3968. Supervision of retail futures contract and futures contract options trading activity

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    1. The Dealer Member must review all futures contracts  and futures contract options trading to detect the following: 

      1. excessive day trading resulting in trading large numbers of contracts,

      2. trading while the account is under margined,

      3. trading beyond margin or credit limits,

      4. cumulative losses exceeding risk limits,

      5. position and exercise limits that have been exceeded,

      6. speculative trading in hedge accounts, and

      7. exposure to delivery through holding contracts into delivery month.

    3969. Reserved.

    There is no history log for this rule.

    There is no history log for this rule.