| LedgerX LLC dba FTX US Derivatives |
Request for Amended Order |
Request for Amended Order of Registration as a DCO |
Withdrawn |
11/11/2022 |
|
6 |
| Prudential Financial, Inc.; Symetra Life Insurance Company; Voya Financial, Inc. |
4(c) Action |
Insurance Cos-4(c) Exemptive Relief Req 6-20-19 |
Withdrawn |
08/24/2022 |
|
1 |
| LCH SA |
4d Action |
LCH SA 4d(f) Order |
Action Taken |
11/01/2021 |
|
1 |
| OneChicago LLC Futures Exchange |
Petition for Rulemaking |
Request to lower margin from 20% to 15% for SFPs |
Withdrawn |
09/18/2020 |
|
1 |
| ICE Clear Credit, ICE Clear Europe, ICE Clear US |
4(c) Action |
ICE DCOs Application for 4(c) Exemptive Order |
Action Taken |
07/19/2018 |
|
2 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Request to Amend CME/DME 4d Order |
Action Taken |
10/31/2017 |
|
3 |
| Nodal Clear, LLC |
Request for Amended Order |
Request for Amended DCO Registration Order |
Action Taken |
06/15/2017 |
Request to amend order of registration as a DCO to provide clearing services for physically settled futures and options on futures. |
4 |
| LCH.Clearnet Ltd. |
4d Action |
LCH Ltd petition for 4d order |
Action Taken |
01/13/2017 |
|
2 |
| Southwest Power Pool, Inc. |
4(c) Action |
Application for 4(c) Exemption |
Action Taken |
10/18/2016 |
|
22 |
| CFTC |
4(c) Action |
Proposed Amended 4(c) Order for RTOs/ISOs |
Action Taken |
10/18/2016 |
|
2 |
| CFTC |
4(c) Action |
4(c) exemption for Federal Reserve Banks |
Action Taken |
08/08/2016 |
|
2 |
| ICE Clear Europe Limited |
4d Action |
Supplemental Petition for Amendment to 4d Order |
Action Taken |
03/26/2015 |
The Commission issued an order amending an earlier order dated May 30, 2014, which permitted ICE Clear Europe and its clearing members that are registered FCMs to: (1) commingle in an account subject to Section 4d(a) (a futures customer account) positions in futures and options, and foreign futures and foreign options, and related customer money, securities, and property; and (2) portfolio margin these futures and options, and foreign futures and foreign options, in the futures customer account. The May 30, 2014 order provided relief only to ICE Clear Europe and its clearing members. The amended order also applies to FCMs that carry contracts cleared at ICE Clear Europe through a clearing member FCM but are not themselves clearing members. |
1 |
| LCH.Clearnet Ltd. |
Request for Amended Order |
Request for amended order |
Action Taken |
12/16/2014 |
. |
1 |
| ICE Clear US, Inc. |
4(c) Action |
Req for Amended 4(c) Order re Long-Dated Ag Swaps |
Withdrawn |
07/08/2014 |
. |
2 |
| ICE Clear Europe Limited |
4d Action |
ICE Clear Europe Petition for Amended 4d(a) Order |
Action Taken |
05/30/2014 |
ICE Clear Europe has requested that the Commission amend its October 15, 2012 order pursuant to Section 4d(a) of the Commodity Exchange Act permitting commingling of customer funds in connection with futures and foreign futures contracts to apply to additional products including certain interest rate, energy, and financial contracts. |
1 |
| ISO-NE |
4(c) Action |
Request for Supplemental 4(c) Order |
Withdrawn |
03/21/2014 |
|
2 |
| CAISO |
4(c) Action |
Request for Supplemental 4(c) Order |
Withdrawn |
03/20/2014 |
|
2 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
4d Order re: OTC Wheat Calendar Swaps |
Action Taken |
12/09/2013 |
|
1 |
| ICE Clear Europe Limited |
4d Action |
4d(f) Request |
Action Taken |
04/09/2013 |
ICE Clear Europe Limited Request for Order Pursuant to Section 4d(f) of the CEA Permitting Commingling of Customer Funds and Portfolio Margining for Swaps and Security-Based Swaps. |
1 |
| RTOs/ISOs |
4(c) Action |
Request from RTOs/ISOs for 4(c)(6) exemption |
Action Taken |
03/28/2013 |
A final order was issued on March 28, 2013 and published in the Federal Register on April 2, 2013. An amended order was issued on October 18, 2016. |
19 |
| National Rural Electric Cooperative Association et al. |
4(c) Action |
Petition for relief from requirements of the CEA |
Action Taken |
03/28/2013 |
