in the Quantity field Click the Add button Click the Reallocate button Select OK in the confirmation window to complete the allocation oe MAS Be sure to verify the accuracy of all data prior to confirming the allocation You can only allocate a transaction once per day If a mistake is made you will have to wait until the next business day to correct the error Reallocation Main Account Trading Account Guantity E select Account Add mpor Bd Message from webpage xl Main Account T rading Account Quantity 2 Are you sure you want to reallocate SUB TEST123 SUB TEST123B Cancel l SUB TEST12 Total Reallocated Quantity Unallocated Quantity 0 Remove Clear Reallocate Previously Allocated Trades The Prev Alloc checkbox on the search form will allow you to correct update a previously allocated transaction Upon clicking the Previous Allocation checkbox two new entry fields will display You must choose the process month from the three preceding available months
43. s field is required as an audit trail of the underlying Account Owner whenever the Account Owner identified in the Clearing Member s equity Account Title system i e account statement does not exactly match the Account Owner registered in EFS Otherwise this field is optional for you to add a description for tracking purposes Omnibus This indicator is used to identify an omnibus account for audit purposes only Create a Main Account Account creation is done at the Main Account level also known as the grouping account or roll up account Any account number format may be used when creating the Main Account Trading Accounts that have the same Owner s and Controller s can be grouped together under a single Main Account Trading Account numbers registered must be an exact match to the account number passed through CME Group Clearing After creating the Main and Trading Accounts you can enter the Account Owner Controller association s once for the Main Account rather than several times for each individual Trading Account To create a new Main Account 1 Select the Firm under which the Main Account will clear 2 Select the Create Main Account button 3 Complete the Main Account Details a Enter the Main Account Number in the Main Account field b Select the Account Type from the drop down list c The Main Account s Effective Date will default to the current day and can be updated by selecting the calendar icon or entering a
44. search by categories Categories may differ by Exchange as shown below but the functionality is the same In some cases there is a secondary filter available to streamline the search process For example if you select Incentive Programs a secondary filter will be avallable with the various incentive program categories To search for Membership Information 1 Select a Search Mode from drop down menu 2 Where applicable choose a secondary search filter 3 Click the Submit button to retrieve the details Firm Details search results will return the following information Firm Details Firm Name Membership Status details vary by Exchange Effective and Expiration Dates Account Owners Firm Name Main Account ID Effective and Expiration Dates Member Details search results will return the following information 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 Account Owners Firm Name Main Account ID Effective and Expiration Dates Account Controllers Firm Name Main Account ID Effective and Expiration Dates Incentive Programs search results will return the following information Firm Details Firm Name Membership Details details vary by Exchange Effective and Expiration Dates Account Owners Firm Name Main Account ID Effective and Expiration Dates Corporate Membership search results will retu
45. ship Information B Reports v 3 Globex Registration y Y Adjustment y Show Search Criteria Transaction Summary TEST 123 TEST 123 1 000 550 00 Back to Summary Transaction Detail Page 10f2 17 Rows Show All Extract Show Fee Details Go To Page 1 P L h1o SET ee Pesto JEM a Trading Acct Trade Date Ea Tran Type Name Underlying Product Trade Quantity FIO Ind E TEST 123 TEST 123 04 10 2012 04 10 2012 999 GBX TRD TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES 15 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES NIA 25 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 25 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 25 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 25 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 30 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 35 OPT TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 50 OPT mim mim mm am ase TEST 123 TEST 123 04 10 2012 04 10 2012 999 999 GBX TRD ES N A 50 OPT e o e TEE E I 4 Y 20 Edit Trades The Edit Trades Mode provides the ability to view adjust and submit transactions for recalculation This mode is useful for changing the Trading Account when a transaction has cleared with an incorrect account number Account changes and fee recalculations can occur at the Transaction Summary and Transaction Details levels
46. sse note that manually entered indwidusb cannot be regs tered as members EC EC CI a A A lt Individual Details The Individual Details page displays information for the electronic trader e For Membership System Matches personal information is taken from the CME Group membership system and cannot be edited e Registered Operator IDs and Assigned ATS Teams with which this individual is associated will be displayed When no IDs or ATS Teams are currently associated with this trader the screen will display Individual is not directly associated with any Operator IDS or ATS Teams e To view Expired Operator IDs or Expired ATS Team assignments check the corresponding box to include expired information Individual Details CS CT Cr da E Find in Membership Registered Operator IDs O Include Expired Operator IDs Click the Ink for an exb ting regstered operator ID in the lst below to view or update that rege taton To add a new operator id enter the ID in the blank feld below and cick the Add button TIRADER 10 01 2014 EM 1231 0009 EX TTRADER 10 01 2014 Fe 12 31 9999 ES 27 STeams include Expired ATS TeamAss gnments ex ting ATS team as signment in the list below to view or update the team detsib To add a new eam as o e tesmfromthe list compete the additional required fields and then click the Ass gn button If the teams not in the l t go to the ATS Teams menu option to creste the team St
