EX Rule 4.09, as applicable.

Members and Member Firms shall be responsible for any fine or restitution issued to their employees
during their tenure, pursuant to this Rule; provided however that a hearing panel may waive such
responsibility if it determines that the Member or Member Firm did not have knowledge of the clerk's or
NYMEX ACCESS® Operator's employees conduct forming the basis of the violation, and that a
substantial injustice would result from imposing responsibility for a fine on the Member or Member Firm.

* * * *

Rule 9.27, Expiration and Current Delivery Month Position Limits or Position Accountability

(A) No person may own or control a net long position or a net short position in the expiration or current
delivery month (as defined in this Rule 9.27 for energy, metals and soft contracts respectively) in excess
of the levels set forth in Chapter 9, Appendix (A) below under 9.27 Expiration and Current Delivery
Month Position Limits or Position Accountability.

Note: Specific reference to contract aggregation requirements prescribed in Chapter 9, Appendix (A).

(B) The expiration position limits for energy contracts, for those contracts enumerated in Appendix (A),
Chapter 9 for which expiration month position limits are designated, are effective on the open of trading
of the last three trading days of the futures contract. The expiration position limits shall be calculated on a
net futures-equivalent basis.

(C) The expiration month position limits for the PJM and the Uranium contracts are effective on the
opening of trading on all business days when a contract month becomes the first nearby month (or spot
month) and continues on an intra-day basis thereafter until the conclusion of trading in the expiring
contract. The expiration month position limit shall be calculated on a net futures-equivalent basis for the
PJM contracts.

(D) The current delivery month position limits for physically-delivered metals contracts are effective on
the business day prior to the first notice day for any delivery month. No person shall maintain any
position which, when combined with the number of contracts for which a delivery notice has been
tendered or accepted during the delivery month, exceeds the maximum permissible current delivery
month position limit for such contract. The current delivery month position limits for COMEX
London Metals Futures contracts shall be effective as of the open of business on the first business
day of the expiring contract month.

(E) The current delivery month position limits for soft commodities shall be in effect as of the open of
trading on the last three trading days of the expiring contracts. Further, the current delivery month
position limit in Orange Juice shall be applied on a gross basis.
* * * *

Rule 9.27A Expiration Position Accountability Levels

(A) - (Needs brackets on both sides.) Any person who owns or controls positions in excess of the levels
cited in Chapter 9, Appendix (A) below, under heading 9.27A Expiration Position Accountability Levels,
shall be subject to the following provisions pursuant to position accountability levels:

(1) promptly supply to the Exchange such information as the Exchange may request pertaining to the
nature and size of the position, the trading strategy employed with respect to the position, and the hedging
requirements (if any), provided, however, that if the principal or controller fails to supply such
information as and when requested, the President or his designee may order the reduction of such
position;

(2) agrees, upon request by the President or his designee, not to increase the position owned or controlled
as of the time the request was received;

(3) agrees to comply with any limit prescribed by the President or his designee, and to decrease any open
position if directed upon review of the information cited in item 1 above.

(B) The Expiration Position Accountability Levels for energy contracts, for those contracts enumerated
in Appendix (A), Chapter 9 for which expiration accountability levels are designated, are effective on the
open of trading of the last three trading days of the Penultimate and Last Day cash settled futures
contracts. The expiration position accountability levels shall be calculated on a net futures-equivalent
basis. A NYMEX Light Sweet Crude Oil miNY Futures Contract shall be deemed equivalent to .50 of a
Crude Oil Financial Contract, a NYMEX Natural Gas miNY Futures Contract shall be deemed equivalent
to .25 of a Henry Hub Penultimate Financial Futures Contract, a NYMEX miNY Gasoline Futures
Contract shall be deemed equivalent to .50 of a Gasoline Financial Contract, and a NYMEX miNY
Heating Oil Futures Contract shall be deemed equivalent to .50 of a New York Harbor No. 2 Heating
Oil future Heating Oil Financial Futures Contract.