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James B. Kobak, Jr. Christopher K. Kiplok

Josiah S. Trager

Meaghan C. GraggHUGHES HUBBARD & REED LLP

One Battery Park PlazaNew York, New York 10004Telephone: (212) 837-6000

Facsimile: (212) 422-4726

Attorneys for James W. Giddens,Trustee for the SIPA Liquidation of MF Global Inc.

UNITED STATES BANKRUPTCY COURT

SOUTHERN DISTRICT OF NEW YORK

In re

MF GLOBAL INC.,

Debtor.

Case No. 11-2790 (MG) SIPA

OMNIBUS REPLY TO VARIOUS FORMAL AND INFORMAL LIMITED

OBJECTIONS TO TRUSTEE’S EXPEDITED APPLICATION TO ESTABLISH

PARALLEL CUSTOMER CLAIMS PROCESSES AND RELATED RELIEF

James W. Giddens (the “Trustee”), as Trustee for the liquidation of the business

of MF Global Inc. (“MFGI” or the “Debtor”) under the Securities Investor Protection Act of

1970, as amended (“SIPA”), 15 U.S.C. § 78aaa et seq., as and for his reply to the various formal

and informal limited objections (collectively, the “Limited Objections”) interposed to the

Trustee’s expedited application (the “Claims Application,” ECF 144) to establish parallel

customer claims processes and related relief, by and through his undersigned counsel,

respectfully states as follows:

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Preliminary Statement

1. The Trustee filed the Claims Application on an expedited basis for the

benefit of MFGI’s former customers in the hopes of commencing the claims procedure as soon

as possible. Several former customers of MFGI, some by their counsel, interposed Limited

Objections (either by filing formal motions or informally), which primarily seek clarity or

changes to specific aspects of the proposed claims procedure or the proposed claim form and

instructions for commodity futures customer claims. At the November 16, 2011 hearing on the

Claims Application, the Court directed counsel for the Trustee to meet and confer with counsel

for parties with specific objections to the Trustee’s Claims Application to address and, where

possible, seek to resolve, their Limited Objections. The next day, the Trustee’s counsel, along

with a representative of the Commodity Futures Trading Commission (“CFTC”), held a meet and

confer session with more than two dozen participants, who appeared either in person or

telephonically. In a very productive dialogue that lasted more than an hour and a half, the

participants voiced their concerns and suggestions. Counsel for the Trustee has reviewed the

eight formal objections, supplemental statements, and amended objections that were filed in

response to the Claims Application,1 and the 165 letters that have been received by the Court

(most of which do not address the Claims Application),2 as well as numerous additional informal

1. These consist of: (1) Opposition of Thomas A. Butler Jr. (ECF 246); (2) Limited Objection and Request for

Clarification of George Lichtenstein (ECF 249); (3) Objection of the Commodity Customer Coalition (ECF

251); (4) Limited Objection of Dearborn Capital (ECF 252); (5) Motion for an 80% Distribution of Dearborn

Capital (ECF 253); (6) Limited Objection of Certain MF Global Inc. Claimants (ECF 345); (7) SupplementalStatement of George Lichtenstein (ECF 351); and (8) Amended Objection of the Commodity Customer

Coalition (ECF 352).

2. As of November 17, 2011, the Court received 165 unique letters from individuals and institutions affected by

the MFGI liquidation. A chart listing all of these letters is attached hereto as Exhibit 2. None of the letters

directly addresses the specific claims processes proposed by the Trustee in the Claims Application. One

(Footnote continued on next page)




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Limited Objections that were received via email or phone through Friday afternoon on

November 18th, or in person at the courthouse following the November 16th hearing on the

Claims Application.

2. Many of the Limited Objections—both formal and informal—raise

common objections, suggestions and concerns. Accordingly, this omnibus Reply addresses the

Limited Objections by common category. Many of the objections, suggestions and concerns that

were raised have been constructive and helpful. In response to the Limited Objections, and in

order to clarify and improve the expedited claims process for the benefit of customers, the

Trustee has incorporated many of the suggestions and much of the feedback received and has

sought to address potential claimants’ concerns by amending the proposed forms (the “Proposed

Forms”) and proposed form of order (the “Proposed Order”) filed by the Trustee as Exhibits A

through G to the Claims Application. Attached hereto as Exhibit 4(A-G) are amended versions

of the following documents that were attached as Exhibits A through G to the Claims

Application:

Exhibit A — Notice of Commencement

(Footnote continued from previous page)

correspondent does assert that a claims process for segregated commodity futures customers is “unlawful.”

Another correspondent requests priority treatment for commodity futures accounts, proposing that the Trustee

pay all claims based on commodity accounts in full with available cash, then pay the remainder to securities

customers. The vast majority of the other letters request the immediate return or transfer of customer property.

Out of the 102 correspondents who wrote requesting the expedited return of their property, fifty-one demand

access to between seventy and ninety-four percent of their holdings, arguing that the Trustee need only retain

enough to cover what they believe to be the estimated shortfall. Eight correspondents objected to the Trustee’s

Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers (ECF193). Sixty-two correspondents wrote in support of designating a representative of former MFGI customers to a

creditors committee. One correspondent requests that the Court appoint a designated attorney to attend to

customer interests. Six correspondents asked the Court to open investigations into alleged failures and criminal

acts at the Chicago Mercantile Exchange (“CME”), the CFTC, and JPMorgan Chase. Eleven correspondents

demand either the resignation of the Trustee or that he forego remuneration at this time. Four correspondents

express concern that the claims of general creditors might supersede the claims of customers.




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Exhibit B — Securities Customer Claim Information (including ExplanatoryLetter to Customers, Explanatory Letter to Broker-Dealers,

Securities Customer Claim Form Instructions, Securities Customer

Claim Form)

Exhibit C — Commodity Futures Customer Claim Information (includingCommodity Futures Customer Claim Form Instruction Letter andCommodity Futures Customer Claim Form)

Exhibit D — General Creditor Claim Information (including Explanatory Letter

to General Creditors and General Creditor Claim Form)

Exhibit E — Form of Notice of Deficiency of Claim (one for each claim type)

Exhibit F — Form of Notice of Trustee’s Determination of Claim

Exhibit G — Proposed Order

Attached hereto as Exhibit 3 (A-G) is a redline comparison reflecting changes made from the

documents that were attached as Exhibits A through G to the Claims Application. A chart listing

each of the Limited Objections (both formal and informal), and showing the Trustee’s responses

and amendments to the Proposed Forms and Proposed Order is attached hereto as Exhibit 1.

3. As set forth more fully below in this omnibus Reply and in Exhibit 1

attached hereto, the Trustee has addressed and resolved the majority of the objections,

suggestions, concerns and feedback interposed by the Limited Objections (both formal and

informal) by amending the Proposed Forms and the Proposed Order. In the handful of instances

where a Limited Objection could not be addressed or resolved by amending the Proposed Forms

and the Proposed Order, the Trustee’s position is detailed below and in Exhibit 1 attached hereto.

4. Although several comments were made at the November 17th meet and

confer session about having sources of information available for claimants with questions about

completing and submitting securities customer claim forms, the Trustee notes that, generally

speaking, the proposed claims process for securities customers was not the subject of any

specific Limited Objection. Counsel for the Trustee is available and will, to the extent possible,






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352); Proposal from the Commodity Customer Coalition, submitted to Trustee’s counsel by

email dated Nov. 17, 2011.)

6. While many of these Limited Objections are not specific and simply

demand the return of customer cash or other property outside of a formal claims process, one of

the Limited Objections includes a detailed proposal, which would require that the Trustee send

former customers by email a statement of their account balance, and provide customers with five

days to object to the statement of account balance and respond with remittance preferences.

(See, e.g., Proposal from the Commodity Customer Coalition, submitted to Trustee’s counsel by

email dated Nov. 17, 2011.) This proposal reflects a fundamental misunderstanding of the

circumstances that the Trustee and MFGI’s former customers face as a result of the apparent

significant shortfall of customer property, and the relatively poor condition of MFGI’s books and

records at the time of its failure and the commencement of this liquidation proceeding. These

extraordinary circumstances notwithstanding, the Trustee has and continues to explore

alternative means to distribute or transfer customer property on a bulk basis for the benefit of

MFGI’s former customers outside of the proposed expedited customer claims processes. Even if

it were practicably feasible, which it is not, attempting to wholly circumvent the expedited

claims procedure would scarcely assure fair treatment or preserve due process rights of all

customers and runs counter to applicable statutes and regulations requiring that customers “shall”

file a written proof of claim and that the Trustee “must” or “shall” instruct customers to file a

proof of claim with specified information. See 15 U.S.C. § 78fff-2(a)(2); 11 U.S.C. § 342(a)(1);

17 C.F.R. § 190.02(b)(4) and (d).

7. The Trustee seeks approval of the parallel customer claims processes

proposed in the Claims Application, as reflected in the amended Proposed Forms and Proposed




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Order attached as Exhibit 4(A-G) hereto, without prejudice to additional alternative efforts to

return customer property. The Trustee already has returned significant amounts of customer

property to customers outside of the claims process. Within days of the commencement of

MFGI’s liquidation, approximately three million open commodity contracts of approximately

14,500 customers and sixty percent of the associated collateral at the CME and other DCOs were

transferred successfully to other transferee FCMs. A second bulk transfer for the benefit of up to

approximately 23,000 additional commodity futures customers holding only cash or cash

equivalents in their accounts as of the Filing Date was authorized by this Court on November 17,

2011. The bulk transfer of those funds is already underway. The Trustee continues to

investigate and explore all alternatives in consultation with the Securities Investor Protection

Corporation (“SIPC”) and the CFTC, and, if feasible, may request to be before this Court again

seeking authority to effect a further transfer or interim distribution to or for the benefit of

MFGI’s former customers.

8. Even as the Trustee’s professionals seek to reconcile MFGI’s books and

records and effectuate bulk transfers approved by the Court, and continue to explore the

practicality and feasibility of additional bulk transfers for which the Trustee may seek Court

approval, making final determinations on individual requests that circumvent a claims process

simply is not feasible or authorized under SIPA, the Bankruptcy Code, and the Part 190

Regulations. Even with partial interim distributions, which, to the extent legally and practicably

feasible, the Trustee fully intends to make, there must be final determinations of net equity

before final distributions are made.

Customer Priority

9. Several former MFGI customers or their representatives or counsel

contacted the Trustee to request that priority be given to determinations for particular groups of




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customers.5

(See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345);

Correspondence of Gary L. Lovelady (ECF 181).) Some requested that priority be given to

customers who have been given access to what they believe is a disproportionately small

percentage of their property through the bulk transfers that have been approved by the Court,

while others sought priority for the small number of customers who received nothing in the bulk

transfers. (See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345).) Still

others sought priority based on the claimed value of their accounts (both largest to smallest and

smallest to largest), while others suggested that the Trustee should allow claimants to check a

box if they believe their claim should be given priority for determination. (These comments and

suggestions were received by the Trustee during the November 17th meet and confer session, or

otherwise received informally.)

10. The Trustee understands the frustration, confusion and anger that MFGI’s

former customers undoubtedly feel at the circumstances that led to MFGI’s failure and to this

SIPA liquidation. The Trustee has amended the proposed commodity futures customer claim

form to include a series of questions that will quickly allow the Trustee’s professionals to

determine appropriate groupings for customers (including, for example, determining how much,

if any, of their property has been moved via a bulk transfer), to the extent that a “true-up” may be

relevant to the claims process. (See Exhibit 4(C) (clean) and Exhibit 3(C) (redline), attached

hereto.)

5. Uniformly, for each such request for priority for a particular group of customers, the proponent fell squarely

within that group or represented someone who did.




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11. Likewise, the Trustee also has received a request that priority be given to

commodity futures customers over securities customers because commodity futures customers

are not eligible for SIPC advances. (See, e.g., Objection of the Commodity Customer Coalition

(ECF 251); Correspondence of Gary L. Lovelady (ECF 181).)

12. The Trustee proposes to establish separate, parallel expedited claims

proceedings because the pools of customer property subject to pro rata distribution to

commodity futures customers are separate and distinct from the pools of customer property

subject to pro rata distribution to securities customers, assuming no home is found for securities

accounts. Neither of these processes will delay or run at the sacrifice of the other. Both will

proceed in parallel.

13. Several Limited Objections stated that customers should receive priority

over non-customer general creditors and stated that it is unnecessary to establish a general

creditor claims process. (See, e.g., Objection of the Commodity Customer Coalition (ECF 251);

Correspondence of Matt Evans, dated Nov. 15, 2011 (ECF 333); Correspondence of Annie

Rousslang, dated Nov. 14, 2011 (ECF 141).)

14. Under SIPA, the Commodity Broker Liquidation Provisions, and the Part

190 Regulations, MFGI’s former customers have priority over non-customer general creditors.

However, because SIPA imposes an absolute bar date for all claims of six months after the

publication of the Notice of Commencement, the Trustee must provide notice to non-customer

general creditors, and allow for the filing of general creditor claims contemporaneously with the

customer claims proceedings, although the Trustee has no obligation to review the claims of

general creditors unless he determines, after completing the processing of customer claims, that




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there will be a meaningful general estate distribution. 11 U.S.C. § 704(a)(5); 15 U.S.C. § 78fff-

1(b); see also 1 Collier on Bankruptcy ¶ 12.14[2] (16th ed. 2011).

Notice of Commencement Publication and

Mailing For Commodities Future Customers

15. The Trustee received a Limited Objection to the time frame proposed in

the Claims Application for the publication and mailing of the Notice of Commencement for

commodity futures customers, based on concerns that the claims process will take too long to get

underway. (See, e.g., Opposition of Thomas A. Butler Jr. (ECF 246); Motion for an 80%

Distribution of Dearborn Capital (ECF 253).)

16. The Trustee appreciates and agrees with the need to act promptly and

efficiently to institute the proposed expedited parallel customer claims processes. It was for that

reason that the Trustee’s Claims Application was filed on an expedited basis and the Trustee

moved for an emergency hearing. The time frame proposed in the Claims Application is the

shortest time frame feasible to allow for publication and mailing. A short extension of the

proposed time frame is necessitated by the adjournment and the briefing schedule on the Limited

Objections to the Claims Application. Accordingly, as reflected in the amended Notice of

Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), the

Trustee requests that this Court enter an order approving the form of notice of commencement

attached hereto as Exhibit 4(A) (the “Notice of Commencement”), and directing the Trustee to

publish such notice no later than December 2, 2011 in The New York Times, all editions; The

Wall Street Journal, all editions; The Financial Times, all editions; and The Chicago Tribune, all

editions. Further, the Trustee requests that this Court enter an order directing the mailing of the

amended Notice of Commencement not later than December 2, 2011 to persons who, as

identified from the Debtor’s books and records, may potentially assert claims as securities




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customers, commodity futures customers, or general creditors and finding that such mailing

complies with SIPA § 78fff-2(a)(i) and Bankruptcy Code § 765(a) and 17 C.F.R. § 190.02(b)(4).

In addition, the Trustee will promptly make claim forms and instructions available for download

on the Trustee’s website, www.mfglobaltrustee.com, to enable claimants to download and

submit completed claim forms promptly to the Trustee. The December 2, 2011 date for

publication of the amended Notice of Commencement and mailing of claim forms is the earliest

date practicable, and does not preclude the Trustee from accepting completed claim forms, once

approved by the Court, in advance of the publication and mailing date.

Bar Date for Commodity Futures Customers

17. The Trustee has received comments from former MFGI customers or their

representatives or counsel that the claims period for the filing of commodity futures customer

claims should be shortened in order to expedite the claims process. (See, e.g., Opposition of

Thomas A. Butler Jr. (ECF 246); Motion for an 80% Distribution of Dearborn Capital (ECF

253).)

18. Based on the proposed extended December 2, 2011 publication and

mailing date, and as reflected in the amended Notice of Commencement, Proposed Forms, and

Proposed Order, attached hereto as Exhibit 4(A-G), the Trustee requests that the bar date for the

claims of commodity futures customers be So Ordered as January 31, 2012.6

This proposed bar

6 Also based on the proposed extended December 2, 2011 publication and mailing date, and as reflected in theamended Notice of Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G),

the Trustee requests that (i) the bar date for the maximum possible protection for securities customer claims

under SIPA be So Ordered as January 31, 2012 and (ii) the bar date for all claims be So Ordered as June 2,

2012. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing

information occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered by

the Court will remain in full force and effect.




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date will allow claimants adequate time to complete and file their claims, and will streamline the

Trustee’s administration of the MFGI liquidation, insofar as it is parallel to the sixty-day SIPA-

mandated notice period for securities customers to be eligible for maximum possible protection

under SIPA. See 15 U.S.C. § 78fff-3(a)(3).

19. The Trustee will review and determine claims on a rolling basis, and fully

intends, to the extent legally and practicably possible, to make partial interim distributions of

customer property. A shortening of the claims period for commodity futures customers will not

necessarily speed the Trustee’s review and determination of claims, and is to the potential

prejudice of MFGI’s customers, who are entitled to a reasonable claims period during which they

may timely file their claims.

Trustee’s Determination and Satisfaction of Claims

20. Some former MFGI customers or their representatives or counsel

suggested that the Claims Application should establish deadlines by which the Trustee must

complete his determination of claims, and by which the Trustee must satisfy allowed claims or

reclassify disallowed customer claims as secured or unsecured general creditor claims. (See,

e.g., Objection of the Commodity Customer Coalition (ECF 251); Limited Objection of

Dearborn Capital (ECF 252); Opposition of Thomas A. Butler Jr. (ECF 246).)

21. The proposed claims procedures reflected in the amended Notice of

Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), will

allow the Trustee to act on a rolling basis and as swiftly as practicable in determining customer

claims and in making potential partial interim distributions, and, ultimately, final distributions on

allowed claims. Particularly in view of the Trustee’s ongoing investigation into the apparent

significant shortfall of commodity customer segregated funds (as well as the ongoing

investigations of several regulatory and government agencies), it is not feasible to establish






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Formal Claim Objection Procedures

24. Some of the Limited Objections propose that, upon receiving the Trustee’s

determination, customers should have the right to seek immediate redress in the Bankruptcy

Court by filing a motion instead of awaiting the Trustee’s commencement of a proceeding under

Rule 9014. (See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345); this

issue also was raised during the November 17th meet and confer session.) Other customers

seemed to express similar concern about a lack of time frame regarding the formal dispute

resolution. Moreover, some customers seemed to object to allowing the Trustee to resolve

customer disputes informally. (November 17th meet and confer session.)

25. To address these concerns, the Trustee proposes new procedures as

reflected in the amended Proposed Order, attached hereto as Exhibit 4(G). The Trustee is

committed to resolving any objections to claims determinations that may be filed as quickly as

possible, without the need for judicial intervention, and the amended Proposed Order attached

hereto as Exhibit 4 (G) has language directing all parties to cooperate to resolve disputes.

However, in the event that a formal adjudication is needed to resolve an objection to the

Trustee’s claim determination, the amended Proposed Order attached hereto as Exhibit 4(G)

provides for the following procedure:

a. Once a claimant has timely objected to the Trustee’s

determination, the Trustee, within 120 days of receiving a claimant’s notice of

opposition to the Trustee’s determination, is obligated to use best efforts to

request a status conference with the Court or to file a motion to uphold the

determination (without prejudice to stipulating to extensions of such deadlines or

informally resolving the objection).




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b. Should the Trustee fail to timely move for a status conference or to

uphold the determination, absent good cause shown, the claimant may move the

Court to set a date and time for a hearing on the dispute.

26. The new proposed formal claim objection procedures reflected in the

amended Proposed Order attached hereto as Exhibit 4(G) will provide claimants with a full and

fair opportunity to access the Court, while still providing the Trustee with a reasonable amount

of time to either settle the dispute without court intervention or to determine if there may be a

number of similarly situated claimants so that the Trustee may alert the Court at the initial

conference and the similarly situated claimants can be addressed uniformly. The Trustee

believes that allowing individual objectors unhampered rights to file motions and attendant

discovery without giving the Trustee an opportunity to informally resolve the dispute or discuss

orderly scheduling with the claimant would disrupt the Trustee’s orderly administration of the

MFGI liquidation and hinder the Trustee’s ability to carry out his duties to all customers.

27. Moreover, by assessing whether a claimant’s objection is based on a

determination that affects similarly situated customers (which is a likely scenario), the Trustee

serves an important gatekeeper function that serves the interest of the Court and the customers

and gives the Court an opportunity to resolve such overlapping issues on an omnibus basis. The

Trustee remains committed to resolving disputes informally and swiftly wherever possible.

Specifically Identifiable Property

28. Certain Limited Objections interposed by former MFGI customers or their

representatives or counsel noted that the Trustee already has sought information from customers

regarding instructions concerning cash, cash equivalents or other property that might potentially

be eligible for treatment as “specifically identifiable property,” as defined in the Part 190 Rules,

and expressed concern that it was not clear from the Claims Application and the Proposed Forms




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attached thereto what impact or interplay, if any, these separate procedures concerning

“specifically identifiable property” would have with respect to the proposed expedited

commodity futures customer claims process. (This issue was raised during the November 17th

meet and confer session by Sander L. Esserman, counsel for certain MF Global Inc. Claimants;

see also, e.g., Limited Objection and Request for Clarification of George Lichtenstein (ECF

249); Supplemental Statement of George Lichtenstein (ECF 351).)

29. In consideration of this feedback, the Trustee has revised the commodity

futures customer claim form and related instructions, as reflected in the amended Proposed

Forms attached hereto as Exhibit 4(C), to better identify and explain the interplay between the

claims process and the rights of commodity futures customers who timely filed notice regarding

what they believe to be eligible for treatment as “specifically identifiable property.” (See also

Exhibit 3(C) (redline), attached hereto.) The amended proposed commodity futures customer

claim form instructions (attached hereto as Exhibit 4 (C)), make clear that the Trustee is seeking

information about a customers’ entire relationship with MFGI, regardless of whether the

customer had margin (i.e., cash, cash equivalents, or other property), open trade equity, or cash,

cash equivalents, or other property that could potentially be deemed eligible for treatment as

“specifically identifiable property” in the customer’s account, or some combination thereof. (See

also Exhibit 3 (C) (redline), attached hereto.) The Trustee’s professionals have logged all of the

timely requests and instructions received from commodity futures customers who identified their

potential “specifically identifiable property,” and as soon as the Trustee’s professionals are able

to reconcile what “specifically identifiable property” was maintained by MFGI for its customers,

those customers will be notified directly about how they should proceed. That process is

separate from—and should not slow the initiation of—the expedited claims procedure, which is




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designed to determine and distribute what was customer property (regardless of whether it was

held as cash, cash equivalents, or “specifically identifiable property,” or otherwise) as quickly as

possible.

Commodity Futures Customer Claim Form

30. The Trustee received a number of helpful suggestions regarding the

content and form of the original proposed commodities futures customer claim form and

instructions (attached to the Claims Application as Exhibit C), that will achieve greater clarity

and simplicity, including the following:

Clarification as to whether account holders who traded domestic and

foreign futures in a single account should file separate claims forms for the

same account. (This suggestion was received by counsel for the Trustee

during the November 17th meet and confer session.)

Clarification of Item I in the original proposed claim form, which sought

an estimation or calculation of the total sum of MFGI’s indebtedness to

the claimant as of the close of business on October 31, 2011. (This

suggestion was received by counsel for the Trustee during the November

17th meet and confer session; see also, e.g., Suggestion of Shireen N.

Owlia, submitted to the Trustee’s counsel by email dated Nov. 16, 2011.)