47. t ATS Teams Head Trader Use the Extract hyperlink to extract all ATS Teams listed or select Cancel Show All to return to the previous screen 4 Ifthe ATS Team name appears in the drop down highlight that name and choose Select The screen a o to display the ATS Team Details and you can continue the process of registering an ATS eam ID 5 If no match is found select Add New to associate a new ATS Team with your firm Adding ATS Team Members After adding a new ATS Team name the screen will refresh to the Add ATS Team page with the ATS Team name pre populated 1 Enter the effective date which defaults to the current date The expiration date defaults to 12 31 9999 which reflects no expiration date 2 Inthe New Team Members section enter information for the team members e Ateam must have at least two members with one designated as the Head Trader e Starting with the Head Trader input the first and or last name in the field Individual Name Contains You will not be required to enter a role for the Head Trader e Select Add Another Team Member to create additional rows or select Add Team when the team is complete e lfateam member s name does not appear in the dropdown go to the Individuals menu to create the Individual Add ATS Team Enter the team detaik and team membe nformation below and then click the Add Team button New ATS Team Details AT Team Name Effective Date Expiration Date XYZ Trading 10 01 2014 Le 231 9099 Le
48. u to enter the exact search item Equals may also be used to enter multiple accounts so that it works as an is in option 19 Saved Search The Saved Search function provides the ability to save and load frequently used Transaction Viewer and Report search parameters Reference the User Manual for additional information regarding Saved Search View Trades The View Trades Mode provides a read only overview of trades based on the search criteria entered The results can be viewed at a Summary or Detail level To view trades in Transaction Viewer Choose a Process and or Trade Date s Select View Trades from the Mode drop down menu Select a secondary sort from the Summarized By field If desired select a Firm Location to narrow the result set Select Show Criteria to display the search criteria entered Click theSubmit button DO O GO INE 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 third level where basic fee information can be identified for each transaction s CME Group Exchange Fee System Transaction CME Tia May 10 2012 00213 PM COT Viewer Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NY MEX COMEX Transaction Viewer Q Allocation W Account Maintenance Member
49. ubmit button Select the Change Trader ID option from the Select Action drop down menu Enter the New Trader ID Click the Continue button 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 PAPES SD The records have been updated Transaction Summary 999 19 USD Y JDOE 2 276 232 10 Back to Summary 22 View Non Trades The View Non Trades mode allows you to view allocated and unallocated Exercises Assignments and Deliveries plus other non trade activity such as Cash Settlements Futures from Exercise Futures from Assignments and Expirations It is important to note this is just a search mode to find non trade activity 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 Transaction Summary Search Results Page 10f1 1Row Show All Extract view Details ToP 1 G 10 co Go To Page Length Next E 11 73 Selecting one of the line items from the Transaction Summary screen will allow EFS to drill down on the associated non trade activity Transaction Details Selecting Reallocate from the Select Action drop down list will redirect to the Allocation screen with the fields pre populated based on the line item selected in the Transaction viewer Transaction
50. updates can be performed on many Trading Accounts It is very important to note that any modifications made within the Account Maintenance Screen will automatically resubmit the associated transactions for recalculation within the open adjustment period To expire a Main Account and all associated Trading Accounts and Owners Controllers 1 Select Expire Main Account from the action menu 2 Enter the Expiration Date 3 Click the Submit button A message box will ask for confirmation of the expiration of this account 4 Select OK to continue the expiration or select Cancel CME Group Exchange Fee System Account CME cm ley 3 AS ABC Maintenance Preferences Contact Us Report Packet Help Log Out CBOT CCE CME DME GREEN NY MEX COMEX Transaction Viewer Q Allocation W Account Maintenance v E Membership Information B Reports e Globex Registration v W Adjustment v 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 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 ID Trad
51. wner and controller modifications will be resubmitted for recalculation at the main account level MOTE 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 TEST 123 Create Main Account nt E Show Expired O Single Exchange Mode C Across Exchange Mode Main Account Details Select Action Account Type Effective Date Expiration Date Account Title cs TEST 123 FIRM 04 11 2012 12 31 9999 TRAINING Main Account Field Descriptions FIELD NAME DESCRIPTION Main Account This is the Main Account roll up account account alias or grouping account to which you wish to associate the Trading Account s Account Type selection determines the list available for the account Owner selection Firm Only Firm Entities may be the Account Owner Account Type Individual Only Individual Members may be the Account Owner Joint Two or more Individual Members may be listed as the Account Owner Non Member An account that is jointly owned by a Member and a Non Member can be a e under this account type Effective Date Date The date the Main Account became effective date the Main 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 Thi
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