Scheduled - Notice Date: May 14, 2021
To: Small Exchange Participants
Notice Number MN-2021-143
Subject: Trade Adjustments

The Small Exchange, Inc. promotes fair and orderly markets. In specific circumstances, including when trades occur at a price outside the Non-Reviewable range pursuant to Appendix A of the Rulebook, the Small Exchange may adjust the trade(s); provided such adjustments are to a price consistent with Exchange Rules.

Consistent with this approach, on May 14, 2021, between 8:58 AM CT and 8:59 AM CT, 2 trades in S30YK21 were executed at 24.68 and 24.48. These trades have been price adjusted to 23.85.

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Small Exchange Operations
ops@thesmallexchange.com
May 14, 12:48 CDT

Scheduled - Notice Date: May 13, 2021
To: Small Exchange Participants
Notice Number: REG-2021-142
Subject: SMFE 2021-006 - Product Certification for Small US Crude Oil Futures Contract

Effective May 17, 2021, and pending all relevant CFTC regulatory review periods, the Small Exchange, Inc. is self-certifying the initial listing of the Small US Crude Oil Futures Contract for trading on the Small Exchange.

Go here to view the full filing: https://smallexchange-com.cdn.prismic.io/smallexchange-com/c9e3dd64-8246-47ba-904a-0bd9c74c4885_SMFE+2021-006+Product+Certification+for+Small+US+Crude+Oil+Futures+Contract.pdf

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Small Exchange Operations
ops@thesmallexchange.com
May 13, 16:23 CDT

Scheduled - Notice Date: May 13, 2021
To: Small Exchange Participants
Notice Number: REG-2021-141
Subject: Amendment to the Small Exchange Market Maker Incentive Program

The Small Exchange, Inc. is amending its Market Maker Incentive Program for various eligible contracts. The Market Maker Incentive Program will be extended through August 31, 2021.

To view the full CFTC filing: https://smallexchange-com.cdn.prismic.io/smallexchange-com/472a8c4f-e7a1-4e0a-822d-a6253308e2e4_SMFE+2021-005+Amendment+to+the+Small+Exchange+Market+Maker+Incentive+Program.pdf

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Small Exchange Business Development
business@thesmallexchange.com
May 13, 16:23 CDT

Scheduled - Notice Date: April 29, 2021
To: Small Exchange Participants
Notice Number: REG-2021-140
Subject: Small Exchange Introducing Broker Incentive Program

The Small Exchange, Inc. is launching a new Introducing Broker Incentive Program for various eligible contracts. The Market Maker Incentive Program will become effective on May 17, 2021 and through August 17, 2021.

To view the full CFTC filing: https://smallexchange-com.cdn.prismic.io/smallexchange-com/844404be-e8f2-4d93-94c8-9ed4895b2bb3_SMFE+2021-004+Small+Exchange+Introducing+Broker+Incentive+Program.pdf

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Small Exchange Business Development
business@thesmallexchange.com
Apr 29, 15:59 CDT