Addition of a space on the claim form where a claimant could indicate

whether the claimant has previously filed notice with the Trustee

regarding what the claimant believes to be eligible for treatment as

“specifically identifiable property.” (This issue was raised during the




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November 17th meet and confer session by Sander L. Esserman, counsel

for certain MF Global Inc. Claimants.)

Clarification of the meaning of “net equity” and tracking language from

MFGI’s daily and monthly customer account statements. (This suggestion

was received by counsel for the Trustee during the November 17th meet

and confer session; see also, e.g., Recommendations of Cervino Capital

Management, submitted to the Trustee’s counsel by email dated Nov. 17,

2011.)

Addition of a mechanism in the claim form to allow the claimant to

summarize the activity in the claimant’s accounts, post-Filing Date. (This

suggestion was received by counsel for the Trustee during the November

17th meet and confer session.)

31. The amended proposed commodity futures customer claim form and

instructions (attached hereto as Exhibit 4 (C)) reflect revisions to the original proposed form and

instructions, which are intended to address all of the above concerns. (See also Exhibit 3 (C)

(redline), attached hereto.) Language in the instructions and on the claim form has been revised

for clarity, and questions on the claim form have been added, broken out, and simplified. For

example:

The amended claim form now allows claimants to indicate whether an

account includes domestic futures, options, or contracts, foreign futures,

options, or contracts, or a mixture, as well as a space to designate the

breakdown.




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The amended claim form no longer asks claimants the total amount of

MFGI’s indebtedness to the claimant on the Filing Date, but instead

requests the underlying information through a series of clearer questions.

The amended claim form instructions now specify that the Trustee seeks

information about all aspects of the claimant’s account, including potential

“specifically identifiable property,” even if the claimant has previously

notified the Trustee regarding what the claimant believes to be eligible for

treatment as “specifically identifiable property,” and the form asks

whether the claimant has previously notified the Trustee about property

that the claimant believes to be “specifically identifiable property” that is

associated with the claimant’s account.

The amended claim form better tracks the language of MFGI’s daily and

monthly customer account statements to clarify to what is meant by “net-

equity.”

In addition, the Trustee has taken the opportunity to revise the claim form

to break out questions regarding any activity in the account post-Filing

Date, whether or not initiated by the claimant, including new questions

designed to elicit information related to the bulk cash transfer recently

approved by the Court on November 17, 2011, and any other post-Filing

Date account activity.

Meeting with Customers and Creditors.

32. Some of the Limited Objections noted that while the meeting for the

customers and creditors is scheduled to take place before the proposed bar date for filing




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customer claims, the proposed date is not for several weeks. (See, e.g., Objection of the

Commodity Customer Coalition (ECF 251).)

33. While one avenue available to the Trustee to keep customers and creditors

informed is the formal meeting, the Trustee has, in addition, already availed himself of other

avenues, including establishing a designated call center for customer questions and maintaining

and updating a website, www.mfglobaltrustee.com, with timely information. The Trustee has

proposed January 12, 2012 for the formal meeting of customers and other creditors, which date

the Trustee believes takes into account the need to give notice to all concerned parties about the

meeting as well as to allow for scheduling a large meeting venue around the holiday season in

order to maximize the ability of interested parties to attend.

Additional Issues

34. There were additional comments received from or on behalf of MFGI’s

former customers that were styled as Limited Objections to the Claims Application, but in fact,

were not. Many of these have been addressed by the Trustee.7 For example, counsel for a

customer requested that a link to the CFTC’s Part 190 Rules be posted on the Trustee’s website,

and, after consideration, and the Trustee now has done so.

7. Still others could not be. For example, the Trustee received a comment that the current plan does not recognize

the need to fill any shortfall in the customer’s accounts through asset liquidation. (See, e.g., Amended

Objection of the Commodity Customer Coalition (ECF 352).) The Trustee will, of course, explore what

possibilities are legally and practicably available to him to marshal assets and pay customers and creditors as

the facts develop. The quantifying and resolution of the customer segregated funds shortfall is a task for the

weeks ahead and should not delay the inception of the expedited customer claims process.




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Conclusion

35. For the reasons set forth above, the Trustee respectfully requests that this

Court enter the amended proposed order attached hereto as Exhibit 4(G), and grant such other

and further relief as is just and proper.

Dated: New York, New York

November 21, 2011HUGHES HUBBARD & REED LLP

By: /s/ James B. Kobak, Jr.

James B. Kobak, Jr.Christopher K. Kiplok

Josiah S. Trager

Meaghan C. GraggOne Battery Park Plaza

New York, New York 10004

Telephone: (212) 837-6000Facsimile: (212) 422-4726

Email: [email protected]

Attorneys for James W. Giddens, Trustee forthe SIPA Liquidation of MF Global Inc.




61589569_1

Exhibit 1

11-02790-mg Doc 364 Filed 11/21/11 Entered 11/21/11 12:05:13 Main Pg 22 of 173

















Exhibit 1

8

Final Determinations on individual requeoutside of a formal claims process is notthe Bankruptcy Code, and the CFTC Par

11. Suggestion of David McCarthy

Objection Trustee’s Res The proposed order should have a provision for the trustee to

give a periodic status report, perhaps monthly, covering thingslike the claims received and determined, distributions made, thestatus of efforts to ascertain the extent to which customersegregated funds are missing, the trustee’s intentions and plansgoing forward.

The amended Proposed Order requires thwithin six months after the Notice of Comonths thereafter. (See Reply Ex. 3(G) version); Reply Ex. 4(G) (Proposed Orde(“ORDERED that the Trustee shall file h§ 78fff-1(c) within six months after pubCommencement, and shall file interim rethereafter.”) It is not an efficient use of such reports more frequently, but the Truupdate the website www.mfglobaltrustee

12. Suggestion of Shireen N. Owlia

Objection Trustee’s Res

Clarify the proposed question “How much was MF Globalindebted to you on the filing day?”

The Trustee replaced this question with (Claim Form, pp. 2-3) (clean version); R(redline version) (“A. MF Global Inc. wOctober 31, 2011, indebted to me for the$_____________________________.”)

13. Correspondence of Robert Vahouny


A claims process for segregated commodity customers is

unlawful.

Applicable regulations provide for a clai

customers file a written proof of claim.U.S.C. § 342(a)(1); 17 C.F.R. § 190.02(b




Exhibit 1

9

14. Correspondence of Gary L. Lovelady


Priority should be given to commodity investors over securitiesinvestors because commodities investors do not have the samerights to insurance under SIPA.

Parallel proceedings proposed are appropproperty for commodity futures customeseparate and distinct.

15. Correspondence from Multiple Individuals

(Vario


Customers should have immediate access to all or varyingpercentages of their property.

The Trustee has already transferred signproperty, and is continuing such efforts, transfers, and will continue to do so, to thappropriate, in a manner that is both exp

Final determinations on individual requeof a formal claims process is not feasibleBankruptcy Code, and the CFTC Part 19

16. Correspondence from Multiple Individuals


Customers should receive priority over creditors. This objection is moot. SIPA, the BankrLiquidation Provisions, and the CFTC Pto customers over general creditors.

17. Objections/Concerns/Suggestions Raised During the Meet and Confer Session


The Trustee should clarify how the claim form will be applied towarehouse receipts.

The instructions for the claims form werof customers with SIP. (See Reply Ex. 4

(clean version); Reply Ex. 3(C) (Claim Fversion)) (“Please note that Item IV seekidentifiable property,” as defined in the CCommission Part 190 Rules. Even if yo

information to the Trustee regarding y

property” you should nevertheless proproperty when completing and submit












Exhibit 1

14

any supporting docume

provide sufficient details

seeking additional inform

The claim form should be modified to use or refer toterminology utilized on the MF Global account statements.

The amended claims forms better track tdaily and monthly statements. (See Rep(redline version); Reply Ex. 4(C) (Claim

The Trustee should provide more information available tosecurities account holders.

Website, www.mfglobaltrustee.com, hasupdated frequently.




Exhibit 2




1

LETTERS RECEIVED BY THE COURT REGARDING MF GLOBAL INC.

MF GLOBAL I NC.

CASE NO. 11-2790

NO. CORRESPONDENCE ECF

NO.SUBJECT

1 Letter to Court from Joseph M. Zajac, filed

November 7, 2011

82 Request for the return of

customer property

2 Letter to Trustee from Matthew Wilson,

dated November 7, 2011


customer property

3 Letter to Court from James Barthmaier,

filed November 7, 2011


customer property

4 Letter to Court from Warren Pollock, dated

November 8, 2011

85 Request that the Court appoint a

designated attorney to attend to

customer interests; Request for

the return of customer property5 Letter to Court from James G. (illegible),

dated November 8, 201186 Request for the return of

customer property

6 Letter to Court from Robert D. Benson,



customer property

7 Letter to Court from Gerald J. Gottus, dated

November 10, 2011


customer property

8 Letter to Court from HL Camp Futures,



customer property

9 Letter to Court from Walter Augustine,dated November 9, 2011

90 Request for the return of customer property

10 Letter to Court from Robert Costello, dated November 8, 2011

91 Request for the return of customer property; Request that

the Trustee forego remunerationat this time

11 Letter to Court from Gerald Gottus, dated

November 9, 2011


customer property

12 Letter to Court from C. Howard, filed

November 9, 2011


customer property; Request that

the Trustee forego remunerationat this time.

13 Letter to Court from Darin Brown, MD,

PhD, filed November 7, 2011


customer property14 Letter to Court from Gerald T. McFarland

Jr, dated November 8, 2011


customer property; Request for the resignation of the Trustee

15 Letter to Court from Joseph M. Zajac, filed November 11, 2011


16 Letter to Court from HL Camp Futures, 112 Request that the Trustee Forego




2

dated November 9, 2011 Remuneration at This Time

17 Letter to Court from Heath Rush, President,

Rush Consultants, Inc., dated November 9,

2011


customer property

18 Letter to Court from James Barthmaier,



customer property19 Letter to Trustee from Andrew Abraham,

Abraham Investment Management, filed November 8, 2011

115 Request for an investigation of

regulators and/or financialinstitutions; Request for the

resignation of the Trustee;

Request for the return of customer property

20 Letter to Court from Frank Culon, dated November 9, 2011


21 Letter to Trustee from David L. Fowler,



regulators and/or financial

institutions; Request for theresignation of the Trustee;


22 Letter to Court from Gary Li, Principal,Washington Asset Advisors LLC, dated

November 9, 2011


23 Letter to Court from Stacy Hanley, Great

Pacific Trading Company, dated November

10, 2011


customer property

24 Letter to Court from Stacy Hanley, Great

Pacific Trading Company, dated November 10, 2011


customer property

25 Letter to Court from Robert Vahouny,


121 Claims process is unlawful;


26 Letter to Court from Ben Davenport, dated November 11, 2011

122 Designation of a representativeof former MFGI customers to a

creditors' committee

27 Letter to Court from Waldo K. Wiens,


123 Designation of a representative

of former MFGI customers to a


28 Letter to Court from Alvina J. Wiens, dated November 14, 2011



29 Letter to Court from Robert Garvy, dated

November 11, 2011


of former MFGI customers to acreditors' committee

30 Letter to Court from Dr. Harold Landa,







3

creditors' committee; Request for the return of customer property

31 Letter to Court from Eric Stein, dated

November 14, 2011


of former MFGI customers to acreditors' committee; Request for

the return of customer property32 Letter to Court from Pete M. Loewen,

Loewen and Associates, Inc., dated

November 12, 2011


customer property

33 Letter to Court from Mark Chapin,

Managing Member, Revolution CapitalManagement LLC, dated November 14,

2011



34 Letter to Court from Gregory Baranoff,



customer property

35 Letter to Court from Richard S. Scullin,

CPA, filed November 14, 2011


customer property36 Letter to Trustee from a MF Global

Commodity Futures Segregated Customer,


133 Request for an investigation of regulators and/or financial

institutions; Request for the

resignation of the Trustee;Request for the return of

customer property

37 Letter to Court from Dr. Klaus W. Schatz,





38 Letter to Court from Dr. Klaus W. Schatz,



customer property39 Letter to Court from Eric J. Arscott, filed

November 14, 2011


customer property

40 Letter to Court from David J Kay, MD,

MPH, FAAP, dated November 14, 2011




41 Letter to Court from Daniel McCool, filed

November 14, 2011


customer property

42 Letter to Court from Michael Geiger,

November 14, 2011


customer property

43 Letter to Court from John B. Clark, Jr.,filed November 14, 2011


44 Letter to Court from Annie Rousslang, filed November 14, 2011

141 Author voices concern that theclaims of general creditors might

supersede the claims of

customers; Request for the returnof customer property

45 Letter to Court from Whitney C. Broach, 142 Request for the return of




4

filed November 14, 2011 customer property

46 Letter to Court from Robert F. Earl, Robert

F. Earl and Company Business Consulting,



customer property

47 Letter to Court from Parviz Poursalimi,



customer property48 Letter to Court from Kent Lachner, filed

November 14, 2011


customer property

49 Letter to Court from Ryan Davies, CAIA,Principal, Alternative Holding Corp., dated

November 14, 2011


50 Letter to Court from Sunil Bhakta, dated

November 14, 2011


customer property

51 Letter to Court from David C. Lake, filed November 15, 2011


52 Letter to Court from John Karvelas, dated

November 11, 2011



53 Letter to Court from Richard Daykin, dated November 11, 2011



54 Letter to Court from Bruce A. Stilwell,





55 Letter to Court from Waldo K. Wiens,dated November 14, 2011


creditors' committee56 Letter to Court from Frederick G.

Yuengling, III, President Yuengling

Corporation, dated November 15, 2011




57 Letter to Court from Young Yim, filed

November 15, 2011


regulators and/or financialinstitutions

58 Letter to Court from Roger N. Squire II,dated November 7, 2011

166 Request for the Return of Customer Property

59 Letter to Court from Donald F. Miller,



customer property60 Letter to Court from Robert Flagg, dated

November 9, 2011


customer property

61 Letter to Court from Kenneth Goodman,



customer property

62 Letter to Court from Gerald J. Gottus,

November 9, 2011


customer property

63 Letter to Court from Richard R. Snyder, 174 Request for the return of




5

dated November 10, 2011 customer property

64 Letter to Court from Leo Sandau, Honolulu

Puka Shell Exchange, dated November 8,

2011


customer property

65 Letter to Court from Jason Skole, dated

November 10, 2011


customer property66 Letter to Court from Bob McCartney, dated

November 10, 2011 and November 11,2011


customer property

67 Letter to Court from Gary L. Lovelady,


181 Request for priority treatment for

commodity futures accounts

over securities accounts

68 Letter to Court from Jim Dawkins, dated November 11, 2011


69 Letter to Court from Theodore G. Mayer,

MD, dated November 15, 2011




70 Letter to Court from Gary J. McAdam,dated November 15, 2011



71 Letter to Court from Robert Martin, dated

November 15, 2011

202 Request for the resignation of

the Trustee

72 Letter to Court from Robert T. Patton,dated November 14, 2011


73 Letter to Court from Howard L. Feldman,dated November 15, 2011


74 Letter to Court from Mark J. Hulings,President, Paradox Futures, LLC, dated

November 11, 2011


75 Letter to Court from Edward Heming,dated November 11, 2011


76 Letter to Court from Sam Easley, filed November 10, 2011


77 Letter to Trustee from Murat Seyhan, filed November 11, 2011

209 Request for an investigation of regulators and/or financial

institutions; Request for the

resignation of the Trustee;


78 Letter to Court from Rohit Patel, dated November 10, 2011


79 Letter to Court from Amsey Boyd, dated November 11, 2011


80 Letter to Court from John G. Wallace,Managing Director, MacKenzie Wallace &





6

Co. Ltd

81 Letter to Court from Curtis and Cindy

Cerenzie, dated November 11, 2011


regulators and/or financial

institutions; Request for theresignation of the Trustee;


82 Letter to Court from HL Camp Futures,


218 Expresses general

disappointment

83 Letter to Court from Barry Cogburn, dated

November 11, 2011


customer property

84 Letter to Court from Zachary Oxman,

Managing Director, CTS Consulting, Inc.,dated November 11, 2011


customer property

85 Letter to Court from Stanley P. Haar, dated

November 11, 2011



creditors' committee86 Letter to Court from Pablo Perfumo, dated

November 11, 2011223 Designation of a representative



87 Letter to Court from Darryl Tremelling,





88 Letter to Court from Ken Kinkopf,

President, Kinkopf Capital Management,

LCC, dated November 11, 2011




89 Letter to Court from Donald F. Miller, filed

November 12, 2011


customer property90 Letter to Court from Glenn Jackel, dated

November 10, 2011227 Request for the return of

customer property

91 Letter to Court from Ernest Kevin Wallien,dated November 11, 2011



92 Letter to Court from Ernest Kevin Wallien,filed November 12, 2011


93 Letter to Court from Ken Kinkopf, filed November 12, 2011


94 Letter to Court from Pablo J. Perfumo, filed

November 12, 2011


customer property95 Letter to Court from Jason Skole, dated

November 11, 2011



the return of customer property

96 Letter to Court from Jeffrey W. Parker,



customer property

97 Letter to Court from Daniel Reinhardt, filed 234 Request for the return of




7

November 12, 2011 customer property

98 Letter to Court from William Somers, dated

November 13, 2011




99 Letter to Court from Howard Bernstein,President, dated November 13, 2011


creditors' committee; Request for


100 Letter to Court from Kevin O'Donnell,





101 Letter to Court from Patricia Benvenuto,





102 Letter to Court from James M. Mayer,dated November 11, 2011



103 Letter to Court from Nancy Vandermeer,




104 Letter to Court from Mark J. Slepin, MD,MBA, FACEP, dated November 13, 2011


105 Letter to Court from John R. O'Sullivan,



customer property

106 Letter to Court from Mark J. Slepin, MD,

MBA, Fellow, American College of Emergency Physicians, dated November

13, 2011



107 Letter to Court from John Haveman, filed

November 14, 2011


customer property

108 Letter to Court from James J. Meyer, dated

November 11, 2011



109 Letter to Court from Peter W. Powers,

Chief Executive Officer, Cranwood Capital

Management LLC, dated November 10,

2011


customer property

110 Letter to Court from Warren Pollock, dated

November 10, 2011

258 Author voices concern that the

claims of general creditors might


customers

111 Letter to Court from Mark W. Whalen,Founder & Managing Member, Mark W.

Whalen & Company, LLC, dated






8

November 11, 2011

112 Letter to Court from Dennis Thomas,

Managing Member, Newcastle Capital

Markets, LLC, dated November 11, 2011




113 Letter to Court from Alvina J. Wiens, dated

November 11, 2011



114 Letter to Court from M.E. Waller, dated November 11, 2011



115 Letter to Court from Martin J. Lichterman

Jr., dated November 11, 2011




116 Letter to Court from Reggie Mobley, dated

November 11, 2011




117 Letter to Court from Gary Krasna, Esq.,dated November 14, 2011

265 Designation of a representativeof former MFGI customers to acreditors' committee; Request for


118 Letter to Court from Lionel Zafar, dated

November 10, 2011


customer property

119 Letter to Court from Daniel Ward, Owner,True Metals Group, LLC, filed November

10, 2011


120 Letter to Court from Tariq Zahir, Tyche

Capital Advisors LLC, dated November 14,

2011



creditors' committee121 Letter to Court from Gary Lei Li, Principal

Washington Asset Advisors LLC, dated

November 15, 2011



122 Letter to Court from Elizabeth H. Dole,



customer property

123 Letter to Court from Matt Evans, Partner,LAB Trading, LLC, dated November 15,

2011



124 Letter to Court from Gary Lei Li,

November 16, 2011


customer property; Objection to

the Trustee's Expedited Motionfor an Order Approving Further

Emergency Transfers and

Distributions to Customer

125 Letter to Court from Glenn Jackel,

Managing Member Traxian Partners, LLC,dated November 15, 2011



126 Letter to Court from George Leslie, dated 274 Designation of a representative




9

November 15, 2011 of former MFGI customers to acreditors' committee

127 Letter to Court from Raj Hariharan, dated

November 11, 2011



128 Letter to Court from Whitney C. Broach,dated November 15, 2011



129 Letter to Court from Ian Parker, filed

November 15, 2011


customer property

130 Letter to Court from David C. Lake, dated

November 11, 2011




131 Letter to Court from Kimberly Lake, dated

November 11, 2011




132 Letter to Court from Jo Anne H. Lake,dated November 11, 2011

291 Designation of a representativeof former MFGI customers to acreditors' committee

133 Letter to Court from Matthew B. Lake,





134 Letter to Court from Kevin C. Brown,President Summit Trust Company, dated

November 11, 2011



135 Letter to Court from Stephen Somers, filed

November 12, 2011


customer property

136 Letter to Court from Paul & ElizabethPecha, November 16, 2011

295 Designation of a representativeof former MFGI customers to acreditors' committee

137 Letter to Court from Robert J. Hartman,dated November 11, 2011



138 Letter to Court from Jack & Karen Ensign,dated November 11, 2011



139 Letter to Court from Frederick G.

Yuengling, III, President, Yuengling

Corporation, filed November 15, 2011


customer property

140 Letter to Court from Mercy E. Brewer and

John J. Brewer, dated November 16, 2011



141 Letter to Court from Joseph M. Zajac, filed November 16, 2011


142 Letter to Court from Pedro Salomao and

Marcela Salomao, dated November 16,

304 Objection to the Trustee's

Expedited Motion for an Order




10

2011 Approving Further EmergencyTransfers and Distributions to

Customers

143 Letter to Court from Elizabeth RoseMcGuire, CEO, Keystone Trading

Corporation, dated November 16, 2011


creditors' committee144 Letter to Court from Brian McGuire, dated

November 11, 2011




145 Letter to Court from James C. Jamison,




146 Letter to Court from Stephen Somers, dated November 16, 2011

308 Request that the Trustee foregoremuneration at this time

147 Letter to Court from Steve Allen, dated

November 11, 2011



creditors' committee148 Letter to Court from Navid Khalili, dated

November 15, 2011311 Designation of a representative



149 Letter to Court from David F Newell, dated

November 11, 2011




150 Letter to Court from Jason Skole, dated

November 16, 2011


Expedited Motion for an Order

Approving Further EmergencyTransfers and Distributions to

Customers151 Letter to Court from Dan McCool, dated

November 11, 2011




152 Letter to Court from Hilary Fike-Escajeda,



of former MFGI customers to acreditors' committee; Objection

to the Trustee's Expedited

Motion for an Order ApprovingFurther Emergency Transfers

and Distributions to Customer;


153 Letter to Trustee from Gary J. McAdam,Trustee for Growth Ventures, Inc. Profit

Sharing Plan & Trust, dated November 16,

2011


154 Letter to Court from Richard Cornacchio,



customer property




11

155 Letter to Court from Matt Evans, ALBTrading, LLC, dated November 15, 2011

325 Author voices concern that theclaims of general creditors might


customers

156 Letter to Court from Wener Morawitz, filed

November 16, 2011


Expedited Motion for an Order Approving Further EmergencyTransfers and Distributions to

Customers

157 Letter to Court from Steve Meyers,

President, GrainBelt Commoditites LLC,



customer property

158 Letter to Court from David Steuer, filed

November 16, 2011


Expedited Motion for an Order Approving Further Emergency

Transfers and Distributions to

Customers; Request for thereturn of customer property

159 Letter to Court from David J. Kay, filed November 17, 2011


160 Letter to Court from Danny Gordon,

Hamilton Peak LP, dated November 17,2011




Customers; Request for the

return of customer property

161 Letter to Court from Richard W. Sercer and

Alma I Murphy, dated November 17, 2011




Customers

162 Letter to Court from Matt Evans, LAB

Trading, LLC, dated November 15, 2011

333 Author voices concern that the

claims of general creditors mightsupersede the claims of

customers

163 Letter to Court from Troy B Braithwaite,

November 11, 2011


customer property

164 Letter to Court from Thomas Hammond

and Thomas Farley, dated November 10,2011


customer property

165 Letter to Court from Ian Parker, MF Global

Customer, dated November 11, 2011







Exhibit 3(A)




UNITED STATES BANKRUPTCY COURTSOUTHERN DISTRICT OF NEW YORK

In re

MF GLOBAL INC.,

Debtor.Case No. 11-2790 (MG) SIPA

Commencement of Liquidation Proceeding

NOTICE IS HEREBY GIVEN that on October 31, 2011 the Honorable Paul A.Engelmayer, Judge of the United States District Court for the Southern District of New York,entered an Order granting the application of the Securities Investor Protection Corporation(“SIPC”) for issuance of a Protective Decree adjudicating that the customers of MF Global Inc.(the “Debtor”), are in need of the protection afforded by the Securities Investor Protection Act of 1970 (“SIPA”). James W. Giddens (the “Trustee”) was appointed trustee for the liquidation of the business of the Debtor, and Hughes Hubbard & Reed LLP was appointed as counsel to theTrustee.

Deadlines for Submitting Claims

NOTICE IS HEREBY GIVEN that commodity futures customers of the Debtormust file their claims with the Trustee within SIXTY DAYS after the date of this Notice or theirclaim will be barred (unless extended, for good cause only). No extension for filing acommodity futures customer claim will be granted beyond the six-month period after the date of this Notice, regardless of cause. Commodity futures customer claims that are filed after thesixty-day period, but before the six-month period after this Notice may be afforded general

creditor status.

Securities customers of the Debtor who wish to avail themselves of the maximumprotection afforded to them under SIPA are required to file their claims with the Trustee withinSIXTY DAYS after the date of this Notice. Securities customers may file their claims up to sixmonths after the date of this Notice; however, the filing of securities customer claims after thesixty-day period but within the six-month period may result in less protection for the securitiescustomer under SIPA.

All claims must be filed with the Trustee electronically online atwww.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested to

one of the following addresses:

If by first class mail:

MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLCP.O. Box 3656Portland, OR 97208-3656

If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenterc/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.Beaverton, OR 97005




2

Customer claims will be deemed filed only when received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

Forms for the filing of customers’ claims are being mailed to customers of theDebtor as their names and addresses appear on the Debtor’s books and records. Customer claimforms are also available on the Trustee’s website, www.mfglobaltrustee.com, or by writing to theTrustee at the address of his counsel below.

Claims by broker-dealers for the completion of open contractual securitiescommitments must be filed with the Trustee within sixty days after the date of this Notice. Suchclaims will be deemed to be filed only when received by the Trustee.

All other creditors of the Debtor must file formal claims with the Trustee at theaddress shown above within SIX MONTHS after the date of this Notice. All such claims willbe deemed filed only when received by the Trustee.

For the avoidance of doubt, (i) claims of commodity futures customers must

be received by the Trustee on or before January 27,31, 2012; (ii) claims of securitiescustomers seeking the maximum protection under SIPA must be received by the Trusteeon or before January 27,31, 2012; and (iii) all claims must be received by the Trustee on orbefore May 28,June 2, 2012, or they will be absolutely barred. No commodity futurescustomer claim will be allowed unless received by the Trustee on or before January 27,31, 2012, or unless extended (for good cause only); but, if received by the Trustee afterJanuary 27,31, 2012, but on or before May 28,June 2, 2012, a commodity futures customerclaim may be afforded general creditor status.

The Trustee has published protocols for certain transactional claims. Theseprotocols should be reviewed carefully before submitting a claim to the Trustee, and are

available at the Trustee’s website, www.mfglobaltrustee.com.

Automatic Stay Of Actions Against The Debtor

NOTICE IS HEREBY GIVEN that as a result of the issuance of the ProtectiveDecree, certain acts and proceedings against the Debtor and its property are stayed as provided in11 U.S.C. § 362 and by order of the United States District Court for the Southern District of NewYork, entered October 31, 2011 by the Honorable Paul A. Engelmayer.

Meeting of Customers and Other Creditors

NOTICE IS HEREBY GIVEN that a meeting of customers and other creditors

will be held at the New York Marriott Downtown, 85 West Street, New York, NY 10006, onJanuary 12, 2012 at 10:00 a.m. The Trustee will preside at such meeting, to provide informationabout the customer claims process and the progress of this SIPA liquidation.

Additional Information

NOTICE IS HEREBY GIVEN THAT copies of this Notice, claim forms, andother background on this SIPA liquidation may be found on SIPC’s website, www.sipc.org under




3

Proceedings/Liquidation, and on the Trustee’s website, www.mfglobaltrustee.com. From time totime other updated information and notices concerning this proceeding may also be posted atthese websites.

Dated: New York, New York November 28,December 2, 2011

HUGHES HUBBARD & REED LLPOne Battery Park PlazaNew York, New York 10004Telephone: (212) 837-6000Facsimile: (212) 422-4726





Exhibit 3(B)




MF GLOBAL INC.

In Liquidation

November 28,December 2, 2011

TO ALL PERSONS ASSERTING CLAIMS AS SECURITIES CUSTOMERS OF MFGLOBAL INC.:

Enclosed are a securities customer claim form, securities customer claim forminstructions, and a separate letter for broker dealers having open securities or money balances asof October 31, 2011 with MF Global Inc. (the “Debtor”). You will receive a separate securitiescustomer claim form packet for each securities account you have with MF Global Inc., asidentified from MF Global Inc.’s books and records. If you also have one or more commodityfutures customer accounts with the Debtor, you also will receive a separate claim packet forfiling a commodity futures customer claim for each such account. Should you require additional

or different forms, all claims forms are available at the Trustee’s website,www.mfglobaltrustee.com.

You are urged to read these and the other enclosed documents carefully. Theyexplain steps to protect any rights and claims you may have in this liquidation proceeding.

In addition, the Trustee has published protocols for certain transactional claims.These protocols should be reviewed carefully before submitting a claim to the Trustee, and areavailable at the Trustee’s website, www.mfglobaltrustee.com.

The Trustee is actively seeking to find SIPC-member firms that are willing andable to accept the bulk transfer of some or all of the Debtor’s securities customer accounts.Regardless of any transfer or closeout of your positions with the Debtor, if you believe that theDebtor still owes you cash or securities from one or more securities customer accounts, you mustfill out a securities customer claim form for each separate securities account that you areclaiming. All claims must be filed with the Trustee electronically online atwww.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, toone of the following addresses:


MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLCP.O. Box 3656

Portland, OR 97208-3656

If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenterc/o Epiq Bankruptcy Solutions, LLC

10300 SW Allen Blvd.Beaverton, OR 97005

A return envelope for the completed claim form(s) is enclosed. Please make acopy of your claim form(s) for your own records before mailing.

Your claim(s) will not be deemed to be filed until received by the Trustee. If yousubmit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via




2

certified mail, return receipt requested. Your return receipt will be the only document you willreceive that shows your claim has been received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

If, at any time, you complained in writing about the handling of your securitiesaccount(s) to any person or entity or regulatory authority, and the complaint relates to the cash,securities, or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received.

While your claim is being processed, if your claim is not properly completed orthe Trustee requires additional information in order to process your claim, the Trustee maycontact you by telephone or email and may send you a deficiency letter to request that you fileadditional information or documents to support the validity of your claim. Failure to respond toa deficiency letter within thirty days of its receipt may result in the denial of your claim.

It is your responsibility to report accurately all securities positions and moneybalances in connection with your securities account(s) with the Debtor. A false claim or the

retention of property to which you are not entitled may make you liable for damages andcriminal penalties. If you cannot precisely calculate the amount of your claim, however, you mayfile an estimated claim.

One of the purposes of the liquidation is to return securities and cash due tocustomers as promptly as practicable. In that connection, funds of the Securities InvestorProtection Corporation may be utilized to pay valid securities customer claims relating tosecurities and cash up to a maximum amount of $500,000.00 for each customer, including up to$250,000.00 for claims for cash, as provided in the Securities Investor Protection Act of 1970, asamended. To qualify for the maximum protection afforded under SIPA, your securitiescustomer claim form must be received by the Trustee on or before January 27,31, 2012.

Your cooperation in promptly returning the appropriate completed securitiescustomer claim form to the Trustee is in your best interest as it will help speed the administrationof the liquidation proceeding.

Very truly yours,

James W. Giddens

Trustee for the SIPA Liquidation of MF Global Inc.




MF GLOBAL INC.

In Liquidation


TO BROKERS AND DEALERS HAVING OPEN SECURITIES POSITIONS OR MONEYBALANCES ASSOCIATED WITH SECURITIES ACCOUNTS AS OF OCTOBER 31, 2011,WITH MF GLOBAL INC.:

The United States District Court for the Southern District of New York entered anorder on October 31, 2011 finding that customers of MF Global Inc. (the “Debtor”) were in needof the protection afforded by the Securities Investor Protection Act of 1970, as amended(“SIPA”). The District Court immediately appointed a trustee to liquidate the business of theDebtor (the “Trustee”).

The Trustee has published protocols for certain transactional claims. Theseprotocols should be reviewed carefully before submitting a claim to the Trustee, and areavailable at the Trustee’s website, www.mfglobaltrustee.com. You may also wish to reviewSIPC Rules Regarding Closeout or Completion of Open Contractual Commitments, 17 C.F.R. §§300.300-300.307, available at www.sipc.org/who/statute.cfm.

To recover upon any claim you may have against the Debtor, you must carefullyfollow the instructions contained in this package. Enclosed is the Notice of Commencement, aswell as instructions for filing a claim and claim form.

You are urged to read all of the above referenced documents carefully. Theyexplain what steps, if any, you must take to protect any rights and claims you may have in thisliquidation proceeding.

Claimants are advised to submit their completed claim forms electronically onlineat www.mfglobaltrustee.com, or to mail their completed claim forms to the Trustee by certifiedmail, return receipt requested. Please make a copy of the completed claim forms and retain themfor your own records.

Your claim forms will not be deemed to be filed until received by the Trustee. Toreceive maximum protection afforded under SIPA, your claim forms must be received bythe Trustee on or before January 27, 2012.31, 2012. Claims that are filed electronically must

be received by 12:00 midnight on the bar date to be considered timely.





2

It is your responsibility to report accurately all securities positions and moneybalances in connection with your securities account with the Debtor. A false claim or theretention of property to which you are not entitled may make you liable for damages andcriminal penalties.

Your cooperation in promptly requesting and returning the completed brokerclaim forms to the Trustee is in your best interest as it will help speed the administration of theliquidation proceeding.

Very truly yours,

______________________________James W. Giddens, Trustee for the SIPA

Liquidation of MF Global Inc.




INSTRUCTIONS FOR COMPLETING THE SECURITIES CUSTOMERCLAIM FORM

PLEASE READ CAREFULLY

IF YOUR CLAIM IS NOT BASED ON A SECURITIES ACCOUNT YOU DO NOT

NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A SECURITIESCUSTOMER CLAIM FORM

These instructions are to help you complete the securities customer claim form enclosed.If you believe that MF Global Inc. (“MFGI”) owes you cash or securities, and you wish to claimthem, the Trustee must receive your claim on or before the date specified on the claim form.Even if your securities account(s) has been transferred to another SIPC-member firm, if youbelieve MFGI still owes you cash or securities, and you wish to claim them, you must timelysubmit a claim. If you submit an improperly completed claim form or do not provide sufficientinformation to support your claim, the Trustee may send you a deficiency letter, indicating whatadditional information is required to process your claim. Failure to timely respond and provide

sufficient information may result in a delay in satisfaction of your claim or its disallowance.

Item I seeks a statement of the total amount you are claiming with respect to yoursecurities account. Please state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii)all securities owed to you by MFGI less all securities you owe MFGI, if any.

Item II seeks details about your claim with respect to your securities account.

Item (A) is to be completed if on the date shown, MFGI owed you cash or if youowed MFGI cash. If MFGI owes money to you, please indicate the amount in thespace provided Item (A.1). If you owe MFGI money, please so indicate in thespace provided Item (A.2). If MFGI owes you securities and you wish to receivethose securities without deduction, then you must enclose your check for theamount shown in Item (A.3) payable to “James W. Giddens, Trustee for the SIPALiquidation of MF Global Inc.” Payments not enclosed with this claim formwill not be accepted by the Trustee for purposes of determining whatsecurities are to be distributed to you.

Item (B) seeks details about securities (including any options) held for you. If MFGI is holding securities for you or has failed to deliver securities to you, pleaseindicate by checking the appropriate box under Item (B) and set forth in detail theinformation required with respect to the date of the transaction, the name of the

security and the number of shares or face value of bonds. With respect to options,set forth the number and type of options, the exercise price and expiration date,e.g., 3 options [call] or [put] GE at 25 2x December 2011. Please do not claimany securities you already have in your possession.

Item III seeks additional information about your claim with respect to your securitiesaccount. Items (1) through (8) must each be marked and details supplied where appropriate,




2

along with any supporting documentation you have. If you do not provide sufficient details, youmay receive a deficiency letter based on insufficient information.

If you cannot compute the amount of your claim, you may file an estimated claim. In thatcase, please be sure to indicate that your claim is an estimated claim.

Proper documentation can speed the review, allowance, and satisfaction of your claim.

Please enclose: copies (not originals) of any documentation or correspondence you believewill be of assistance in processing your claim, including, but not limited to, customerconfirmations, account statements (in particular, your last account statement), and statementsof purchase or sale.

If, at any time, you complained in writing about the handling of your account to any personor entity or regulatory authority, and the complaint relates to the cash and/or securities thatyou are now seeking, please be sure to provide with your claim copies of the complaint andall related correspondence, as well as copies of any replies that you received.

A separate claim form must be filed for each account.

When To File

There are two deadlines for filing securities customer claims. One is set by theBankruptcy Court for the maximum protection for securities customers under SIPA, and one isset by the law as an absolute bar for all claims.

The Bankruptcy Court has set January 27,31, 2012 as the date for filing securitiescustomer claims to be eligible for the maximum protection under SIPA. If your claim is received

by the Trustee after January 27,31, 2012 but on or before May 28,June 2, 2012, your claim issubject to delayed processing and to being satisfied on terms less favorable to you.

The law governing this proceeding absolutely bars the allowance of any claim,including a securities customer claim, not actually received by the Trustee on or beforeMay 28,June 2, 2012. Neither the Trustee nor the Securities Investor ProtectionCorporation has authority to grant extensions of the May 28,June 2, 2012 bar date forfiling of claims, regardless of the reason. If your securities customer claim is received evenone day after the May 28,June 2, 2012 bar date, it will be disallowed. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

Please file well in advance so that there will be time to refile if, for instance, your claim islost in the mail.

Where To File

The completed and signed claim form, together with supporting documents must be filedwith the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly inthe enclosed envelope to:




3



If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenterc/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.

Beaverton, OR 97005IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BY

CERTIFIED MAIL RETURN RECEIPT REQUESTED

Your claim is not filed until received by the Trustee. If the Trustee does not receive yourclaim, although timely mailed, you could lose all your rights against MFGI. Your return receiptwill be the only document you will receive that shows your claim has been received by theTrustee.

THIS INSTRUCTION SHEET IS FOR YOUR FILE—DO NOT RETURN

YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOUR

RECORDS.




SECURITIES CUSTOMERCLAIM FORM

MF GLOBAL INC.

4

Account Name: Daytime Phone:Account Number: Email:

Address:Taxpayer I.D. Number

Contact Person: (Social Security No.):

PLEASE NOTETHIS CLAIM FORM SHOULD BE USED ONLY IF YOU ARE A

CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMERCLAIM BASED ON A SECURITIES ACCOUNT

A SEPARATE CLAIM FORM MUST BE FILED FOR EACH SECURITIESACCOUNT.

TO BE ELIGIBLE FOR THE MAXIMUM PROTECTION AFFORDED UNDER THESECURITIES INVESTOR PROTECTION ACT (“SIPA”), ALL SECURITIESCUSTOMER CLAIMS MUST BE RECEIVED BY THE TRUSTEE ON OR BEFOREJANUARY 27,31, 2012; THE TRUSTEE WILL DETERMINE WHETHER CLAIMSMEET THE STATUTORY REQUIREMENTS FOR SECURITIES CUSTOMERCLAIMS UNDER SIPA; INCLUSION OF A CLAIM OR CLAIM TYPE ON THISCLAIM FORM IS NOT DETERMINATIVE OF CUSTOMER STATUS UNDER SIPA.

THE ABSOLUTE DEADLINE FOR FILING ALL SECURITIES CUSTOMERCLAIMS IS MAY 28,JUNE 2, 2012. NO CLAIM WILL BE ALLOWED IF IT ISRECEIVED AFTER THAT DATE.

ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. CLAIMS THAT ARE FILED ELECTRONICALLY MUST BE RECEIVED BY 12:00MIDNIGHT ON THE BAR DATE TO BE CONSIDERED TIMELY.

YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE ATWWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNEDCLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPTREQUESTED TO THE APPROPRIATE ADDRESS BELOW.

IF YOU REQUIRE ADDITIONAL SPACE TO ANSWER ANY QUESTION, PLEASEATTACH SEPARATE PIECES OF PAPER AND LABEL THE ANSWERS TO THECORRESPONDING QUESTIONS FOR THIS CLAIMS FORM. ALLATTACHMENTS MUST BE SIGNED BY YOU.

YOU MAY ESTIMATE ANY VALUES/AMOUNTS ASSOCIATED WITH YOURCLAIM. ANSWER ALL QUESTIONS AS FULLY AS POSSIBLE, TO THE EXTENTYOU KNOW OR CAN ESTIMATE THE INFORMATION REQUESTED. IF YOUARE PROVIDING AN ESTIMATE, YOU MUST SO INDICATE.

IF SOME OR ALL OF YOUR SECURITIES ACCOUNTS HAVE BEENTRANSFERRED TO ANOTHER SIPC-MEMBER FIRM, BUT YOU BELIEVE YOUHAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBALINC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS.




5

MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR INTHIS SIPA LIQUIDATION PROCEEDING. THIS SECURITIES CUSTOMER CLAIMFORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANYOTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDINGUNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF

GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC.

This claim form must be completed electronically online at www.mfglobaltrustee.com or mailedpromptly, together with supporting documentation, to the following:




I. TOTAL AMOUNT CLAIMED

The total value of my claim against MFGI, based on, as of October 31, 2011, (i) allcash owed to me by MFGI less all cash I owe to MFGI, if any, and (ii) the value of allsecurities owed to me by MFGI less all securities I owe to MFGI, if any, is:

$_______________________________

Check one: ESTIMATED CALCULATED

II. DETAILS OF YOUR CLAIM

A. CLAIM FOR MONEY BALANCES OR CASH AS OF OCTOBER 31, 2011:

1. MFGI owes me a credit or cash in the amount of: $________________

2. I owe MFGI a debit or cash in the amount of: $________________

3. If you wish to repay the debit balance listedin Item (II.A.2), above, please insert theamount you wish to repay and attach a check payable to “James W. Giddens, Trustee for

the SIPA Liquidation of MF Global Inc.” If you wish to make a payment, it must beenclosed with this claim form. $________________

B. CLAIM FOR SECURITIES AS OF OCTOBER 31, 2011:

Please Do Not Claim Any Securities You Have In Your Possession




6

YES NO

1. MFGI owes me securities:

2. I owe MFGI securities:

3. If yes to either, please list below (or inadditional pages as necessary):

Number of Shares orFace Amount of Bonds

Date of Transaction(trade date) Name of Security

MFGI Owes Me

(Long)I Owe MFGI

(Short)

WHEN COMPLETING THE ABOVE PLEASE KEEP IN MIND:



Please enclose: copies (not originals) of any documentation or correspondence youbelieve will be of assistance in processing your claim, including, but not limited to,customer confirmations, account statements, and statements of purchase or sale.

If, at any time, you complained in writing about the handling of your account to anyperson or entity or regulatory authority, and the complaint relates to the cash and/orsecurities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that youreceived.

Please explain any differences between the securities or cash claimed and the cashbalance and securities positions on your last account statement.

III. ADDITIONAL INFORMATION ABOUT YOUR CLAIM

NOTE: Please check the appropriate answer for items 1 through 8, below. If you select

“YES,” for any item, please provide a detailed explanation on a signed

attachment, and attach any supporting documentation you have. If you do not




7

provide sufficient details, you may be sent a deficiency letter seeking additional

information. YES NO

1. Does your claim in any way relate to an entity otherthan MF Global Inc. (for example, MF Global

Holdings Inc., MF Global Finance USA Inc. oranother MF Global subsidiary)?

2. Has there been any change in your account sinceOctober 31, 2011?

3. Are you or were you a party to a repurchase or reverserepurchase agreement, or a director, officer, partner,shareholder, lender to, or capital contributor of MFGI?

4. Are you related to, or do you have any businessventure with, any of the persons specified in item (3),above, or any employee or other person associated inany way with MFGI? If so, give name(s).

5. Are or were you a person who, directly or indirectly,through agreement or otherwise, exercised or had thepower to exercise a controlling influence over themanagement or policies of MFGI?

6. Is this claim being filed on behalf of a customer of abroker or dealer or bank? If so, providedocumentation with respect to each customer onwhose behalf you are claiming.

7. Have you ever given any discretionary authority toany person to execute securities transactions with orthrough MFGI on your behalf? Give names, addressesand phone numbers.

8. Have you or any member of your family ever filed aclaim under the Securities Investor Protection Act of 1970? If so, give name of that broker.

Please list the full name, address, phone number, and email address of anyone assisting you inthe preparation of this claim form:

Full name:

Address:

Phone number:

Email address:

If more than one person is assisting you, attach additional pages providing the information in theexact format above.




8

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OFUP TO FIVE YEARS OR BOTH.

THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MYINFORMATION AND BELIEF.

Date Signature

Date Signature

(If ownership of the account is shared (i.e., there is more than one name on the account), all mustsign above. Give each owner’s name, address, phone number, and extent of ownership on asigned separate sheet. If other than a personal account, e.g., corporate, trustee, custodian, etc.,also state your capacity and authority. Please supply the trust agreement or other proof of authority.)




Exhibit 3(C)




MF GLOBAL INC.

In Liquidation


TO ALL PERSONS ASSERTING CLAIMS AS COMMODITY FUTURES CUSTOMERS OFMF GLOBAL INC.:

Enclosed are a commodity futures customer claim form, and commodity futurescustomer claim form instructions. You will receive a separate commodity futures customerclaim form packet for each commodity futures account you have with MF Global Inc. (the“Debtor”), as identified from MF Global Inc.’s books and records. If you also have one or moresecurities accounts with the Debtor, you also will receive a separate claim packet for filing asecurities customer claim for each such account. Should you require additional or differentforms, all claim forms are available at the Trustee’s website, www.mfglobaltrustee.com.


ThroughYou may have received open commodity positions and/or cash or cashequivalents through court-authorized bulk transfers resulting from the extraordinary efforts andcooperation of the Trustee, the Securities Investor Protection Corporation, the SecuritiesExchange Commission, the Commodity Futures Trading Commission, and numerous derivativesclearing organizations, including the Chicago Mercantile Exchange, the vast majority of opencommodity positions have been transferred along with collateral to other futures commissionmerchants in accordance with the Court order entered on November 2, 2011, approving these

transfers. Regardless of any transfer of any portion of your account, if the Debtor still owes youcash or other property from one or more commodity futures customer accounts, and you wish toclaim it, you must fill out a commodity futures customer claim form for each separatecommodity futures account that you are claiming. All claims must be filed with the Trusteeelectronically online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail,return receipt requested, to one of the following addresses:





Your claim(s) will not be deemed to be filed until received by the Trustee. If yousubmit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed viacertified mail, return receipt requested. Your return receipt will be the only document you will




2

receive that shows your claim has been received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

If, at any time, you complained in writing about the handling of your commodityfutures account(s) to any person or entity or regulatory authority, and the complaint relates to thecash, securities or other property that you are now seeking, please provide with your claimcopies of the complaint and all related correspondence, as well as copies of any replies that youreceived.


It is your responsibility to report accurately all positions and money balances inconnection with your commodity futures account(s) with the Debtor. A false claim or the

retention of property to which you are not entitled may make you liable for damages andcriminal penalties. If you cannot precisely calculate the amount of your claim, however, you mayfile an estimated claim.

One of the purposes of the liquidation is to satisfy commodity futures customerclaims as promptly as practicable. Your commodity futures customer claim form must bereceived by the Trustee on or before January 27,31, 2012, or it will be barred (unlessextended, for good cause only). The January 27,31, 2012 deadline for filing a commodityfutures customer claim cannot be extended beyond May 28,June 2, 2012, even for goodcause. If received by the Trustee after January 27,31, 2012, but on or before May 28,June2, 2012, a commodity futures customer claim may be afforded general creditor status.

Commodity futures customer claims are not eligible for Securities Investor ProtectionCorporation advances.

Your cooperation in promptly returning the appropriate completed commodityfutures customer claim form to the Trustee is in your best interest as it will help speed theadministration of the liquidation proceeding.

Very truly yours,

James W. Giddens





INSTRUCTIONS FOR COMPLETING THE COMMODITY FUTURESCUSTOMER CLAIM FORM


IF YOUR CLAIM IS NOT BASED ON A COMMODITY FUTURES ACCOUNT YOUDO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A

COMMODITY FUTURES CUSTOMER CLAIM FORM

These instructions are to help you complete the enclosed commodity futures customerclaim form. If you believe that MF Global Inc. (“MFGI”) owes you cash or other property thatyou wish to claim, the Trustee must receive your claim on or before the date specified on theclaim form. Even if part of your commodity futures account(s) has been transferred toanotherone or more transferee futures commission merchantmerchants, you must timely submit aclaim in order to claim cash or other property that you believe MFGI still owes you. If yousubmit an improperly completed claim form or do not provide sufficient information to support

your claim, the Trustee may send you a deficiency letter, indicating what additional informationis required to process your claim. Failure to timely respond and provide sufficient informationmay result in a delay in satisfaction of your claim or its disallowance. In addition to the specificitems and information sought in the enclosed commodity futures customer claim form, youshould provide further explanation and detail regarding your claim and your account, asnecessary, to aid the Trustee in the prompt satisfaction of your claim.

Item I seeks a statement of the total amount you are claiming with respect toof cash, cashequivalents, or other property (including margin) and open trade equity in your commodityfutures account. Please state the total amount of MF Global Inc’s indebtedness to you as of theclose of business on October 31, 2011, and indicate whether this is an estimated amount or

calculated amount. Items (A.1) and (A.2) seek on October 31, 2011. If you cannot preciselycalculate the amount, you may provide an estimate. In that case, please be sure to indicate thatyou are providing an estimate. Item (I.A) seeks a break down of the total amount you areclaiming. In of (i) cash, cash equivalents, or other property (including margin) and (ii) opentrade equity in your account. Item (A.1I.B) stateseeks the amount of open trade equity and cash or cash equivalents (including securities posted as collateral) in the account, as of October 31,2011, and in Item (A.2) state the equity, as of October 31, 2011, based on the commoditytransactions in the account (i.e., not based on cash or cash equivalents, cash equivalents, or otherproperty (including margin) related to Foreign Futures (i.e., futures or options on futures tradedon an exchange located outside of the United States).

Item II seeks details about any transfers out of activity, either initiated by you orotherwise, affecting your commodity futures account on or after October 31, 2011. Please statewhether any part of your account was transferred to one or more transferee futures commissionmerchants after October 31, 2011, and, if so, provide details about the transfer(s).

Item III seeks details about your commodity futures account. Please indicate the type of account you hold, the capacity in which you hold the account, whether the account is held by anMFGI “insider,” “affiliate,” or “relative,” whether the account is a discretionary account,whether the account is a joint account, whether you have any related accounts, and, if your claim




2

is based on securities futures products, whether these are held in a futures account or a securitiesaccount.

Item IV seeks additional details about your commodity futures claim. Please indicatewhether MFGI has any claims against you, not included in your equity calculationstatement of account balance, provided in Item I, and whether the equity calculation. If the total amount you provided in Item I for your statement of account balance includes any deposits of money,securitiescash, cash equivalents or other property held by or for MFGI from or for yourcommodity futures account, and, if so, provide detail about such money, securitiescash, cashequivalents or other property. Please also indicate, if you are claiming securities, whether youwish to receive payment in kind, to the extent possible. Please note that Item IV seeksinformation about “specifically identifiable property,” as defined in the Commodity FuturesTrading Commission Part 190 Rules. Even if you have previously provided information tothe Trustee regarding your “specifically identifiable property” you should neverthelessprovide information about such property when completing and submitting your claimhere. Full and complete information about your account will assist the Trustee in promptlysatisfying your claim.


Proper documentation canscan speed the review, allowance, and satisfaction of your claim.

Please enclose: copies (not originals) of any documentation or correspondence you believewill be of assistance in processing your claim, including, but not limited to, customerconfirmations, account statements, and statements of purchase or sale.

If, at any time, you complained in writing about the handling of your commodity futures

account to any person or entity or regulatory authority, and the complaint relates to the cashor other property that you are now seeking, please be sure to provide with your claim copiesof the complaint and all related correspondence, as well as copies of any replies that youreceived.

A separate claim form must be filed for each account. If your account is a “master account”consisting of sub-accounts, you should claim the sub-accounts on a consolidated basis, andsubmit one claim form for the “master account,” but note the existence of the sub-accounts inthe information regarding “related accounts” in Item (III.F).

When To File

The deadline for filing commodity futures customer claims is January 27,31, 2012. If your commodity futures customer claim(s) is not received by the Trustee on or before January27,31, 2012, your claim(s) will be barred (unless extended, for good cause only). The January27,31, 2012 deadline for filing a commodity futures customer claim cannot be extended beyondMay 28,June 2, 2012, even for good cause. The law governing this proceeding absolutelybars the allowance of any claim, including a commodity futures customer claim, notactually received by the Trustee on or before May 28,June 2, 2012. Neither the Trustee nor




3

the Securities Investor Protection Corporation has authority to grant extensions of the May28,June 2, 2012 bar date for filing of claims, regardless of the reason.

Please file well in advance so that there will be time to refile if, for instance, your claim islost in the mail. Claims that are filed electronically must be received by 12:00 midnight on thebar date to be considered timely.

Where To File





If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenterc/o Epiq Bankruptcy Solutions, LLC


IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BYCERTIFIED MAIL RETURN RECEIPT REQUESTED



YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOURRECORDS.






2

MERCHANT, BUT YOU BELIEVE YOU HAVE A CLAIM FOR MONEY ORPROPERTY OWED TO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIMTO PROTECT YOUR RIGHTS.

MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR INTHIS SIPA LIQUIDATION PROCEEDING. THIS COMMODITY FUTURES

CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOESNOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITYIN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITEDSTATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBALFINANCE USA INC.



MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC

P.O. Box 3656Portland, OR 97208-3656

If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenter

c/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.Beaverton, OR 97005

I. AMOUNT CLAIMED ACCOUNT BALANCE AS OF OCTOBER 31, 2011

A. MF Global Inc. was, as of the close of business on October 31, 2011, indebted tome for the total sum of $_____________________________.

NOTE: If needed, please provide a detailed description on a signed attachment of the

basis for your answers below, and attach any supporting documentation youhave. If you do not provide sufficient details, you may be sent a deficiency letter

seeking additional information.

A. Please state your beginning and ending account balance as of October 31, 2011,including (i) cash, cash equivalents, or other property (including margin), and (ii)open trade equity:

Check one:Arethese estimated

amounts?

ESTIMATEDYES

CALCULATEDNO

B. Is the entire sum you entered in part I.A based on cash or cash equivalents(including securities posted as collateral) in your commodity futures account (i.e.,you had no open positions in your account on October 31, 2011)?

Beginning balance: _____________________________

Ending balance: ________________________________

Account value at market: _________________________




3

1. Please state the amount of cash, cash equivalents, or other property(including margin) in the account, as of October 31, 2011:__________________________________________________________.

2. Please state the open trade equity in the account, as of October 31, 2011:__________________________________________________________.

B. If your account contained NO open trade equity or cash, cash equivalents, or otherproperty associated with the margining of Foreign Futures (i.e., futures or optionson futures traded on an exchange located outside of the United States), you mayskip the rest of this question. OTHERWISE:

1. If, on October 31, 2011, your account contained open trade equity of—orcash, cash equivalents, or other property (including margin) associatedwith—Foreign Futures (i.e., futures or options on futures traded on anexchange located outside of the United States), please identify theamounts of equity and cash, cash equivalents, or other property (and

specify the currency and/or convert to USD) for each (use additionalpaper, as needed):

Check one:Arethese estimated

amounts?

YES NO

NOTE: If you selected “YES,” you may skip the remainder of this

question, otherwise, please answer the following questions: Foreign Futures open trade equity:_________________________.

1. Please state the amount of

Foreign Futures cash or cash equivalents in the account, as of October 31, 2011: _____________________________________.

2. Please state the equity, as of October 31, 2011, based on the commoditytransactions in the account (i.e., not based on cash or cash equivalents):_____________________________________.

NOTE: Please provide a detailed description on a signed attachment of the basis for

your answers above, and attach any supporting documentation you have. If you

do not provide sufficient details, you may be sent a deficiency letter seeking

additional information. , cash equivalents, or other property:_______

_____________________________________________________.








6

Are these estimated amounts? YES NO

C. If your account had any cash, cash equivalents, or other property as of October31, 2011, was any cash, cash equivalents, or other property transferred from youraccount to one or more transferee futures commission merchants after October 31,2011—OTHER THAN margin (i.e., cash, cash equivalents, or other property) thatwas transferred with open commodity contracts (which you should have identifiedin Item (II.A), above)?

Check one: YES

OR “Not including any margin (i.e., cash, cash equivalents, or

other property) that may have transferred with opencommodity positions, no other cash, cash equivalents, orother property was transferred from my account to atransferee futures commission merchant after October 31,2011.”

NOTE: If you selected “YES,” please provide the following information in detail

on a signed attachment, and attach any supporting documentation you

have. If you do not provide sufficient details, you may be sent a

deficiency letter seeking additional information.

1. Identify the name(s) of the transferee futures commission merchant(s); and

2. Identify the amount of cash, cash equivalents, or other property that wastransferred (to each transferee, if more than one).

Are these estimatedamounts? YES

NO

D. In the aggregate, to the extent that you are able, please estimate what percentageof the value of your account (both open commodity positions and cash, cashequivalents, or other property), if any, was transferred to another futurescommission merchant: _____________________________________________.

III. DESCRIPTION OF THE ACCOUNT

A. Please specify the type of account (check oneall that are applicable):

1. Futures account

2. Foreign futures account

3. Leverage account

4. Option account—exchange-traded




7

5. Option account—dealer

6. Delivery account*

7. Cleared OTC derivatives account

*A “delivery” account is one which contains only documents of title, commodities, cash, or other

property identified to you and deposited for the purposes of making or taking delivery on acommodity underlying a commodity contract or for payment of the strike price upon exercise of an option.

B. Please specify the capacity in which you hold the account (check all that areapplicable):

1. Individual capacity

2. As guardian, custodian, or conservator for the benefit of a ward or a

minor under the Uniform Gift to Minors Act

3. As executor or administrator of an estate

4. As trustee for the trust beneficiary

5. In the name of a corporation, partnership, or unincorporatedassociation

6. As an omnibus customer account of the undersigned futurescommission merchant

7. As part owner of a joint account

8. In the name of a plan which, on October 31, 2011, had in effect aregistration statement in accordance with the requirements of § 1031of the Employee Retirement Income Security Act of 1974 and theregulations thereunder

9. As agent or nominee for a principle or beneficial owner (and notdescribed in Items (III.B.1-8))

10. In any other capacity not described above in Items (III.B.1-9)

(please specify the capacity):

C. Is any person (including a general partnership, limited partnership, corporation, orother type of association) on whose behalf the account is held one of thefollowing persons or does one of the following persons, alone or jointly, hold10% or more of the account? (Check all that are applicable):




8

1. MF Global Inc.

2. Director of MF Global Inc.

3. Officer of MF Global Inc.

4. Person in control of MF Global Inc.

5. Partnership in which MF Global Inc. is a general partner

6. Owner of ten percent or more of the capital stock of MF Global Inc.

7. Employee of MF Global Inc. whose duties include (a) themanagement of the business of MF Global Inc. or any part thereof;(b) the handling of the trades or customer funds of customers of MFGlobal Inc.; (c) the keeping of records pertaining to the trades or

funds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global Inc.

8. Managing agent of MF Global Inc.

9. A spouse or minor dependent living in the same household of ANYOF THE FOREGOING PERSONS (listed in Items (III.C.1-8),above), or any other relative, regardless of residency, defined as anindividual related by affinity or consanguinity within the thirddegree as determined by the common law, or individual in a step oradoptive relationship with such degree.

10. “Affiliate” of MF Global Inc.*

11. Any of the persons listed in Items (III.C.1-8), above, if such personis associated with an affiliate of MF Global Inc. as if the affiliatewere MF Global Inc.

*“Affiliate” of MF Global Inc. is defined as:

An entity that directly or indirectly owns, controls, or holds with power to vote, 20% or moreof the outstanding voting securities of MF Global Inc., other than an entity that holds suchsecurities (i) in a fiduciary or agency capacity without sole discretionary power to vote suchsecurities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power tovote;

A corporation 20% or more of whose outstanding voting securities are directly or indirectlyowned, controlled, or held with power to vote, by MF Global Inc., or by an entity thatdirectly or indirectly owns, controls, or holds with power to vote, 20% or more of theoutstanding voting securities of MF Global Inc., other than an entity that holds suchsecurities (i) in a fiduciary or agency capacity without sole discretionary power to vote suchsecurities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power tovote;




9

A person whose business is operated under a lease or operating agreement by MF GlobalInc., or person substantially all of whose property is operated under an operating agreementwith MF Global Inc.;

An entity that otherwise, directly or indirectly, is controlled by or is under common controlwith MF Global Inc.;

An entity that operates the business of all or substantially all of the property of MF GlobalInc. under a lease or operating agreement; or

An entity that otherwise, directly or indirectly, controls MF Global Inc.

D. Is this a discretionary account?

Check one: YES NO

NOTE : If you selected “YES,” specify who has the general authority to buy or

sell orders or effectuate transactions for your account:_____________.

E. Is this a joint account?

Check one: YES NO

NOTE : If you selected “YES,” specify the amount of your percentage interest in

the account, and whether all participants in a joint account are claiming

jointly.

1.

My percentage interest in the account is: _______ %

2. Participants in a joint accountare claiming:

(Check one)

SEPARATELY FULLYJOINTLY

F. Do you have any related accounts?

Check one: YES NO

NOTE: If you selected “YES,” specify the account numbers of your related

accounts. YOU MUST FILE A SEPARATE CLAIM FOR EACH

ACCOUNT.

_____________________________________________________________

_____________________________________________________________

G. Is your claim based on securities futures products?

Check one: YES NO




10

NOTE: If you selected “YES,” are these securities futures products held in a

futures account or a securities account?

Check one: SECURITIESACCOUNT

FUTURESACCOUNT

IV. DETAILS OF YOUR CLAIM

A. Does MF Global Inc. have any claims against you not already included in theequity calculatedyour statement of account balance provided in Item (I.A) above?

Check one: YES NO

NOTE: If you selected “YES,” please provide a detailed description in a signed

attachment of any such claim or claims, and attach any supporting

documentation you have. If you do not provide sufficient details, you

may be sent a deficiency letter seeking additional information.

B. If the equity calculatedyour statement of account balance provided in Item (I.A)above does notNOT include any deposits of money, securitiescash, cashequivalents or other property held by or for MF Global Inc. from or for youraccount, select this box and skip the rest of this question.

“I am not claiming any deposits of money, securitiescash,cash equivalents, or other property held by or for MF GlobalInc. from or for my account.”

OTHERWISE, please indicate whether any such money, securitiescash, cash equivalents,

or other property consists of one of the following (check all that are applicable), and if

you check any one or more of the following, please provide a detailed explanation on a

signed attachment, and attach any supporting documentation you have. If you do not

provide sufficient details, you may be sent a deficiency letter seeking additional

information.

1. Any security deposited as margin which, as of October 31, 2011, wassecuring an open commodity contract and is (i) registered in your name;(ii) not transferable by delivery; and (iii) not a short-term obligation.

2. Any fully-paid, non-exempt security held for your account in whichthere were no open contracts as of October 31, 2011.

3. Any warehouse receipt, bill of lading or other document of titledeposited as margin which, as of October 31, 2011, was securing anopen commodity contract and can be identified in MF Global Inc.’srecords as being held for your account, and is neither in bearer form norotherwise transferable by delivery.

4. Any warehouse receipt, bill of lading or other document of title, or any




11

commodity received, acquired or held by or for MF Global Inc. to makeor take physical delivery or exercise from or for your account and whichcan be identified in MF Global Inc.’s records as received from or foryour account as held specifically for the purpose of delivery or exercise.

5. Any open commodity contract (except as provided in Item (IV.B.8),below) which, as of October 31, 2011, is identified in MF Global Inc.’srecords as being held for your account, is a bona fide hedging positionor transaction as defined in CFTC Rule 1.3(z) or is a commodity optiontransaction which has been determined by the exchange to beeconomically appropriate to the reduction of risks in the conduct andmanagement of a commercial enterprise pursuant to exchange rules, andis in an account designated in MF Global Inc.’s records as a hedgingaccount.

6. Any cash or other property deposited or cash price tendered for anyproperty deposited, prior to October 31, 2011, for the specifically notedpurpose of taking or making physical delivery on an options or futurescontract, which cash or other property is identified on MF Global Inc.’srecords as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If youcheck this box, the Trustee’s Office will contact you to request thatyou provide specific additional information regarding this type of property.

7. Open commodity contracts transferred to another futures commissionmerchant by the Trustee.

OR

8. My claim is not based on any of the types of money, securitiescash, cashequivalents, or other property listed in Items (IV.B.1-7), above.

C. If you checked any boxes in (IV.B.1-7), above, did you separately identify anysuch potentially “Specifically Identifiable Property” to the Trustee by written orelectronic mail on or before November 15, 2011?

Check one: YES NO

D. If you are claiming securities for this account, do you wish to receive payment inkind, to the extent possible?

Check one: YES NO





12

If you cannot compute the amount of your claim, you may file an estimated claim. In that

case, please be sure to indicate that your claim is an estimated claim.



If, at any time, you complained in writing about the handling of your account to any personor entity or regulatory authority, and the complaint relates to the cash or other property thatyou are now seeking, please be sure to provide with your claim copies of the complaint andall related correspondence, as well as copies of any replies that you received.

Please list the full name, address, phone number, and email address of anyone assisting youin the preparation of this claim form:

Full name:

Address:

Phone number:

Email address:


IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF

UP TO FIVE YEARS OR BOTH.


Date Signature

Date Signature

(If ownership of the account is shared (i.e., there is more than one name on the account), all mustsign above. Give each owner’s name, address, phone number, and extent of ownership on asigned separate sheet. If other than a personal account, e.g., corporate, trustee, agent, custodian,etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)




Exhibit 3(D)




MF GLOBAL INC.

In Liquidation


TO ALL PERSONS ASSERTING CLAIMS AS CREDITORS OF MF GLOBAL INC. (OTHER

THAN WITH RESPECT TO SECURITIES ACCOUNTS OR COMMODITY FUTURESACCOUNTS):

Enclosed with this letter is a claim form for creditors of MF Global Inc. (the“Debtor”). If you believe that you have a bona-fide creditor claim against the Debtor, you mustcomplete this form file it with the Trustee electronically online at www.mfglobaltrustee.com orreturn it by certified mail, return receipt requested, to the Trustee at the following address:




If by overnight mail: MF Global Inc. ClaimClaims ProcessingCenter

c/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.Beaverton, OR 97005

In addition to this letter, you should carefully read the enclosed notice concerningthe liquidation of the business of MF Global Inc. This notice informs you of the steps necessaryto protect your interests in the proceeding. Among other things, as indicated in the notice,securities customers and commodity futures customers of the debtor should consider filing theappropriate type of customer claim, also included in today’s mailing.

The Notice also informs all creditors of the Debtor other than customers orbroker-dealers that they must file formal claims with the Trustee within SIX MONTHS of the

date of the Notice.

Because claims are not deemed filed until received by the Trustee at the aboveaddress, if you submit your claim by mail it is strongly recommended that you use certified mail,return receipt requested. No claim will be allowed unless received by the Trustee on orbefore May 28, 2012.June 2, 2012. Claims that are filed electronically must be received by12:00 midnight on the bar date to be considered timely.

You should attach to the completed claim form copies of all documentationsupporting your claim. Please make a copy of the completed claim form and any attacheddocumentation for your own records.

DATED: November 28,December 2, 2011Very truly yours,

____________________________James W. Giddens,Trustee for the SIPA Liquidation of MF Global Inc.









Exhibit 3(E)




MF Global Inc. Claims Processingc/o Epiq Bankruptcy Solutions, LLC

757 Third Avenue, 3rd FloorNew York, NY 10017

In re MF Global Inc.


REQUEST FOR ADDITIONAL INFORMATION—COMMODITY FUTURESCUSTOMER CLAIM

[Date]

VIA UPS OVERNIGHT

[EPIQ TO POPULATENAME OF CLAIMANT ANDADDRESS OF CLAIMANT]

Re: Claim Number(s): [A1]

Dear Claimant:

PLEASE READ THIS NOTICE CAREFULLY

The liquidation of the business of MF Global Inc. (“MFGI”) is being conducted under theabove-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered onOctober 31, 2011 by the United States District Court for the Southern District of New York. Weacknowledge receipt of the above-referenced claim(s) in this proceeding (the “Claim”).

We have begun processing your Claim, but require the following information and/ordocumentation in order to properly evaluate your Claim:

Please provide the MFGI account number that relates to this claim.

Please provide your daytime phone number.

Please provide your email address.

Please provide your taxpayer I.D. Number.

Please provide your Social Security Number.

Please enclose a copy of your last MFGI account statement or any documents to indicate that you held anaccount at MFGI.

Please provide copies of all correspondence you had with MFGI or any of their representatives or affiliates.

Section I.A—Please state the total amountyour beginning and ending account balance, and account value atmarket, as of the close of business on October 31, 2011, of MFGI’s indebtedness to youincluding (i) cash,cash equivalents, or other property (including margin); and (ii) open trade equity. Please indicate whetherthis amount is estimated or calculatedor not any amounts listed are estimated, and attach any supportingdocumentation that you have.




2

Section I.A—Please indicate whether the total amountyour beginning and ending account balance, andaccount value at market, as of the close of business on October 31, 2011, of MFGI’s indebtedness toyouincluding (i) cash, cash equivalents, or other property (including margin); and (ii) open trade equity that you stated in your filed claim is estimated or calculatedare estimated or not.

Section I.A.1—Please state the amount of cash, cash equivalents, or other property (including margin) inthe account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, andattach any supporting documentation that you have.

Section I.A.2—Please state the open trade equity in the account, as of October 31, 2011. Please indicatewhether or not the amount listed is estimated, and attach any supporting documentation that you have.

Section I.B—Please answer “yes” or “no”—Was the entire sum you entered in part I.A of yourfiled claim based on cash or cash equivalents (including securities posted as collateral) in youcommodity futures account (i.e., you had no open positions in your account on October 31, 2011)?If “yes,” please (1) state the amount of cash or cash equivalents in the account, as of October 31,2011; and (2) state the equity, as of October 31, 2011, based on the commodity transactions in theaccount (i.e., not based on cash or cash equivalents). On October 31, 2011, did your accountcontain open trade equity or cash, cash equivalents, or other property associated with themargining of Foreign Futures (i.e., futures or options on futures traded on an exchange locatedoutside of the United States)?

Section I.B.1—Please state the amount of cash or cash equivalents in the account, as of October 31, 2011.If,on October 31, 2011, your account contained open trade equity of—or cash, cash equivalents, or otherproperty (including margin) associated with—Foreign Futures (i.e., futures or options on futures traded onan exchange located outside of the United States), please identify (1) the amount of Foreign Futures opentrade equity contained in your account; and (2) the amount of Foreign cash, cash equivalents, or otherproperty contained in your account. Please indicate whether or not any amounts listed are estimated, andattach any supporting documentation that you have.

Section I.B.2—Please state the equity, as of October 31, 2011, based on the commodity transactions in theaccount (i.e., not based on cash or cash equivalents)1—Please indicate whether the amounts of open tradeequity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e.,futures or options on futures traded on an exchange located outside of the United States) that you stated onyour filed claim are estimated or not.

Section I—Please provide a detailed description on a signed attachment of the basis for the amounts youstated in Item I in your filed claim, and attach any supporting documentation that you have.

Section II.A—Please answer “yes” or “no”—Was any part of If your account had any open commoditycontracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more

transferee futures commission merchants after October 31, 2011? If “yes,” then please (1) identify thename(s) of the transferee futures commission merchant(s); (2) identifysummarize the commodity contracts(including futures and options on futures) that were transferred (to each transferee, if more than one),; and(3) specify the amount of collateralmargin, in U.S. dollars, that was transferred along with such commoditycontracts, if any. Please also state the open trade equity based on the commodity contracts that weretransferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existedin the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, andattach any supporting documentation that you have.

Section II.A—Please indicate whether any amounts that you stated on your filed claim form, in connectionwith open commodity contracts in your account that were transferred to one or more transferee futurescommission merchants after October 31, 2011, were estimated or not.

Section II.A.1—You have indicated that all or part of your account washad open commodity contracts thatwere transferred to one or more transferee futures commission merchants after October 31, 2011. Pleaseidentify the name(s) of the transferee futures commission merchant(s). Please attach any supporting

documentation that you have. Section II.A.2—You have indicated that all or part of your account washad open commodity contracts that

were transferred to one or more transferee futures commission merchants after October 31, 2011. Pleaseidentifysummarize the commodity contracts (including futures and options on futures) that weretransferred (to each transferee, if more than one). Please indicate whether or not any amounts listed areestimated, and attach any supporting documentation that you have.

Section II.A.3—You have indicated that all or part of your account washad open commodity contracts thatwere transferred to one or more transferee futures commission merchants after October 31, 2011. Pleasespecify the amount of collateralmargin, in U.S. dollars, that was transferred along with such commodity




3

contracts, if any. Please indicate whether or not the amount listed is estimated, and attach any supportingdocumentation that you have.

Section II.A.4—You have indicated that all or part of your account washad open commodity contracts thatwere transferred to one or more transferee futures commission merchants after October 31, 2011. Pleasestate the open trade equity based on the commodity contracts that were transferred from the account: (i) asof the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011.Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation

that you have.

Section II.B—Please answer “yes” or “no”—Did you liquidate any open commodity contracts onor after October 31, 2011?

Section II.B—Please indicate whether any amounts that you stated on your filed claim form, in connectionwith open commodity contracts in your account that you liquidated on or after October 31, 2011, wereestimated or not.

Section II.B.1—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. Please summarize the commodity contracts (including futures and options onfutures) that you liquidated. Please attach any supporting documentation that you have.

Section II.B.2—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. In order to determine the net profit/loss resulting from these liquidations,please summarize the equity of the commodity contracts that you liquidated (i) as of the date of liquidation; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please

indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.B.3—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. Please answer “yes” or “no”—Were any of the open commodity contracts youliquidated on or after October 31, 2011 Foreign Futures (i.e., futures or options on futures tradedon an exchange located outside of the United States)? If “yes,” then please summarize the ForeignFutures that you liquidated. In order to determine the net profit/loss resulting from theseliquidations, please also summarize the equity of the Foreign Futures that you liquidated (i) as of the date of liquidation; and (ii) as the Foreign Futures existed in the account on October 31, 2011.Please indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.C—Please answer “yes” or “no”—If your account had any cash, cash equivalents, orother property as of October 31, 2011, was any cash, cash equivalents, or other propertytransferred from your account to one or more transferee futures commission merchants after

October 31, 2011—OTHER THAN margin (i.e.

, cash, cash equivalents, or other property) thatwas transferred with open commodity contracts (which you should have identified in Item II.A onyour filed claim form)? If “yes,” please identify (1) the name(s) of the transferee futurescommission merchant(s); and (2) the amount of cash, cash equivalents, or other property that wastransferred (to each transferee, if more than one). Please indicate whether or not any amountslisted are estimated, and attach any supporting documentation that you have.

Section II.C.1—You have indicated that your account had cash, cash equivalents, or otherproperty that was transferred from your account to one or more transferee future commoditymerchants after October 31, 2011 OTHER THAN margin (i.e., cash, cash equivalents, or otherproperty) that was transferred with open commodity contracts. Please identify the name(s) of thetransferee futures commission merchant(s). Please attach any supporting documentation that youhave.

Section II.C.2—You have indicated that your account had cash, cash equivalents, or otherproperty that was transferred from your account to one or more transferee future commodity

merchants after October 31, 2011 OTHER THAN margin (i.e.

, cash, cash equivalents, or otherproperty) that was transferred with open commodity contracts. Please identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more thanone). Please indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.D—In the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or otherproperty), if any, was transferred to another futures commission merchant. Please attach anysupporting documentation that you have.




4

Section III.A—Please specify the type of your account (select oneall that are applicable): (1) futuresaccount; (2) foreign futures account; (3) leverage account; (4) option account—exchange-traded; (5) optionaccount—dealer; (6) delivery account; (7) cleared OTC derivatives account.

Section III.B—Please specify the capacity in which you hold the account (listselect all that applyareapplicable): (1) individual capacity; (2) as guardian, custodian, or conservator for the benefit of a ward or aminor under the Uniform Gift to Minors Act; (3) as executor or administrator of an estate; (4) as trustee forthe trust beneficiary; (5) in the name of a corporation, partnership, or unincorporated association; (6) as an

omnibus customer account of the undersigned futures commission merchant; (7) as part owner of a jointaccount; (8) in the name of a plan which, on October 31, 2011, had in effect a registration statement inaccordance with the requirements of § 1031 of the Employee Retirement Income Security Act of 1974 andthe regulations thereunder; (9) as agent or nominee for a principle or beneficial owner (and not describedin itemsItems III.B.1-8); (10) in any other capacity not already described in itemsItems III.B.1-9 (pleasespecify).

Section III.C—Please indicate whether any person (including a general partnership, limited partnership,corporation, or other type of association) on whose behalf the account is held is one of the following personsor if one of the following persons, alone or jointly, holds 10% or more of the account (listselect all thatapplyare applicable): (1) MF Global Inc.; (2) Director of MF Global Inc.; (3) Officer of MF Global Inc.; (4)Person in control of MF Global Inc.; (5) Partnership in which MF Global Inc. is a general partner; (6)Owner of ten percent or more of the capital stock of MF Global Inc.; (7) Employee of MF Global Inc. whoseduties include (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the

trades or funds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts onbehalf of MF Global Inc.; (8) Managing agent of MF Global Inc.; (9) A spouse or minor dependent living inthe same household of any of the persons listed in itemsItems III.C.1-8, or any other relative, regardless of residency, defined as an individual related by affinity or consanguinity within the third degree asdetermined by the common law, or individual in a step or adoptive relationship with such degree; (10)“Affiliate” of MF Global Inc. (as defined in the claim form); or (11) Any of the persons listed in itemsItems II.C.1-8, if such person is associated with an affiliate of MF Global Inc. as if the affiliate were MF GlobalInc.

Section III.D— Please answer “yes” or “no,” whether”—Was this is a discretionary account. ? If “yes,”please specify who has the general authority to buy or sell orders or effectuate transactions for youraccount.

Section III.E— Please answer “yes” or “no,” whether”—Was this is a joint account.? If “yes,” pleasespecify the amount of your percentage interest in the account, and whether all participants in a jointaccount are claiming jointly.

Section III.F—Please answer “yes” or “no”—Do you have any related accounts? If “yes,” please specify theaccount numbers of your related accounts. Note that you must file a separate claim for each account.

Section III.FG—Please answer “yes” or “no,” whether”—Was your claim based on securities futuresproducts.? If “yes,” please specify whether this is a securities account or futures account.

Section IV.A—Please answer “yes” or “no,” whether”—Does MF Global Inc. hashave any claims againstyou not already included in the equity calculated in itemyour statement of account balance provided in Item I.A of your claim form. If “yes,” please provide a detailed description in a signed attachment of any suchclaim or claims, and attach any supporting documentation.

Section IV.A—You indicated that MF Global Inc. has a claim or claims against you not already included inthe equity calculated in itemItem I.A of your claim form. Please provide a detailed description in a signedattachment of any such claim or claims, and attach any supporting documentation.

Section IV.B— Please answer “yes” or “no,” whether the equity calculated in item”—Does your statementof account balance provided in Item I.A of your claim form includes any deposits of money,

securitiesinclude any cash, cash equivalents, or other property held by or for MF Global Inc. from or foryour account. ?

Section IV.B—You indicated that the equity calculated in itemyour statement of account balance providedin Item I.A of your claim form includes deposits of money, securitiescash, cash equivalents, or otherproperty held by or for MF Global Inc. from or for your account. Please indicate whether any such money,securitiescash, cash equivalents, or other property consists of one of the following descriptions, and if so,please provide a detailed explanation on a signed attachment, and attach any supporting documentationyou have. Please listselect all that apply: are applicable:




5

1. Any security deposited as margin which, as of October 31, 2011, was securing an opencommodity contract and is (i) registered in your name; (ii) not transferable by delivery; and(iii) not a short-term obligation.

2. Any fully-paid, non-exempt security held for your account in which there were no opencontracts as of October 31, 2011.

3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, asof October 31, 2011, was securing an open commodity contract and can be identified in MF

Global Inc.’s records as being held for your account, and is neither in bearer form norotherwise transferable by delivery.

4. Any warehouse receipt, bill of lading or other document of title, or any commodity received,acquired or held by or for MF Global Inc. to make or take physical delivery or exercise fromor for your account and which can be identified in MF Global Inc.’s records as received fromor for your account as held specifically for the purpose of delivery or exercise.

5. Any open commodity contract (except as provided in item (IV.B.8.), below) which, as of October 31, 2011, is identified in MF Global Inc.’s records as being held for your account, is abona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodityoption transaction which has been determined by the exchange to be economicallyappropriate to the reduction of risks in the conduct and management of a commercialenterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.’srecords as a hedging account.

6. Any cash or other property deposited or cash price tendered for any property deposited,prior to October 31, 2011, for the specifically noted purpose of taking or making physicaldelivery on an options or futures contract, which cash or other property is identified on MFGlobal Inc.’s records as received from or for your account within three or less days of thenotice date or three or less days of the exercise date. NOTE: If yes, the Trustee’s Office willcontact you to request that you provide specific additional information regarding this type of property.

7. Open commodity contracts transferred to another futures commission merchant by thetrusteeTrustee.

OR

8. Your claim is not based on any of the types of money, securitiescash, cash equivalents, orother property listed in itemsItems IV.B.1-7, above.

Section IV.C— Please answer “yes” or “no”—If you selected any of Items IV.B.1–7 above, did youseparately identify any such potentially “Specifically Identifiable Property” to the Trustee by

written or electronic mail on or before November 15, 2011? Section IV.D—Please answer “yes” or “no,” whether”—Are you are claiming securities for thisthe account.

listed in your filed claim? If “yes,” please answer “yes” or “no,” whether you wish to receive payment inkind, to the extent possible. ”—Do you wish to receive payment in kind, to the extent possible?

Section IV.D—You indicated that you are claiming securities for the account listed in your filed claim.Please answer “yes” or “no”—Do you wish to receive payment in kind, to the extent possible?

Please provide the full name(s), address(es), phone number(s), and email address(es) of each person thatassisted you in the preparation of your claim form.

The submitted claim form does not include the claimant’s dated signature. Please have the claimant signand date the enclosed Amendment to Claim Form.

Because the account is a joint account, please have each account holder sign and date the enclosedAmendment to Claim Form.

Your Claim cannot be processed further until you provide us with the requestedinformation and/or documentation. Please return a copy of this letter with the requestedinformation via certified mail, return receipt requested to:

MF Global Inc. Claims Processingc/o Epiq Bankruptcy Solutions, LLC757 Third Avenue, 3rd FloorNew York, NY 10017




6

If you are unable to provide the requested information and/or documentation, pleaseprovide a brief written explanation. We request your response within (30) thirty (30) daysfrom the date of this letter or your Claim may be denied. Thank you for your cooperation.

Very truly yours,

MFGI Claims Processing





MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]Account Name: Daytime Phone:

Account Number: Email:

Address:

Contact Person: Taxpayer I.D. Number(Social Security No.) ______________

INSTRUCTIONS

Because you failed to sign the claim form you provided, sign and date the below Amendment to

Claim Form. If ownership of the account is shared (i.e., there is more than one name on the

account), all must sign below. Please provide each owner’s name, address, phone number, and

extent of ownership on a signed separate sheet. If other than a personal account, (e.g., corporate,

trustee, custodian, etc.), also state your capacity and authority. Please supply the trust agreement

or other proof of authority.

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 ORIMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH.


Date Signature

Date Signature








REQUEST FOR ADDITIONAL INFORMATION—SECURITIES CUSTOMER CLAIM

[Date]

VIA UPS OVERNIGHT



Dear Claimant:









Please enclose a copy of your last MFGI account statement or copies of any documents toindicate that you held an account at MFGI.

Please provide copies of all correspondence you had with MFGI or any of its representativesor affiliates.

Section I—Please state the total value of your claim against MFGI, based on, as of October31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) the




2

value of all securities owed to you by MFGI less all securities you owe to MFGI, if any.Please indicate whether this value is estimated or calculated.

Section I—Please indicate whether the total value of your claim that you provided wasestimated or calculated.

Section II.A—Please state your claim for money balances or cash as of October 31, 2011 asfollows (i) the amount in which MFGI owes you a credit or cash, if any, (ii) the amount in

which you owe MFGI a debit or cash, if any. Section II.B—Please state your claim for securities as of October 31, 2011 as follows: (i)

indicate whether MFGI owes you securities, (ii) indicate whether you owe MFGI securities,and (iii) please list the date of transaction (trade date), name of security, and number of shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short).

Section II.B—You indicated that you have a claim for securities as of October 31, 2011.Please list the date of transaction (trade date), name of security, and number of shares or faceamount of bonds that MFGI owes you (long), and that you owe MFGI (short).

Section III.1—Please answer “yes” or “no”—Does your claim in any way relate to an entityother than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USAInc. or another MF Global subsidiary)? If “yes,” then please provide a detailed explanationon a signed attachment.

Section III.1—You have indicated that your claim relates to an entity other than MF Global

Inc. Please provide a detailed explanation on a signed attachment. Section III.2—Please answer “yes” or “no”—Has there been any change in your account since

October 31, 2011? If “yes,” then please provide a detailed explanation on a signedattachment.

Section III.2—You have indicated that there has been a change in your account since October31, 2011. Please provide a detailed explanation on a signed attachment.

Section III.3—Please answer “yes” or “no”—Are you, or were you ever, a director, officer,partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverserepurchase agreement of MFGI? If “yes,” then please provide a detailed explanation on asigned attachment.

Section III.3—You have indicated that you are or were a director, officer, partner,shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchaseagreement of MFGI. Please provide a detailed explanation of the circumstances on a signed

attachment. Section III.4—Please answer “yes” or “no”—Are you related to, or do you have any business

venture with a director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any employee or other person associated in any way with MFGI? If so, pleaseprovide the full name of each such person.

Section III.4—You have indicated that you are related to, or have anya business venture witha director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or anyemployee or other person associated in any way with MFGI. Please provide the full name of each such person.

Section III.5—Please answer “yes” or “no”—Are you or were you a person who, directly orindirectly, through agreement or otherwise, exercised or had the power to exercise acontrolling influence over the management or policies of MFGI? If “yes,” then pleaseprovide a detailed explanation on a signed attachment.

Section III.5—You have indicated that you are or were a person who, directly or indirectly,through agreement or otherwise, exercised or had the power to exercise a controllinginfluence over the management or policies of MFGI?. Please provide a detailed explanationon a signed attachment.

Section III.6—Please answer “yes” or “no”—Is this claim being filed on behalf of a customerof a broker, dealer, or bank? If the answer is “yes,” please provide documentation withrespect to each customer on whose behalf you are claiming.

Section III.6—You have indicated that your claim is being filed on behalf of a customer of abroker, dealer, or bank. Please provide documentation with respect to each customer onwhose behalf you are claiming.




3

Section III.7—Please answer “yes” or “no”—Have you ever given any discretionary authorityto any person to execute securities transactions with or through MFGI on your behalf? If “yes,” please provide the full names, addresses and phone numbers for each person.

Section III.7—You have indicated that you have given discretionary authority to anotherperson to execute securities transactions with or through MFGI on your behalf. Pleaseprovide the full names, addresses, and phone numbers for each such person.

Section III.8—Please answer “yes” or “no”—Have you or any member of your family everfiled a claim under the Securities Investor Protection Act of 1970? If “yes,” please providethe full name of the broker involved in the claim.

Section III.8—You have indicated that you or a member of your family has filed a claimunder the Securities Investor Protection Act of 1970. Please provide the full name of thebroker involved in the claim.

Please provide the full name(s), address(es), phone number(s), and email address(es) of eachperson that assisted you in the preparation of your claim form.

The submitted claim form does not include the claimant’s dated signature. Please have theclaimant sign and date the enclosed Amendment to Claim Form.

Because the account is a joint account, please have each account holder sign and date theenclosed Amendment to Claim Form.



If you are unable to provide the requested information and/or documentation, pleaseprovide a brief written explanation. We request your response within (30) thirty (30) daysfrom the date of this letter or your Claim may be denied. Thank you for your cooperation.

Very truly yours,





SECURITIES CUSTOMER CLAIM FORM

MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]

Account Name: Daytime Phone:


Address:


INSTRUCTIONS




extent of ownership on a signed separate sheet. If other than a personal account, (e.g., corporate,



IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR

IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH.


Date Signature

Date Signature








2

regarding this determination or facts giving rise to this determination, absent prior Courtapproval.

PLEASE TAKE FURTHER NOTICE: You must file your opposition in accordance with theabove procedure electronically with the Court on the docket of In re MF Global Inc., Case No.11-2790 (MG) SIPA in accordance with General Order M-242 (available atwww.nysb.uscourts.gov/orders/orders2.html) by registered users of the Court’s case filingsystem and by all other parties in interest on a 3.5 inch disk, preferably in Portable DocumentFormat (PDF), Microsoft Word or any other Windows-based word processing format.

If you do not have means to file your opposition electronically, you may mail your opposition to:

Clerk of the United States Bankruptcy CourtSouthern District of New York One Bowling GreenNew York, New York 10004

PLEASE TAKE FURTHER NOTICE: You must serve your opposition upon the Trustee’scounsel by mailing a copy to:

Hughes Hubbard & Reed LLPOne Battery Park PlazaNew York, NY 10004Attn: MFGI Hearing Request






Exhibit 3(G)





In re

MF GLOBAL INC.,

Debtor.


ORDER APPROVING TRUSTEE’S EXPEDITED APPLICATION FORESTABLISHING

ESTABLISH PARALLEL CUSTOMER CLAIMS PROCESSES FOR COMMODITYFUTURES CUSTOMER AND SECURITIES CUSTOMER CLAIMS, APPROVING

FORM AND MANNER OF PUBLICATION AND MAILING OF NOTICE OFCOMMENCEMENT; SPECIFYING PROCEDURES AND FORMS FOR FILING,INFORMAL AND FORMAL DETERMINATION, AND ADJUDICATION OF CLAIMS;

FIXING A MEETING OF CUSTOMERS AND OTHER CREDITORS;AND FIXING INTERIM REPORTING PURSUANT TO SIPAAND

RELATED RELIEF

Upon the Trustee’s expedited application seeking entry of an order (1)

establishing parallel claims processes for commodity futures customer and securities customer

claims; (2) approving the form and manner of the publication and mailing of the notice of

commencement of this proceeding; (3) specifying procedures and forms for the filing,

determination, and adjudication of claims; (4) fixing a meeting of customers and other creditors;

and (5) fixing an interim reporting procedure pursuant to SIPA (the “Application”);1 and due and

proper notice of the Application having been provided; and it appearing that no other or further

notice need be provided; and upon consideration of the various objections (collectively, the

“Objections”) interposed to the Trustee’s Application; and upon consideration of the Trustee’s

1. Terms not defined herein shall have the meaning used in the Application.




2

61589570_12

Omnibus Reply to the Objections to the Application (the “Reply”); and a hearing having been

held on November 16,22, 2011, to consider relief requested in the Application (the “Hearing”),

and upon the record of the Hearing, and all the proceedings had before the Court; and the Court

having found and determined that the relief sought in the Application is in the best interests of

the Debtor, its estate, securities customers, commodity futures customers, other creditors, and all

parties in interest, and that the legal and factual bases set forth in the Application establish just

cause for the relief granted herein; and after due deliberation and sufficient cause appearing

therefore, it is:

ORDERED that the Application is granted; and it is further

ORDERED that the notice of commencement attached as Exhibit 4 (A) to the

ApplicationReply (the “Notice of Commencement”), and the explanatory letters, claim forms,

instructions and notice of deficiency of claim and notice of trustee’s determination of claim

appearing as Exhibits Exhibit 4 (B, C, D, E, and F) to the ApplicationReply be, and they hereby

are, authorized and approved; and it is further

ORDERED that the Trustee shall have the authority, on the advice and consent of

the Securities Investment Protection Corporation (“SIPC”) and the Commodity Futures Trading

Commission (“CFTC”), to amend these forms without further order of this Court; and it is

further

ORDERED that the Trustee shall cause the Notice of Commencement,

substantially in the form attached to the ApplicationReply as Exhibit 4 (A), to be published no

later than November 28,December 2, 2011 in all editions of The New York Times, all editions of

The Wall Street Journal, all editions of The Financial Times, and all editions of The Chicago

Tribune; and it is further




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61589570_13

ORDERED that the Trustee shall cause documents substantially in the form of

Exhibits Exhibit 4 (A, B, C, and D) to the ApplicationReply to be mailed to persons who, as

identified from the Debtor’s books and records, may potentially assert claims as securities

customers, commodity futures customers, or general creditors, on or before November

28,December 2, 2011, and finding that such mailing complies with SIPA § 78fff-2(a)(i) and

Bankruptcy Code § 765(a) and 17 C.F.R. § 190.02(b)(4); and it is further


Exhibits Exhibit 4 (A, B, C, and D) to the ApplicationReply to be made available on the

Trustee’s website, www.mfglobaltrustee.com, for download, no later than the day after the date

of entry of this order; and it is further

ORDERED that the Trustee shall have the authority, as provided in section 78fff-

2(b) of SIPA, to satisfy securities customer claims, insofar as the claims agree with the Debtor’s

books and records, or are otherwise established to the Trustee’s satisfaction, without further

orders of this Court; and it is further

ORDERED that nothing in this order shall prevent the Trustee from agreeing to

procedures for intercompany claims as the Trustee may determine is in the best interests of the

MFGI estate; and it is further

ORDERED that, with respect to securities customer net equity claims, the Trustee

shall have the authority to satisfy claims out of moneys made available to the Trustee by SIPC

notwithstanding the fact that there has not been any showing or determination that there are

sufficient funds of the Debtor available to satisfy such claims; and it is further

ORDERED that, with respect to securities customer claims relating to, or

securities customer net equities based upon, securities of a class and series of an issuer which are




4

61589570_14

ascertainable from the books and records of the Debtor or are otherwise established to the

satisfaction of the Trustee, the Trustee shall have the authority to deliver securities of such class

and series, if and to the extent available to satisfy such claims in whole or in part, with partial

deliveries to be made pro rata to the greatest extent considered practicable by the Trustee; and it

is further

ORDERED that the Trustee shall implement the procedures prescribed in 17

C.F.R. § 190.08 for allocation and distribution of commodity futures customer property, to

satisfy commodity futures customer claims, insofar as the claims agree with the Debtor’s books

and records, or are otherwise established to the Trustee’s satisfaction; and it is further

ORDERED that the Trustee shall use the following procedure for those securities

customer claims, as defined in SIPA, and commodity futures customer claims, as defined in the

Commodity Broker Liquidation Provisions and the Part 190 Regulations, which are not allowed

as filed:

a. The Trustee will notify the claimant that the Trusteehas determined that the claimant’s claim has beendisallowed in whole or in part or has otherwise notbeen approved for satisfaction as filed. Notificationshall be in a form similar to the Notice of Determination of Claim, attached as Exhibit Dhereto. If a claimant is aggrieved by thedetermination of the Trustee, the claimant, upon theTrustee’s motion to uphold such determination,shall be afforded the opportunity to have the matterheard by the Court as a contested matter under Rule9014 of the Bankruptcy Rules. Prior to theTrustee’s filing of a motion to uphold hisdetermination, no discovery or other motionpractice shall occur regarding the Trustee’sdetermination of claim or facts giving rise to suchdetermination, absent prior Court approval.4 (D) tothe Reply.




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61589570_15

b. The claimant shall file a written opposition to theTrustee’s determination in accordance with theinstructions included with the Trustee’sdetermination. The claimant shall file the writtenopposition with the Bankruptcy Court in accordance

with local rules, and serve upon the Trustee’scounsel, Hughes Hubbard & Reed LLP, OneBattery Park Plaza, New York, NY 10004,Attention: MFGI Hearing Request, within thirtydays of the date on which the Trustee mailed hisdetermination. The request shall include: (i) theclaim number; (ii) a detailed statement of thereasons for the claimant’s objection to the Trustee’sdetermination; (iii) copies of any document or otherwriting upon which the claimant relies; and (iv)mailing, phone, and email contact information for

the claimant.

c. The Trustee shall, within 120 days of the date onwhich the claimant filed a written opposition to theTrustee’s determination, use his best effort to movethe Court to set a time and date for a statusconference regarding the claim determinationdispute or to move to uphold his determination of the claim. The Trustee shall, upon his motion touphold the determination, ask the Court to set a timeand date for a hearing and shall notify the claimantin writing of the time, date and place of the hearing.The Trustee may, in his discretion, upon the adviceand consent of SIPC (and, with respect tocommodity futures customer claims, the CFTC),establish such other procedures for adjudication of claims as lead to the most efficient and orderlyadministration of the claims process for allclaimants without further order of this CourtIf within 120 days of the date that the claimant filed awritten opposition, the Trustee does not either (i)request a status conference, or (ii) file a motion touphold the determination, the claimant may thenmove the Court to set a time and date for a hearingon the claim determination dispute.Notwithstanding the procedures outlined herein, theclaimant and the Trustee may stipulate to informallyresolve their dispute and/or any extensions of any of the foregoing timeframes without further leave of the Court. Moreover, for avoidance of doubt,




6

61589570_16

nothing in these procedures shall preclude theTrustee from moving the Court earlier.

d. If a claimant is aggrieved by the determination of the Trustee, the claimant, upon the Trustee’s motion

to uphold such determination, or—if the Trusteefails to timely move for a status conference or touphold his determination, as set forth in subsection(c) above—upon the claimant’s motion for ahearing, shall be afforded the opportunity to havethe matter heard by the Court as a contested matterunder Rule 9014 of the Bankruptcy Rules. Prior tothe Trustee’s filing of a motion to uphold hisdetermination, or the claimant’s allowed motion fora hearing, no discovery or other motion practiceshall occur regarding the Trustee’s determination of

claim or facts giving rise to such determination,absent prior Court approval.

e. If a claimant fails to file a written opposition withinthirty days of the mailing of the Trustee’sdetermination in accordance with the proceduresestablished by this Court’s Order, or if the claimantfails to appear at a scheduled hearing, then theTrustee’s determination shall be final.

ORDERED that the Trustee shall have the authority to compromise and settle any

customer claim at any time, as appropriate, without further order of this Court and all parties to

this proceeding are directed to cooperate with the Trustee to the maximum extent possible to

achieve swift resolution of claims where possible; and it is further

ORDERED that any claim of a securities customer for net equity under SIPA

which is received by the Trustee after the expiration of a sixty-day time period beginning on the

date of publication of the Notice of Commencement need not be paid or satisfied in whole or in

part out of customer property, and, to the extent such claim is satisfied from monies advanced by

SIPC, it shall be satisfied in cash or securities (or both) as the Trustee determines is most

economical to the estate; and it is further




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61589570_17

ORDERED that based on the November 28,December 2, 2011 mailing date for

the Notice of Commencement, the bar date for the claims of commodity futures customers is

January 27,31, 2012, the bar date for receiving the maximum possible protection for securities

customer claims under SIPA is January 27,31, 2012, and the bar date for all securities customer

claims or general creditor claims is May 28,June 2, 2012;2 and it is further

ORDERED that claims against the Debtor in this proceeding shall be filed with

the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified

mail, return receipt requested, through the Trustee’s claims agent, Epiq Bankruptcy Solutions,

LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq

Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via

overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq

Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005; and it is further

ORDERED that a meeting of customers and creditors will take place on January

12, 2012 at 10:00 a.m., at the New York Marriott Downtown, 85 West Street, New York, NY

10006; and it is further

ORDERED that the Trustee shall file his first report pursuant to SIPA § 78fff-1(c)

within six months after publication of the Notice of Commencement, and shall file interim

reports at least every six months thereafter.

2. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing

information occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered bythe Court will remain in full force and effect.




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61589570_18

Dated: New York, New York November __, 2011

____________________________________HONORABLE MARTIN GLENNUNITED STATES BANKRUPTCY JUDGE




Document comparison by Workshare Professional on Monday, November 21, 201112:11:02 AM

Input:

Document 1 ID interwovenSite://NY_FILESITE/East/61589570/1

Description #61589570v1<East> - MFGI Housekeeping MotionOriginal Exhibits

Document 2 ID interwovenSite://NY_FILESITE/East/61588815/1

Description#61588815v1<East> - MFGI Housekeeping MotionAmended Exhibits

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Exhibit 4(A)





In re

MF GLOBAL INC.,

Debtor.Case No. 11-2790 (MG) SIPA

Commencement of Liquidation Proceeding

NOTICE IS HEREBY GIVEN that on October 31, 2011 the Honorable Paul A.Engelmayer, Judge of the United States District Court for the Southern District of New York,entered an Order granting the application of the Securities Investor Protection Corporation(“SIPC”) for issuance of a Protective Decree adjudicating that the customers of MF Global Inc.(the “Debtor”), are in need of the protection afforded by the Securities Investor Protection Act of 1970 (“SIPA”). James W. Giddens (the “Trustee”) was appointed trustee for the liquidation of the business of the Debtor, and Hughes Hubbard & Reed LLP was appointed as counsel to theTrustee.

Deadlines for Submitting Claims

NOTICE IS HEREBY GIVEN that commodity futures customers of the Debtormust file their claims with the Trustee within SIXTY DAYS after the date of this Notice or theirclaim will be barred (unless extended, for good cause only). No extension for filing acommodity futures customer claim will be granted beyond the six-month period after the date of this Notice, regardless of cause. Commodity futures customer claims that are filed after thesixty-day period, but before the six-month period after this Notice may be afforded general

creditor status.

Securities customers of the Debtor who wish to avail themselves of the maximumprotection afforded to them under SIPA are required to file their claims with the Trustee withinSIXTY DAYS after the date of this Notice. Securities customers may file their claims up to sixmonths after the date of this Notice; however, the filing of securities customer claims after thesixty-day period but within the six-month period may result in less protection for the securitiescustomer under SIPA.

All claims must be filed with the Trustee electronically online atwww.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested to

one of the following addresses:



If by overnight mail: MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.Beaverton, OR 97005




2

Customer claims will be deemed filed only when received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

Forms for the filing of customers’ claims are being mailed to customers of theDebtor as their names and addresses appear on the Debtor’s books and records. Customer claimforms are also available on the Trustee’s website, www.mfglobaltrustee.com, or by writing to theTrustee at the address of his counsel below.

Claims by broker-dealers for the completion of open contractual securitiescommitments must be filed with the Trustee within sixty days after the date of this Notice. Suchclaims will be deemed to be filed only when received by the Trustee.

All other creditors of the Debtor must file formal claims with the Trustee at theaddress shown above within SIX MONTHS after the date of this Notice. All such claims willbe deemed filed only when received by the Trustee.

For the avoidance of doubt, (i) claims of commodity futures customers must

be received by the Trustee on or before January 31, 2012; (ii) claims of securities customersseeking the maximum protection under SIPA must be received by the Trustee on or beforeJanuary 31, 2012; and (iii) all claims must be received by the Trustee on or before June 2,2012, or they will be absolutely barred. No commodity futures customer claim will beallowed unless received by the Trustee on or before January 31, 2012, or unless extended(for good cause only); but, if received by the Trustee after January 31, 2012, but on orbefore June 2, 2012, a commodity futures customer claim may be afforded general creditorstatus.

The Trustee has published protocols for certain transactional claims. Theseprotocols should be reviewed carefully before submitting a claim to the Trustee, and are

available at the Trustee’s website, www.mfglobaltrustee.com.

Automatic Stay Of Actions Against The Debtor

NOTICE IS HEREBY GIVEN that as a result of the issuance of the ProtectiveDecree, certain acts and proceedings against the Debtor and its property are stayed as provided in11 U.S.C. § 362 and by order of the United States District Court for the Southern District of NewYork, entered October 31, 2011 by the Honorable Paul A. Engelmayer.

Meeting of Customers and Other Creditors

NOTICE IS HEREBY GIVEN that a meeting of customers and other creditors

will be held at the New York Marriott Downtown, 85 West Street, New York, NY 10006, onJanuary 12, 2012 at 10:00 a.m. The Trustee will preside at such meeting, to provide informationabout the customer claims process and the progress of this SIPA liquidation.

Additional Information

NOTICE IS HEREBY GIVEN THAT copies of this Notice, claim forms, andother background on this SIPA liquidation may be found on SIPC’s website, www.sipc.org under




3

Proceedings/Liquidation, and on the Trustee’s website, www.mfglobaltrustee.com. From time totime other updated information and notices concerning this proceeding may also be posted atthese websites.

Dated: New York, New York December 2, 2011

HUGHES HUBBARD & REED LLPOne Battery Park PlazaNew York, New York 10004Telephone: (212) 837-6000Facsimile: (212) 422-4726





Exhibit 4(B)




MF GLOBAL INC.

In Liquidation

December 2, 2011

TO ALL PERSONS ASSERTING CLAIMS AS SECURITIES CUSTOMERS OF MFGLOBAL INC.:

Enclosed are a securities customer claim form, securities customer claim forminstructions, and a separate letter for broker dealers having open securities or money balances asof October 31, 2011 with MF Global Inc. (the “Debtor”). You will receive a separate securitiescustomer claim form packet for each securities account you have with MF Global Inc., asidentified from MF Global Inc.’s books and records. If you also have one or more commodityfutures customer accounts with the Debtor, you also will receive a separate claim packet forfiling a commodity futures customer claim for each such account. Should you require additional

or different forms, all claims forms are available at the Trustee’s website,www.mfglobaltrustee.com.


In addition, the Trustee has published protocols for certain transactional claims.These protocols should be reviewed carefully before submitting a claim to the Trustee, and areavailable at the Trustee’s website, www.mfglobaltrustee.com.

The Trustee is actively seeking to find SIPC-member firms that are willing andable to accept the bulk transfer of some or all of the Debtor’s securities customer accounts.Regardless of any transfer or closeout of your positions with the Debtor, if you believe that theDebtor still owes you cash or securities from one or more securities customer accounts, you mustfill out a securities customer claim form for each separate securities account that you areclaiming. All claims must be filed with the Trustee electronically online atwww.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, toone of the following addresses:




If by overnight mail: MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.

Beaverton, OR 97005


Your claim(s) will not be deemed to be filed until received by the Trustee. If yousubmit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed viacertified mail, return receipt requested. Your return receipt will be the only document you will




2

receive that shows your claim has been received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.

If, at any time, you complained in writing about the handling of your securitiesaccount(s) to any person or entity or regulatory authority, and the complaint relates to the cash,securities, or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received.


It is your responsibility to report accurately all securities positions and moneybalances in connection with your securities account(s) with the Debtor. A false claim or theretention of property to which you are not entitled may make you liable for damages and

criminal penalties. If you cannot precisely calculate the amount of your claim, however, you mayfile an estimated claim.

One of the purposes of the liquidation is to return securities and cash due tocustomers as promptly as practicable. In that connection, funds of the Securities InvestorProtection Corporation may be utilized to pay valid securities customer claims relating tosecurities and cash up to a maximum amount of $500,000.00 for each customer, including up to$250,000.00 for claims for cash, as provided in the Securities Investor Protection Act of 1970, asamended. To qualify for the maximum protection afforded under SIPA, your securitiescustomer claim form must be received by the Trustee on or before January 31, 2012.

Your cooperation in promptly returning the appropriate completed securitiescustomer claim form to the Trustee is in your best interest as it will help speed the administrationof the liquidation proceeding.

Very truly yours,

James W. Giddens





MF GLOBAL INC.

In Liquidation

December 2, 2011

TO BROKERS AND DEALERS HAVING OPEN SECURITIES POSITIONS OR MONEYBALANCES ASSOCIATED WITH SECURITIES ACCOUNTS AS OF OCTOBER 31, 2011,WITH MF GLOBAL INC.:

The United States District Court for the Southern District of New York entered anorder on October 31, 2011 finding that customers of MF Global Inc. (the “Debtor”) were in needof the protection afforded by the Securities Investor Protection Act of 1970, as amended(“SIPA”). The District Court immediately appointed a trustee to liquidate the business of theDebtor (the “Trustee”).

The Trustee has published protocols for certain transactional claims. Theseprotocols should be reviewed carefully before submitting a claim to the Trustee, and areavailable at the Trustee’s website, www.mfglobaltrustee.com. You may also wish to reviewSIPC Rules Regarding Closeout or Completion of Open Contractual Commitments, 17 C.F.R.§§ 300.300-300.307, available at www.sipc.org/who/statute.cfm.

To recover upon any claim you may have against the Debtor, you must carefullyfollow the instructions contained in this package. Enclosed is the Notice of Commencement, aswell as instructions for filing a claim and claim form.

You are urged to read all of the above referenced documents carefully. Theyexplain what steps, if any, you must take to protect any rights and claims you may have in thisliquidation proceeding.

Claimants are advised to submit their completed claim forms electronically onlineat www.mfglobaltrustee.com, or to mail their completed claim forms to the Trustee by certifiedmail, return receipt requested. Please make a copy of the completed claim forms and retain themfor your own records.

Your claim forms will not be deemed to be filed until received by the Trustee. Toreceive maximum protection afforded under SIPA, your claim forms must be received bythe Trustee on or before January 31, 2012. Claims that are filed electronically must be

received by 12:00 midnight on the bar date to be considered timely.





2

It is your responsibility to report accurately all securities positions and moneybalances in connection with your securities account with the Debtor. A false claim or theretention of property to which you are not entitled may make you liable for damages andcriminal penalties.

Your cooperation in promptly requesting and returning the completed brokerclaim forms to the Trustee is in your best interest as it will help speed the administration of theliquidation proceeding.

Very truly yours,

______________________________James W. Giddens, Trustee for the SIPA

Liquidation of MF Global Inc.




INSTRUCTIONS FOR COMPLETING THE SECURITIES CUSTOMERCLAIM FORM


IF YOUR CLAIM IS NOT BASED ON A SECURITIES ACCOUNT YOU DO NOT

NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A SECURITIESCUSTOMER CLAIM FORM

These instructions are to help you complete the securities customer claim form enclosed.If you believe that MF Global Inc. (“MFGI”) owes you cash or securities, and you wish to claimthem, the Trustee must receive your claim on or before the date specified on the claim form.Even if your securities account(s) has been transferred to another SIPC-member firm, if youbelieve MFGI still owes you cash or securities, and you wish to claim them, you must timelysubmit a claim. If you submit an improperly completed claim form or do not provide sufficientinformation to support your claim, the Trustee may send you a deficiency letter, indicating whatadditional information is required to process your claim. Failure to timely respond and provide

sufficient information may result in a delay in satisfaction of your claim or its disallowance.

Item I seeks a statement of the total amount you are claiming with respect to yoursecurities account. Please state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii)all securities owed to you by MFGI less all securities you owe MFGI, if any.

Item II seeks details about your claim with respect to your securities account.

Item (A) is to be completed if on the date shown, MFGI owed you cash or if youowed MFGI cash. If MFGI owes money to you, please indicate the amount in thespace provided Item (A.1). If you owe MFGI money, please so indicate in thespace provided Item (A.2). If MFGI owes you securities and you wish to receivethose securities without deduction, then you must enclose your check for theamount shown in Item (A.3) payable to “James W. Giddens, Trustee for the SIPALiquidation of MF Global Inc.” Payments not enclosed with this claim formwill not be accepted by the Trustee for purposes of determining whatsecurities are to be distributed to you.

Item (B) seeks details about securities (including any options) held for you. If MFGI is holding securities for you or has failed to deliver securities to you, pleaseindicate by checking the appropriate box under Item (B) and set forth in detail theinformation required with respect to the date of the transaction, the name of the

security and the number of shares or face value of bonds. With respect to options,set forth the number and type of options, the exercise price and expiration date,e.g., 3 options [call] or [put] GE at 25 2x December 2011. Please do not claimany securities you already have in your possession.

Item III seeks additional information about your claim with respect to your securitiesaccount. Items (1) through (8) must each be marked and details supplied where appropriate,




2

along with any supporting documentation you have. If you do not provide sufficient details, youmay receive a deficiency letter based on insufficient information.



Please enclose: copies (not originals) of any documentation or correspondence you believewill be of assistance in processing your claim, including, but not limited to, customerconfirmations, account statements (in particular, your last account statement), and statementsof purchase or sale.

If, at any time, you complained in writing about the handling of your account to any personor entity or regulatory authority, and the complaint relates to the cash and/or securities thatyou are now seeking, please be sure to provide with your claim copies of the complaint andall related correspondence, as well as copies of any replies that you received.

A separate claim form must be filed for each account.

When To File

There are two deadlines for filing securities customer claims. One is set by theBankruptcy Court for the maximum protection for securities customers under SIPA, and one isset by the law as an absolute bar for all claims.

The Bankruptcy Court has set January 31, 2012 as the date for filing securities customerclaims to be eligible for the maximum protection under SIPA. If your claim is received by the

Trustee after January 31, 2012 but on or before June 2, 2012, your claim is subject to delayedprocessing and to being satisfied on terms less favorable to you.

The law governing this proceeding absolutely bars the allowance of any claim,including a securities customer claim, not actually received by the Trustee on or beforeJune 2, 2012. Neither the Trustee nor the Securities Investor Protection Corporation hasauthority to grant extensions of the June 2, 2012 bar date for filing of claims, regardless of the reason. If your securities customer claim is received even one day after the June 2,2012 bar date, it will be disallowed. Claims that are filed electronically must be received by12:00 midnight on the bar date to be considered timely.

Please file well in advance so that there will be time to refile if, for instance, your claim islost in the mail.

Where To File





3




IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BYCERTIFIED MAIL RETURN RECEIPT REQUESTED



YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOURRECORDS.






5

HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBALINC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS.

MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR INTHIS SIPA LIQUIDATION PROCEEDING. THIS SECURITIES CUSTOMER CLAIMFORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY

OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDINGUNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MFGLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC.





If by overnight mail: MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC10300 SW Allen Blvd.

Beaverton, OR 97005

I. TOTAL AMOUNT CLAIMED

The total value of my claim against MFGI, based on, as of October 31, 2011, (i) allcash owed to me by MFGI less all cash I owe to MFGI, if any, and (ii) the value of allsecurities owed to me by MFGI less all securities I owe to MFGI, if any, is:

$_______________________________

Check one: ESTIMATED

CALCULATED

II. DETAILS OF YOUR CLAIM

A. CLAIM FOR MONEY BALANCES OR CASH AS OF OCTOBER 31, 2011:

1. MFGI owes me a credit or cash in the amount of: $________________

2. I owe MFGI a debit or cash in the amount of: $________________

3. If you wish to repay the debit balance listedin Item (II.A.2), above, please insert theamount you wish to repay and attach a check

payable to “James W. Giddens, Trustee forthe SIPA Liquidation of MF Global Inc.” If you wish to make a payment, it must beenclosed with this claim form. $________________

B. CLAIM FOR SECURITIES AS OF OCTOBER 31, 2011:

Please Do Not Claim Any Securities You Have In Your Possession




6

YES NO

1. MFGI owes me securities:

2. I owe MFGI securities:

3. If yes to either, please list below (or inadditional pages as necessary):

Number of Shares orFace Amount of Bonds

Date of Transaction(trade date) Name of Security

MFGI Owes Me

(Long)I Owe MFGI

(Short)




Please enclose: copies (not originals) of any documentation or correspondence youbelieve will be of assistance in processing your claim, including, but not limited to,customer confirmations, account statements, and statements of purchase or sale.

If, at any time, you complained in writing about the handling of your account to anyperson or entity or regulatory authority, and the complaint relates to the cash and/orsecurities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that youreceived.

Please explain any differences between the securities or cash claimed and the cashbalance and securities positions on your last account statement.

III. ADDITIONAL INFORMATION ABOUT YOUR CLAIM

NOTE: Please check the appropriate answer for items 1 through 8, below. If you select

“YES,” for any item, please provide a detailed explanation on a signed






8



Date Signature

Date Signature

(If ownership of the account is shared (i.e., there is more than one name on the account), all mustsign above. Give each owner’s name, address, phone number, and extent of ownership on asigned separate sheet. If other than a personal account, e.g., corporate, trustee, custodian, etc.,also state your capacity and authority. Please supply the trust agreement or other proof of authority.)




Exhibit 4(C)




MF GLOBAL INC.

In Liquidation

December 2, 2011

TO ALL PERSONS ASSERTING CLAIMS AS COMMODITY FUTURES CUSTOMERS OFMF GLOBAL INC.:

Enclosed are a commodity futures customer claim form, and commodity futurescustomer claim form instructions. You will receive a separate commodity futures customerclaim form packet for each commodity futures account you have with MF Global Inc. (the“Debtor”), as identified from MF Global Inc.’s books and records. If you also have one or moresecurities accounts with the Debtor, you also will receive a separate claim packet for filing asecurities customer claim for each such account. Should you require additional or differentforms, all claim forms are available at the Trustee’s website, www.mfglobaltrustee.com.


You may have received open commodity positions and/or cash or cashequivalents through court-authorized bulk transfers resulting from the efforts of the Trustee, theSecurities Investor Protection Corporation, the Securities Exchange Commission, theCommodity Futures Trading Commission, and numerous derivatives clearing organizations,including the Chicago Mercantile Exchange. Regardless of any transfer of any portion of youraccount, if the Debtor still owes you cash or other property from one or more commodity futurescustomer accounts, and you wish to claim it, you must fill out a commodity futures customer

claim form for each separate commodity futures account that you are claiming. All claims mustbe filed with the Trustee electronically online at www.mfglobaltrustee.com, OR sent to theTrustee via certified mail, return receipt requested, to one of the following addresses:





Your claim(s) will not be deemed to be filed until received by the Trustee. If yousubmit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed viacertified mail, return receipt requested. Your return receipt will be the only document you willreceive that shows your claim has been received by the Trustee. Claims that are filedelectronically must be received by 12:00 midnight on the bar date to be considered timely.




2

If, at any time, you complained in writing about the handling of your commodityfutures account(s) to any person or entity or regulatory authority, and the complaint relates to thecash, securities or other property that you are now seeking, please provide with your claimcopies of the complaint and all related correspondence, as well as copies of any replies that youreceived.


It is your responsibility to report accurately all positions and money balances inconnection with your commodity futures account(s) with the Debtor. A false claim or theretention of property to which you are not entitled may make you liable for damages andcriminal penalties. If you cannot precisely calculate the amount of your claim, however, you mayfile an estimated claim.

One of the purposes of the liquidation is to satisfy commodity futures customerclaims as promptly as practicable. Your commodity futures customer claim form must bereceived by the Trustee on or before January 31, 2012, or it will be barred (unlessextended, for good cause only). The January 31, 2012 deadline for filing a commodityfutures customer claim cannot be extended beyond June 2, 2012, even for good cause. If received by the Trustee after January 31, 2012, but on or before June 2, 2012, a commodityfutures customer claim may be afforded general creditor status. Commodity futurescustomer claims are not eligible for Securities Investor Protection Corporation advances.

Your cooperation in promptly returning the appropriate completed commodity

futures customer claim form to the Trustee is in your best interest as it will help speed theadministration of the liquidation proceeding.

Very truly yours,

James W. Giddens

Trustee for the SIPA Liquidation of

MF Global Inc.




INSTRUCTIONS FOR COMPLETING THE COMMODITY FUTURESCUSTOMER CLAIM FORM


IF YOUR CLAIM IS NOT BASED ON A COMMODITY FUTURES ACCOUNT YOUDO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A


These instructions are to help you complete the enclosed commodity futures customerclaim form. If you believe that MF Global Inc. (“MFGI”) owes you cash or other property thatyou wish to claim, the Trustee must receive your claim on or before the date specified on theclaim form. Even if part of your commodity futures account(s) has been transferred to one ormore transferee futures commission merchants, you must timely submit a claim in order to claimcash or other property that you believe MFGI still owes you. If you submit an improperlycompleted claim form or do not provide sufficient information to support your claim, the Trustee

may send you a deficiency letter, indicating what additional information is required to processyour claim. Failure to timely respond and provide sufficient information may result in a delay insatisfaction of your claim or its disallowance. In addition to the specific items and informationsought in the enclosed commodity futures customer claim form, you should provide furtherexplanation and detail regarding your claim and your account, as necessary, to aid the Trustee inthe prompt satisfaction of your claim.

Item I seeks a statement of the total amount of cash, cash equivalents, or other property(including margin) and open trade equity in your commodity futures account on October 31,2011. If you cannot precisely calculate the amount, you may provide an estimate. In that case,please be sure to indicate that you are providing an estimate. Item (I.A) seeks a break down of

the total amount of (i) cash, cash equivalents, or other property (including margin) and (ii) opentrade equity in your account. Item (I.B) seeks the amount of open trade equity and cash, cashequivalents, or other property (including margin) related to Foreign Futures (i.e., futures oroptions on futures traded on an exchange located outside of the United States).

Item II seeks details about any activity, either initiated by you or otherwise, affectingyour commodity futures account on or after October 31, 2011.

Item III seeks details about your commodity futures account. Please indicate the type of account you hold, the capacity in which you hold the account, whether the account is held by anMFGI “insider,” “affiliate,” or “relative,” whether the account is a discretionary account,whether the account is a joint account, whether you have any related accounts, and, if your claim

is based on securities futures products, whether these are held in a futures account or a securitiesaccount.

Item IV seeks additional details about your commodity futures claim. Please indicatewhether MFGI has any claims against you, not included in your statement of account balance,provided in Item I. If the total amount you provided in Item I for your statement of accountbalance includes any cash, cash equivalents or other property, provide detail about such cash,cash equivalents or other property. Please also indicate, if you are claiming securities, whether




2

you wish to receive payment in kind, to the extent possible. Please note that Item IV seeksinformation about “specifically identifiable property,” as defined in the Commodity FuturesTrading Commission Part 190 Rules. Even if you have previously provided information tothe Trustee regarding your “specifically identifiable property” you should neverthelessprovide information about such property when completing and submitting your claim

here. Full and complete information about your account will assist the Trustee in promptlysatisfying your claim.




If, at any time, you complained in writing about the handling of your commodity futuresaccount to any person or entity or regulatory authority, and the complaint relates to the cashor other property that you are now seeking, please be sure to provide with your claim copiesof the complaint and all related correspondence, as well as copies of any replies that youreceived.

A separate claim form must be filed for each account. If your account is a “master account”consisting of sub-accounts, you should claim the sub-accounts on a consolidated basis, andsubmit one claim form for the “master account,” but note the existence of the sub-accounts inthe information regarding “related accounts” in Item (III.F).

When To File

The deadline for filing commodity futures customer claims is January 31, 2012. If yourcommodity futures customer claim(s) is not received by the Trustee on or before January 31,2012, your claim(s) will be barred (unless extended, for good cause only). The January 31, 2012deadline for filing a commodity futures customer claim cannot be extended beyond June 2, 2012,even for good cause. The law governing this proceeding absolutely bars the allowance of any claim, including a commodity futures customer claim, not actually received by theTrustee on or before June 2, 2012. Neither the Trustee nor the Securities InvestorProtection Corporation has authority to grant extensions of the June 2, 2012 bar date forfiling of claims, regardless of the reason.

Please file well in advance so that there will be time to refile if, for instance, your claim islost in the mail. Claims that are filed electronically must be received by 12:00 midnight on thebar date to be considered timely.








2

BUT YOU BELIEVE YOU HAVE A CLAIM FOR MONEY OR PROPERTY OWEDTO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOURRIGHTS.

MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR INTHIS SIPA LIQUIDATION PROCEEDING. THIS COMMODITY FUTURES

CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOESNOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITYIN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITEDSTATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBALFINANCE USA INC.





If by overnight mail: MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC


I. ACCOUNT BALANCE AS OF OCTOBER 31, 2011

NOTE: If needed, please provide a detailed description on a signed attachment of the

basis for your answers below, and attach any supporting documentation you

have. If you do not provide sufficient details, you may be sent a deficiency letter

seeking additional information.

A. Please state your beginning and ending account balance as of October 31, 2011,

including (i) cash, cash equivalents, or other property (including margin), and (ii)open trade equity:

Are theseestimatedamounts?

YES NO

Beginning balance: _____________________________

Ending balance: ________________________________

Account value at market: _________________________

1. Please state the amount of cash, cash equivalents, or other property(including margin) in the account, as of October 31, 2011:__________________________________________________________.

2. Please state the open trade equity in the account, as of October 31, 2011:__________________________________________________________.




3

B. If your account contained NO open trade equity or cash, cash equivalents, or otherproperty associated with the margining of Foreign Futures (i.e., futures or optionson futures traded on an exchange located outside of the United States), you mayskip the rest of this question. OTHERWISE:

1. If, on October 31, 2011, your account contained open trade equity of—orcash, cash equivalents, or other property (including margin) associatedwith—Foreign Futures (i.e., futures or options on futures traded on anexchange located outside of the United States), please identify theamounts of equity and cash, cash equivalents, or other property (andspecify the currency and/or convert to USD) for each (use additionalpaper, as needed):


YES NO

Foreign Futures open trade equity:_________________________.

Foreign Futures cash, cash equivalents, or other property:_______

_____________________________________________________.

II. ACCOUNT ACTIVITY ON OR AFTER OCTOBER 31, 2011

THE FOLLOWING QUESTIONS ADDRESS ACCOUNT ACTIVITY—EITHERINITIATED BY YOU OR OTHERWISE—THAT AFFECTED YOUR ACCOUNT ONOR AFTER OCTOBER 31, 2011.

A. If your account had any open commodity contracts as of October 31, 2011, wereany of your open commodity contracts transferred to one or more transfereefutures commission merchants after October 31, 2011?

Check one: YES

OR “No open commodity contracts were transferred from my

account to a transferee futures commission merchant afterOctober 31, 2011”


on a signed attachment, and attach any supporting documentation youhave. If you do not provide sufficient details, you may be sent a


1. Identify the name(s) of the transferee futures commission merchant(s);

2. Summarize the commodity contracts (including futures and options onfutures) that were transferred (to each transferee, if more than one); and




4

3. Specify the amount of margin (i.e., cash, cash equivalents, or otherproperty), in U.S. dollars, that was transferred along with such commoditycontracts, if any.

4. Please state the open trade equity based on the commodity contracts thatwere transferred from the account:

(i) As of the date of the transfer; and

(ii) As the commodity contracts existed in the account on October 31,2011.


B. Did you liquidate any open commodity contracts on or after October 31, 2011?

Check one: YES NO

NOTE: If you selected “NO,” you may skip the remainder of this question. If you selected “YES,” please provide the following information in detail




1. Summarize the commodity contracts (including futures and options onfutures) that you liquidated.

2. In order to determine the net profit/loss resulting from these liquidations,summarize the equity of the commodity contracts that you liquidated:

(i) As of the date of the liquidation;

(ii) As the commodity contracts existed in the account on October 31,2011.


YES NO

3. Please indicate whether any of the open commodity contracts youliquidated on or after October 31, 2011 were Foreign Futures (i.e., futures

or options on futures traded on an exchange located outside of the UnitedStates).

Check one: YES NO

NOTE: If you selected “NO,” you may skip the remainder of this question. If

you selected “YES,” please provide the following information in detail





5



(i) Summarize the Foreign Futures (i.e., futures or options on futurestraded on an exchange located outside of the United States) thatyou liquidated.

(ii) In order to determine the net profit/loss resulting from theseliquidations, summarize the equity of the Foreign Futures (i.e.,futures or options on futures traded on an exchange located outsideof the United States) that you liquidated:

(a) As of the date of the liquidation;

(b) As the Foreign Futures (i.e., futures or options on futurestraded on an exchange located outside of the United States)existed in the account on October 31, 2011.


C. If your account had any cash, cash equivalents, or other property as of October31, 2011, was any cash, cash equivalents, or other property transferred from youraccount to one or more transferee futures commission merchants after October 31,2011—OTHER THAN margin (i.e., cash, cash equivalents, or other property) thatwas transferred with open commodity contracts (which you should have identifiedin Item (II.A), above)?

Check one: YES

OR “Not including any margin (i.e., cash, cash equivalents, orother property) that may have transferred with opencommodity positions, no other cash, cash equivalents, orother property was transferred from my account to atransferee futures commission merchant after October 31,2011.”





1. Identify the name(s) of the transferee futures commission merchant(s); and

2. Identify the amount of cash, cash equivalents, or other property that wastransferred (to each transferee, if more than one).

Are these estimatedamounts?

YES NO




6

D. In the aggregate, to the extent that you are able, please estimate what percentageof the value of your account (both open commodity positions and cash, cashequivalents, or other property), if any, was transferred to another futurescommission merchant: _____________________________________________.

III. DESCRIPTION OF THE ACCOUNT

A. Please specify the type of account (check all that are applicable):

1. Futures account

2. Foreign futures account

3. Leverage account

4. Option account—exchange-traded

5. Option account—dealer

6. Delivery account*

7. Cleared OTC derivatives account

*A “delivery” account is one which contains only documents of title, commodities, cash, or other

property identified to you and deposited for the purposes of making or taking delivery on acommodity underlying a commodity contract or for payment of the strike price upon exercise of an option.

B. Please specify the capacity in which you hold the account (check all that are

applicable):

1. Individual capacity

2. As guardian, custodian, or conservator for the benefit of a ward or aminor under the Uniform Gift to Minors Act

3. As executor or administrator of an estate

4. As trustee for the trust beneficiary

5. In the name of a corporation, partnership, or unincorporated

association

6. As an omnibus customer account of the undersigned futurescommission merchant

7. As part owner of a joint account

8. In the name of a plan which, on October 31, 2011, had in effect a




7

registration statement in accordance with the requirements of § 1031of the Employee Retirement Income Security Act of 1974 and theregulations thereunder

9. As agent or nominee for a principle or beneficial owner (and notdescribed in Items (III.B.1-8))

10. In any other capacity not described above in Items (III.B.1-9)(please specify the capacity):

C. Is any person (including a general partnership, limited partnership, corporation, orother type of association) on whose behalf the account is held one of thefollowing persons or does one of the following persons, alone or jointly, hold10% or more of the account? (Check all that are applicable):

1. MF Global Inc.

2. Director of MF Global Inc.

3. Officer of MF Global Inc.

4. Person in control of MF Global Inc.

5. Partnership in which MF Global Inc. is a general partner

6. Owner of ten percent or more of the capital stock of MF Global Inc.

7. Employee of MF Global Inc. whose duties include (a) themanagement of the business of MF Global Inc. or any part thereof;

(b) the handling of the trades or customer funds of customers of MFGlobal Inc.; (c) the keeping of records pertaining to the trades orfunds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global Inc.

8. Managing agent of MF Global Inc.

9. A spouse or minor dependent living in the same household of ANYOF THE FOREGOING PERSONS (listed in Items (III.C.1-8),above), or any other relative, regardless of residency, defined as anindividual related by affinity or consanguinity within the thirddegree as determined by the common law, or individual in a step oradoptive relationship with such degree.

10. “Affiliate” of MF Global Inc.*

11. Any of the persons listed in Items (III.C.1-8), above, if such personis associated with an affiliate of MF Global Inc. as if the affiliate




8

were MF Global Inc.

*“Affiliate” of MF Global Inc. is defined as:

An entity that directly or indirectly owns, controls, or holds with power to vote, 20% or moreof the outstanding voting securities of MF Global Inc., other than an entity that holds suchsecurities (i) in a fiduciary or agency capacity without sole discretionary power to vote such

securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power tovote;

A corporation 20% or more of whose outstanding voting securities are directly or indirectlyowned, controlled, or held with power to vote, by MF Global Inc., or by an entity thatdirectly or indirectly owns, controls, or holds with power to vote, 20% or more of theoutstanding voting securities of MF Global Inc., other than an entity that holds suchsecurities (i) in a fiduciary or agency capacity without sole discretionary power to vote suchsecurities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power tovote;

A person whose business is operated under a lease or operating agreement by MF GlobalInc., or person substantially all of whose property is operated under an operating agreementwith MF Global Inc.;

An entity that otherwise, directly or indirectly, is controlled by or is under common controlwith MF Global Inc.;

An entity that operates the business of all or substantially all of the property of MF GlobalInc. under a lease or operating agreement; or

An entity that otherwise, directly or indirectly, controls MF Global Inc.

D. Is this a discretionary account?

Check one: YES NO

NOTE : If you selected “YES,” specify who has the general authority to buy or

sell orders or effectuate transactions for your account:_____________.

E. Is this a joint account?

Check one: YES NO

NOTE : If you selected “YES,” specify the amount of your percentage interest in

the account, and whether all participants in a joint account are claiming

jointly.

1.

My percentage interest in the account is: _______ %




9

2. Participants in a joint accountare claiming:

(Check one)

SEPARATELY FULLYJOINTLY

F. Do you have any related accounts?

Check one: YES NO

NOTE: If you selected “YES,” specify the account numbers of your related

accounts. YOU MUST FILE A SEPARATE CLAIM FOR EACH

ACCOUNT.

_____________________________________________________________

_____________________________________________________________

G. Is your claim based on securities futures products?

Check one: YES NO

NOTE: If you selected “YES,” are these securities futures products held in a

futures account or a securities account?

Check one: SECURITIESACCOUNT

FUTURESACCOUNT

IV. DETAILS OF YOUR CLAIM

A. Does MF Global Inc. have any claims against you not already included in yourstatement of account balance provided in Item (I.A) above?

Check one: YES NO

NOTE: If you selected “YES,” please provide a detailed description in a signed

attachment of any such claim or claims, and attach any supporting

documentation you have. If you do not provide sufficient details, you

may be sent a deficiency letter seeking additional information.

B. If your statement of account balance provided in Item (I.A) above does NOT

include any cash, cash equivalents or other property held by or for MF Global Inc.from or for your account, select this box and skip the rest of this question.

“I am not claiming any cash, cash equivalents, or otherproperty held by or for MF Global Inc. from or for myaccount.”




10

OTHERWISE, please indicate whether any cash, cash equivalents, or other property

consists of one of the following (check all that are applicable), and if you check any one or

more of the following, please provide a detailed explanation on a signed attachment, and

attach any supporting documentation you have. If you do not provide sufficient details,

you may be sent a deficiency letter seeking additional information.

1. Any security deposited as margin which, as of October 31, 2011, wassecuring an open commodity contract and is (i) registered in your name;(ii) not transferable by delivery; and (iii) not a short-term obligation.

2. Any fully-paid, non-exempt security held for your account in whichthere were no open contracts as of October 31, 2011.

3. Any warehouse receipt, bill of lading or other document of titledeposited as margin which, as of October 31, 2011, was securing anopen commodity contract and can be identified in MF Global Inc.’srecords as being held for your account, and is neither in bearer form nor

otherwise transferable by delivery.

4. Any warehouse receipt, bill of lading or other document of title, or anycommodity received, acquired or held by or for MF Global Inc. to makeor take physical delivery or exercise from or for your account and whichcan be identified in MF Global Inc.’s records as received from or foryour account as held specifically for the purpose of delivery or exercise.

5. Any open commodity contract (except as provided in Item (IV.B.8),below) which, as of October 31, 2011, is identified in MF Global Inc.’srecords as being held for your account, is a bona fide hedging position

or transaction as defined in CFTC Rule 1.3(z) or is a commodity optiontransaction which has been determined by the exchange to beeconomically appropriate to the reduction of risks in the conduct andmanagement of a commercial enterprise pursuant to exchange rules, andis in an account designated in MF Global Inc.’s records as a hedgingaccount.

6. Any cash or other property deposited or cash price tendered for anyproperty deposited, prior to October 31, 2011, for the specifically notedpurpose of taking or making physical delivery on an options or futurescontract, which cash or other property is identified on MF Global Inc.’s

records as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If youcheck this box, the Trustee’s Office will contact you to request thatyou provide specific additional information regarding this type of property.

7. Open commodity contracts transferred to another futures commissionmerchant by the Trustee.




11

OR

My claim is not based on any of the types of cash, cash equivalents, orother property listed in Items (IV.B.1-7), above.

C. If you checked any boxes in (IV.B.1-7), above, did you separately identify anysuch potentially “Specifically Identifiable Property” to the Trustee by written orelectronic mail on or before November 15, 2011?

Check one: YES NO

D. If you are claiming securities for this account, do you wish to receive payment inkind, to the extent possible?

Check one: YES NO


If you cannot compute the amount of your claim, you may file an estimated claim. In that

case, please be sure to indicate that your claim is an estimated claim.



If, at any time, you complained in writing about the handling of your account to any person

or entity or regulatory authority, and the complaint relates to the cash or other property thatyou are now seeking, please be sure to provide with your claim copies of the complaint andall related correspondence, as well as copies of any replies that you received.

Please list the full name, address, phone number, and email address of anyone assisting youin the preparation of this claim form:

Full name:

Address:

Phone number:

Email address:





12



Date Signature

Date Signature

(If ownership of the account is shared (i.e., there is more than one name on the account), all mustsign above. Give each owner’s name, address, phone number, and extent of ownership on asigned separate sheet. If other than a personal account, e.g., corporate, trustee, agent, custodian,etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)




Exhibit 4(D)




MF GLOBAL INC.

In Liquidation

December 2, 2011

TO ALL PERSONS ASSERTING CLAIMS AS CREDITORS OF MF GLOBAL INC. (OTHER

THAN WITH RESPECT TO SECURITIES ACCOUNTS OR COMMODITY FUTURESACCOUNTS):

Enclosed with this letter is a claim form for creditors of MF Global Inc. (the“Debtor”). If you believe that you have a bona-fide creditor claim against the Debtor, you mustcomplete this form file it with the Trustee electronically online at www.mfglobaltrustee.com orreturn it by certified mail, return receipt requested, to the Trustee at the following address:




If by overnight mail: MF Global Inc. Claims Processing Centerc/o Epiq Bankruptcy Solutions, LLC


In addition to this letter, you should carefully read the enclosed notice concerningthe liquidation of the business of MF Global Inc. This notice informs you of the steps necessaryto protect your interests in the proceeding. Among other things, as indicated in the notice,securities customers and commodity futures customers of the debtor should consider filing theappropriate type of customer claim, also included in today’s mailing.

The Notice also informs all creditors of the Debtor other than customers orbroker-dealers that they must file formal claims with the Trustee within SIX MONTHS of thedate of the Notice.

Because claims are not deemed filed until received by the Trustee at the aboveaddress, if you submit your claim by mail it is strongly recommended that you use certified mail,return receipt requested. No claim will be allowed unless received by the Trustee on orbefore June 2, 2012. Claims that are filed electronically must be received by 12:00 midnight onthe bar date to be considered timely.

You should attach to the completed claim form copies of all documentationsupporting your claim. Please make a copy of the completed claim form and any attacheddocumentation for your own records.

DATED: December 2, 2011Very truly yours,

____________________________James W. Giddens,Trustee for the SIPA Liquidation of MF Global Inc.










Exhibit 4(E)








REQUEST FOR ADDITIONAL INFORMATION—COMMODITY FUTURESCUSTOMER CLAIM

[Date]

VIA UPS OVERNIGHT



Dear Claimant:









Please enclose a copy of your last MFGI account statement or any documents to indicate that you held anaccount at MFGI.

Please provide copies of all correspondence you had with MFGI or any of their representatives or affiliates.

Section I.A—Please state your beginning and ending account balance, and account value at market, as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin); and (ii) opentrade equity. Please indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.




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Section I.A—Please indicate whether your beginning and ending account balance, and account value atmarket, as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin);and (ii) open trade equity that you stated in your filed claim are estimated or not.

Section I.A.1—Please state the amount of cash, cash equivalents, or other property (including margin) inthe account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, andattach any supporting documentation that you have.

Section I.A.2—Please state the open trade equity in the account, as of October 31, 2011. Please indicatewhether or not the amount listed is estimated, and attach any supporting documentation that you have.

Section I.B—Please answer“yes” or“no”—On October 31, 2011, did your account contain

open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e. , futures or options on futures traded on an exchange located outside of theUnited States)?

Section I.B.1—If, on October 31, 2011, your account contained open trade equity of—or cash, cashequivalents, or other property (including margin) associated with—Foreign Futures (i.e. , futures or optionson futures traded on an exchange located outside of the United States), please identify (1) the amount of Foreign Futures open trade equity contained in your account; and (2) the amount of Foreign cash, cashequivalents, or other property contained in your account. Please indicate whether or not any amountslisted are estimated, and attach any supporting documentation that you have.

Section I.B.1—Please indicate whether the amounts of open trade equity or cash, cash equivalents, or otherproperty associated with the margining of Foreign Futures (i.e. , futures or options on futures traded on an

exchange located outside of the United States) that you stated on your filed claim are estimated or not. Section I—Please provide a detailed description on a signed attachment of the basis for the amounts you

stated in Item I in your filed claim, and attach any supporting documentation that you have.

Section II.A—Please answer “yes” or “no”—If your account had any open commodity contracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more transferee futurescommission merchants after October 31, 2011? If “yes,” then please (1) identify the name(s) of thetransferee futures commission merchant(s); (2) summarize the commodity contracts (including futures andoptions on futures) that were transferred (to each transferee, if more than one); and (3) specify the amountof margin, in U.S. dollars, that was transferred along with such commodity contracts, if any. Please alsostate the open trade equity based on the commodity contracts that were transferred from the account: (i) asof the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011.Please indicate whether or not any amounts listed are estimated, and attach any supporting documentationthat you have.

Section II.A—Please indicate whether any amounts that you stated on your filed claim form, in connection

with open commodity contracts in your account that were transferred to one or more transferee futurescommission merchants after October 31, 2011, were estimated or not.

Section II.A.1—You have indicated that your account had open commodity contracts that were transferredto one or more transferee futures commission merchants after October 31, 2011. Please identify thename(s) of the transferee futures commission merchant(s). Please attach any supporting documentationthat you have.

Section II.A.2—You have indicated that your account had open commodity contracts that were transferredto one or more transferee futures commission merchants after October 31, 2011. Please summarize thecommodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach anysupporting documentation that you have.

Section II.A.3—You have indicated that your account had open commodity contracts that were transferredto one or more transferee futures commission merchants after October 31, 2011. Please specify the amountof margin, in U.S. dollars, that was transferred along with such commodity contracts, if any. Pleaseindicate whether or not the amount listed is estimated, and attach any supporting documentation that youhave.

Section II.A.4—You have indicated that your account had open commodity contracts that were transferredto one or more transferee futures commission merchants after October 31, 2011. Please state the opentrade equity based on the commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicatewhether or not any amounts listed are estimated, and attach any supporting documentation that you have.

Section II.B—Please answer “yes” or “no”—Did you liquidate any open commodity contracts onor after October 31, 2011?




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Section II.B—Please indicate whether any amounts that you stated on your filed claim form, in connectionwith open commodity contracts in your account that you liquidated on or after October 31, 2011, wereestimated or not.

Section II.B.1—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. Please summarize the commodity contracts (including futures and options onfutures) that you liquidated. Please attach any supporting documentation that you have.

Section II.B.2—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. In order to determine the net profit/loss resulting from these liquidations,please summarize the equity of the commodity contracts that you liquidated (i) as of the date of liquidation; and (ii) as the commodity contracts existed in the account on October 31, 2011. Pleaseindicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.B.3—You have indicated that you liquidated open commodity contracts on or afterOctober 31, 2011. Please answer “yes” or “no”—Were any of the open commodity contracts youliquidated on or after October 31, 2011 Foreign Futures (i.e. , futures or options on futures tradedon an exchange located outside of the United States)? If “yes,” then please summarize the ForeignFutures that you liquidated. In order to determine the net profit/loss resulting from theseliquidations, please also summarize the equity of the Foreign Futures that you liquidated (i) as of the date of liquidation; and (ii) as the Foreign Futures existed in the account on October 31, 2011.Please indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.C—Please answer “yes” or “no”—If your account had any cash, cash equivalents, orother property as of October 31, 2011, was any cash, cash equivalents, or other propertytransferred from your account to one or more transferee futures commission merchants afterOctober 31, 2011—OTHER THAN margin (i.e. , cash, cash equivalents, or other property) thatwas transferred with open commodity contracts (which you should have identified in Item II.A onyour filed claim form)? If “yes,” please identify (1) the name(s) of the transferee futurescommission merchant(s); and (2) the amount of cash, cash equivalents, or other property that wastransferred (to each transferee, if more than one). Please indicate whether or not any amountslisted are estimated, and attach any supporting documentation that you have.

Section II.C.1—You have indicated that your account had cash, cash equivalents, or otherproperty that was transferred from your account to one or more transferee future commoditymerchants after October 31, 2011 OTHER THAN margin (i.e. , cash, cash equivalents, or otherproperty) that was transferred with open commodity contracts. Please identify the name(s) of thetransferee futures commission merchant(s). Please attach any supporting documentation that you

have. Section II.C.2—You have indicated that your account had cash, cash equivalents, or other

property that was transferred from your account to one or more transferee future commoditymerchants after October 31, 2011 OTHER THAN margin (i.e. , cash, cash equivalents, or otherproperty) that was transferred with open commodity contracts. Please identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more thanone). Please indicate whether or not any amounts listed are estimated, and attach any supportingdocumentation that you have.

Section II.D—In the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or otherproperty), if any, was transferred to another futures commission merchant. Please attach anysupporting documentation that you have.

Section III.A—Please specify the type of your account (select all that are applicable): (1) futures account;(2) foreign futures account; (3) leverage account; (4) option account—exchange-traded; (5) option

account—dealer; (6) delivery account; (7) cleared OTC derivatives account.

Section III.B—Please specify the capacity in which you hold the account (select all that are applicable): (1)individual capacity; (2) as guardian, custodian, or conservator for the benefit of a ward or a minor underthe Uniform Gift to Minors Act; (3) as executor or administrator of an estate; (4) as trustee for the trustbeneficiary; (5) in the name of a corporation, partnership, or unincorporated association; (6) as an omnibuscustomer account of the undersigned futures commission merchant; (7) as part owner of a joint account; (8)in the name of a plan which, on October 31, 2011, had in effect a registration statement in accordance withthe requirements of § 1031 of the Employee Retirement Income Security Act of 1974 and the regulationsthereunder; (9) as agent or nominee for a principle or beneficial owner (and not described in Items III.B.1-8); (10) in any other capacity not already described in Items III.B.1-9 (please specify).




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Section III.C—Please indicate whether any person (including a general partnership, limited partnership,corporation, or other type of association) on whose behalf the account is held is one of the following personsor if one of the following persons, alone or jointly, holds 10% or more of the account (select all that areapplicable): (1) MF Global Inc.; (2) Director of MF Global Inc.; (3) Officer of MF Global Inc.; (4) Person incontrol of MF Global Inc.; (5) Partnership in which MF Global Inc. is a general partner; (6) Owner of tenpercent or more of the capital stock of MF Global Inc.; (7) Employee of MF Global Inc. whose dutiesinclude (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the

trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the tradesor funds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global Inc.; (8) Managing agent of MF Global Inc.; (9) A spouse or minor dependent living in the samehousehold of any of the persons listed in Items III.C.1-8, or any other relative, regardless of residency,defined as an individual related by affinity or consanguinity within the third degree as determined by thecommon law, or individual in a step or adoptive relationship with such degree; (10) “Affiliate” of MFGlobal Inc. (as defined in the claim form); or (11) Any of the persons listed in Items II.C.1-8, if such personis associated with an affiliate of MF Global Inc. as if the affiliate were MF Global Inc.

Section III.D—Please answer “yes” or “no”—Was this is a discretionary account? If “yes,” please specifywho has the general authority to buy or sell orders or effectuate transactions for your account.

Section III.E—Please answer “yes” or “no”—Was this is a joint account? If “yes,” please specify theamount of your percentage interest in the account, and whether all participants in a joint account areclaiming jointly.

Section III.F—Please answer “yes” or “no”—Do you have any related accounts? If “yes,” please specify the

account numbers of your related accounts. Note that you must file a separate claim for each account. Section III.G—Please answer “yes” or “no”—Was your claim based on securities futures products? If

“yes,” please specify whether this is a securities account or futures account.

Section IV.A—Please answer “yes” or “no”—Does MF Global Inc. have any claims against you not alreadyincluded in your statement of account balance provided in Item I.A of your claim form. If “yes,” pleaseprovide a detailed description in a signed attachment of any such claim or claims, and attach anysupporting documentation.

Section IV.A—You indicated that MF Global Inc. has a claim or claims against you not already included inthe equity calculated in Item I.A of your claim form. Please provide a detailed description in a signedattachment of any such claim or claims, and attach any supporting documentation.

Section IV.B—Please answer “yes” or “no”—Does your statement of account balance provided in Item I.Aof your claim form include any cash, cash equivalents, or other property held by or for MF Global Inc.from or for your account?

Section IV.B—You indicated that your statement of account balance provided in Item I.A of your claimform includes cash, cash equivalents, or other property held by or for MF Global Inc. from or for youraccount. Please indicate whether any such cash, cash equivalents, or other property consists of one of thefollowing descriptions, and if so, please provide a detailed explanation on a signed attachment, and attachany supporting documentation you have. Please select all that are applicable:

1. Any security deposited as margin which, as of October 31, 2011, was securing an opencommodity contract and is (i) registered in your name; (ii) not transferable by delivery; and(iii) not a short-term obligation.

2. Any fully-paid, non-exempt security held for your account in which there were no opencontracts as of October 31, 2011.

3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, asof October 31, 2011, was securing an open commodity contract and can be identified in MFGlobal Inc.’s records as being held for your account, and is neither in bearer form norotherwise transferable by delivery.

4. Any warehouse receipt, bill of lading or other document of title, or any commodity received,acquired or held by or for MF Global Inc. to make or take physical delivery or exercise fromor for your account and which can be identified in MF Global Inc.’s records as received fromor for your account as held specifically for the purpose of delivery or exercise.

5. Any open commodity contract which, as of October 31, 2011, is identified in MF Global Inc.’srecords as being held for your account, is a bona fide hedging position or transaction asdefined in CFTC Rule 1.3(z) or is a commodity option transaction which has been determinedby the exchange to be economically appropriate to the reduction of risks in the conduct andmanagement of a commercial enterprise pursuant to exchange rules, and is in an accountdesignated in MF Global Inc.’s records as a hedging account.




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6. Any cash or other property deposited or cash price tendered for any property deposited,prior to October 31, 2011, for the specifically noted purpose of taking or making physicaldelivery on an options or futures contract, which cash or other property is identified on MFGlobal Inc.’s records as received from or for your account within three or less days of thenotice date or three or less days of the exercise date. NOTE: If yes, the Trustee’s Office willcontact you to request that you provide specific additional information regarding this type of property.

7. Open commodity contracts transferred to another futures commission merchant by theTrustee.

OR

Your claim is not based on any of the types of cash, cash equivalents, or other property listed inItems IV.B.1-7, above.

Section IV.C—Please answer “yes” or “no”—If you selected any of Items IV.B.1–7 above, did youseparately identify any such potentially “Specifically Identifiable Property” to the Trustee bywritten or electronic mail on or before November 15, 2011?

Section IV.D—Please answer “yes” or “no”—Are you claiming securities for the account listed in your filedclaim? If “yes,” please answer “yes” or “no”—Do you wish to receive payment in kind, to the extentpossible?

Section IV.D—You indicated that you are claiming securities for the account listed in your filed claim.Please answer “yes” or “no”—Do you wish to receive payment in kind, to the extent possible?

Please provide the full name(s), address(es), phone number(s), and email address(es) of each person thatassisted you in the preparation of your claim form.

The submitted claim form does not include the claimant’s dated signature. Please have the claimant signand date the enclosed Amendment to Claim Form.

Because the account is a joint account, please have each account holder sign and date the enclosedAmendment to Claim Form.


MF Global Inc. Claims Processing

c/o Epiq Bankruptcy Solutions, LLC757 Third Avenue, 3rd FloorNew York, NY 10017

If you are unable to provide the requested information and/or documentation, pleaseprovide a brief written explanation. We request your response within thirty (30) days fromthe date of this letter or your Claim may be denied. Thank you for your cooperation.

Very truly yours,






MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]Account Name: Daytime Phone:


Address:


INSTRUCTIONS




extent of ownership on a signed separate sheet. If other than a personal account (e.g., corporate,



IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 ORIMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH.


Date Signature

Date Signature








REQUEST FOR ADDITIONAL INFORMATION—SECURITIES CUSTOMER CLAIM

[Date]

VIA UPS OVERNIGHT



Dear Claimant:









Please enclose a copy of your last MFGI account statement or copies of any documents toindicate that you held an account at MFGI.

Please provide copies of all correspondence you had with MFGI or any of its representativesor affiliates.

Section I—Please state the total value of your claim against MFGI, based on, as of October31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) the






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Section III.7—Please answer “yes” or “no”—Have you ever given any discretionary authorityto any person to execute securities transactions with or through MFGI on your behalf? If “yes,” please provide the full names, addresses and phone numbers for each person.

Section III.7—You have indicated that you have given discretionary authority to anotherperson to execute securities transactions with or through MFGI on your behalf. Pleaseprovide the full names, addresses, and phone numbers for each such person.

Section III.8—Please answer “yes” or “no”—Have you or any member of your family everfiled a claim under the Securities Investor Protection Act of 1970? If “yes,” please providethe full name of the broker involved in the claim.

Section III.8—You have indicated that you or a member of your family has filed a claimunder the Securities Investor Protection Act of 1970. Please provide the full name of thebroker involved in the claim.

Please provide the full name(s), address(es), phone number(s), and email address(es) of eachperson that assisted you in the preparation of your claim form.

The submitted claim form does not include the claimant’s dated signature. Please have theclaimant sign and date the enclosed Amendment to Claim Form.

Because the account is a joint account, please have each account holder sign and date theenclosed Amendment to Claim Form.



If you are unable to provide the requested information and/or documentation, pleaseprovide a brief written explanation. We request your response within thirty (30) days fromthe date of this letter or your Claim may be denied. Thank you for your cooperation.

Very truly yours,





SECURITIES CUSTOMER CLAIM FORM

MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]

Account Name: Daytime Phone:


Address:


INSTRUCTIONS




extent of ownership on a signed separate sheet. If other than a personal account (e.g., corporate,



IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM.CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR

IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH.


Date Signature

Date Signature




Exhibit 4(F)






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regarding this determination or facts giving rise to this determination, absent prior Courtapproval.

PLEASE TAKE FURTHER NOTICE: You must file your opposition in accordance with theabove procedure electronically with the Court on the docket of In re MF Global Inc., Case No.11-2790 (MG) SIPA in accordance with General Order M-242 (available atwww.nysb.uscourts.gov/orders/orders2.html) by registered users of the Court’s case filingsystem and by all other parties in interest on a 3.5 inch disk, preferably in Portable DocumentFormat (PDF), Microsoft Word or any other Windows-based word processing format.

If you do not have means to file your opposition electronically, you may mail your opposition to:

Clerk of the United States Bankruptcy CourtSouthern District of New York One Bowling GreenNew York, New York 10004

PLEASE TAKE FURTHER NOTICE: You must serve your opposition upon the Trustee’scounsel by mailing a copy to:

Hughes Hubbard & Reed LLPOne Battery Park PlazaNew York, NY 10004Attn: MFGI Hearing Request






Exhibit 4(G)





In re

MF GLOBAL INC.,

Debtor.


ORDER APPROVING TRUSTEE’S EXPEDITED APPLICATIONESTABLISH PARALLEL CUSTOMER CLAIMS PROCESSES AND

RELATED RELIEF

Upon the Trustee’s expedited application seeking entry of an order (1)

establishing parallel claims processes for commodity futures customer and securities customer

claims; (2) approving the form and manner of the publication and mailing of the notice of

commencement of this proceeding; (3) specifying procedures and forms for the filing,

determination, and adjudication of claims; (4) fixing a meeting of customers and other creditors;

and (5) fixing an interim reporting procedure pursuant to SIPA (the “Application”);1 and due and

proper notice of the Application having been provided; and it appearing that no other or further

notice need be provided; and upon consideration of the various objections (collectively, the

“Objections”) interposed to the Trustee’s Application; and upon consideration of the Trustee’s

Omnibus Reply to the Objections to the Application (the “Reply”); and a hearing having been

held on November 22, 2011, to consider relief requested in the Application (the “Hearing”), and

upon the record of the Hearing, and all the proceedings had before the Court; and the Court

having found and determined that the relief sought in the Application is in the best interests of

1. Terms not defined herein shall have the meaning used in the Application.




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the Debtor, its estate, securities customers, commodity futures customers, other creditors, and all

parties in interest, and that the legal and factual bases set forth in the Application establish just

cause for the relief granted herein; and after due deliberation and sufficient cause appearing

therefore, it is:

ORDERED that the Application is granted; and it is further

ORDERED that the notice of commencement attached as Exhibit 4 (A) to the

Reply (the “Notice of Commencement”), and the explanatory letters, claim forms, instructions

and notice of deficiency of claim and notice of trustee’s determination of claim appearing as

Exhibit 4 (B, C, D, E, and F) to the Reply be, and they hereby are, authorized and approved; and

it is further

ORDERED that the Trustee shall have the authority, on the advice and consent of

the Securities Investment Protection Corporation (“SIPC”) and the Commodity Futures Trading

Commission (“CFTC”), to amend these forms without further order of this Court; and it is

further

ORDERED that the Trustee shall cause the Notice of Commencement,

substantially in the form attached to the Reply as Exhibit 4 (A), to be published no later than

December 2, 2011 in all editions of The New York Times, all editions of The Wall Street Journal,

all editions of The Financial Times, and all editions of The Chicago Tribune; and it is further


Exhibit 4 (A, B, C, and D) to the Reply to be mailed to persons who, as identified from the

Debtor’s books and records, may potentially assert claims as securities customers, commodity

futures customers, or general creditors, on or before December 2, 2011, and finding that such






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deliveries to be made pro rata to the greatest extent considered practicable by the Trustee; and it

is further

ORDERED that the Trustee shall implement the procedures prescribed in 17

C.F.R. § 190.08 for allocation and distribution of commodity futures customer property, to

satisfy commodity futures customer claims, insofar as the claims agree with the Debtor’s books

and records, or are otherwise established to the Trustee’s satisfaction; and it is further

ORDERED that the Trustee shall use the following procedure for those securities

customer claims, as defined in SIPA, and commodity futures customer claims, as defined in the

Commodity Broker Liquidation Provisions and the Part 190 Regulations, which are not allowed

as filed:

a. The Trustee will notify the claimant that the Trusteehas determined that the claimant’s claim has beendisallowed in whole or in part or has otherwise notbeen approved for satisfaction as filed. Notificationshall be in a form similar to the Notice of Determination of Claim, attached as Exhibit 4 (D)to the Reply.

b. The claimant shall file a written opposition to theTrustee’s determination in accordance with theinstructions included with the Trustee’sdetermination. The claimant shall file the writtenopposition with the Bankruptcy Court in accordancewith local rules, and serve upon the Trustee’scounsel, Hughes Hubbard & Reed LLP, OneBattery Park Plaza, New York, NY 10004,Attention: MFGI Hearing Request, within thirtydays of the date on which the Trustee mailed hisdetermination. The request shall include: (i) theclaim number; (ii) a detailed statement of thereasons for the claimant’s objection to the Trustee’sdetermination; (iii) copies of any document or otherwriting upon which the claimant relies; and (iv)mailing, phone, and email contact information forthe claimant.




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c. The Trustee shall, within 120 days of the date onwhich the claimant filed a written opposition to theTrustee’s determination, use his best effort to movethe Court to set a time and date for a statusconference regarding the claim determination

dispute or to move to uphold his determination of the claim. The Trustee shall, upon his motion touphold the determination, ask the Court to set a timeand date for a hearing and shall notify the claimantin writing of the time, date and place of the hearing.If within 120 days of the date that the claimant fileda written opposition, the Trustee does not either (i)request a status conference, or (ii) file a motion touphold the determination, the claimant may thenmove the Court to set a time and date for a hearingon the claim determination dispute.

Notwithstanding the procedures outlined herein, theclaimant and the Trustee may stipulate to informallyresolve their dispute and/or any extensions of any of the foregoing timeframes without further leave of the Court. Moreover, for avoidance of doubt,nothing in these procedures shall preclude theTrustee from moving the Court earlier.

d. If a claimant is aggrieved by the determination of the Trustee, the claimant, upon the Trustee’s motionto uphold such determination, or—if the Trusteefails to timely move for a status conference or touphold his determination, as set forth in subsection(c) above—upon the claimant’s motion for ahearing, shall be afforded the opportunity to havethe matter heard by the Court as a contested matterunder Rule 9014 of the Bankruptcy Rules. Prior tothe Trustee’s filing of a motion to uphold hisdetermination, or the claimant’s allowed motion fora hearing, no discovery or other motion practiceshall occur regarding the Trustee’s determination of claim or facts giving rise to such determination,absent prior Court approval.

e. If a claimant fails to file a written opposition withinthirty days of the mailing of the Trustee’sdetermination in accordance with the proceduresestablished by this Court’s Order, or if the claimantfails to appear at a scheduled hearing, then theTrustee’s determination shall be final.




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ORDERED that the Trustee shall have the authority to compromise and settle any

customer claim at any time, as appropriate, without further order of this Court and all parties to

this proceeding are directed to cooperate with the Trustee to the maximum extent possible to

achieve swift resolution of claims where possible; and it is further

ORDERED that any claim of a securities customer for net equity under SIPA

which is received by the Trustee after the expiration of a sixty-day time period beginning on the

date of publication of the Notice of Commencement need not be paid or satisfied in whole or in

part out of customer property, and, to the extent such claim is satisfied from monies advanced by

SIPC, it shall be satisfied in cash or securities (or both) as the Trustee determines is most

economical to the estate; and it is further

ORDERED that based on the December 2, 2011 mailing date for the Notice of

Commencement, the bar date for the claims of commodity futures customers is January 31, 2012,

the bar date for receiving the maximum possible protection for securities customer claims under

SIPA is January 31, 2012, and the bar date for all claims is June 2, 2012;2 and it is further

ORDERED that claims against the Debtor in this proceeding shall be filed with

the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified

mail, return receipt requested, through the Trustee’s claims agent, Epiq Bankruptcy Solutions,

LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq

Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via

2. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filinginformation occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered bythe Court will remain in full force and effect.




overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq

Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005; and it is further

ORDERED that a meeting of customers and creditors will take place on January

12, 2012 at 10:00 a.m., at the New York Marriott Downtown, 85 West Street, New York, NY

10006; and it is further

ORDERED that the Trustee shall file his first report pursuant to SIPA § 78fff-1(c)

within six months after publication of the Notice of Commencement, and shall file interim

reports at least every six months thereafter.

Dated: New York, New York November __, 2011


Documents

Omnibus Reply to Motion Omnibus Re - Mg Reply to Motion