|
2 |
| Natural Gas Exchange Inc. |
Request for Amended Order |
Petition for Amended DCO Order |
Action Taken |
03/20/2013 |
|
1 |
| Cantor Clearinghouse, L.P. |
Request for Amended Order |
Cantor Petition for Amended DCO Order |
Action Taken |
02/11/2013 |
|
1 |
| ICE Clear Credit |
4d Action |
4d(f) commingle customer funds portfolio margining |
Action Taken |
01/14/2013 |
. |
1 |
| CFTC |
No-Action |
No-Action Relief from Swaps Reporting Requiremt |
Action Taken |
11/13/2012 |
|
1 |
| CFTC |
No-Action |
No Action Relief for Swap Reporting Requirements |
Action Taken |
10/26/2012 |
|
1 |
| CFTC |
No-Action |
No Action Relief From Swap Reporting Requirements |
Action Taken |
10/15/2012 |
|
1 |
| ICE Clear Europe Limited |
4d Action |
Request for 4d(a) Order. |
Action Taken |
10/09/2012 |
The Commission has issued an order permitting ICE Clear Europe and its FCM clearing members to hold customer property used to margin, guarantee, or secure positions in foreign futures with customer property used to margin, guarantee, or secure futures, in a futures customer account maintained in accordance with Sections 4d(a) and 4d(b) of the CEA. The order also permits ICE Clear Europe to transfer cleared swaps positions, and customer property used to margin, secure or guarantee such positions, to Sections 4d(a) and 4d(b) accounts. |
1 |
| Commercial Energy Working Group |
4a(a)(7) Petition |
Exemptive Relief - Bona Fide Hedging Transactions |
Pending |
09/20/2012 |
|
1 |
| Commodity Markets Council |
4a(a)(7) Petition |
Modify reporting requirements under Reg. 151.5(c) |
Pending |
09/11/2012 |
|
1 |
| ICE Clear Europe Limited |
4d Action |
4d(f) Order |
Action Taken |
08/08/2012 |
The Commission has issued an order permitting ICE Clear Europe and its FCM clearing members to hold customer property used to margin, guarantee, or secure positions in foreign futures with customer property used to margin, guarantee, or secure cleared swaps, in a cleared swaps account maintained in accordance with Section 4d(f) of the CEA. |
1 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Amended NYMEX DME Order |
Action Taken |
08/06/2012 |
|
1 |
| NYMEX Clearing House |
1a(12)(C) Determination |
Order amended to transfer clearing services to CME |
Action Taken |
08/06/2012 |
|
1 |
| New York Portfolio Clearing, LLC |
4d Action |
Order authorizing non-proprietary cross-margining |
Action Taken |
08/03/2012 |
Order authorizing NYPC to implement a non-proprietary cross-margining program with FICC; effective August 3, 2012. |
1 |
| American Public Power Association et al. |
Petition for Rulemaking |
Petition to amend CFTC Rule 1.3(ggg)(4) |
Pending |
07/12/2012 |
|
14 |
| Options Clearing Corporation |
No-Action |
Limited waiver of enforcement of OCC Bylaws Rules |
Action Taken |
06/04/2012 |
|
2 |
| Chicago Mercantile Exchange, Inc. |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions. |
Pending |
04/26/2012 |
|
1 |
| Options Clearing Corporation |
4d Action |
Amend 2004 Cross-Margin Order |
Action Taken |
04/05/2012 |
Request for an Order Permitting Commingling of Affiliate Funds in an Internal Cross Margining Account |
1 |
| American Petroleum Institute |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions |
Pending |
03/13/2012 |
|
1 |
| National Futures Association |
Petition for Rulemaking |
NFA Petition for Rulemaking re: Regulation 4.5 |
Action Taken |
02/09/2012 |
|
6 |
| Working Group of Commercial Energy Firms |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions. |
Pending |
01/20/2012 |
|
15 |
| Working Group of Commercial Energy Firms |
4a(a)(7) Petition |
exemptive relief - position limit aggregation |
Pending |
01/19/2012 |
|
7 |
| CME Clearing House |
4d Action |
Requests to Amend NYMEX/DME 4d Order |
Action Taken |
09/16/2011 |
|
1 |
| ELX Futures, L.P. |
Request CFTC use CEA section 8a(7) |
Request that CFTC Stay CBOT Advisory |
Action Taken - Denied |
06/16/2011 |
ELX requests that the CFTC stay CBOT Advisory Notice RA0907-1, filed by CBOT under self-certification procedures on October 16, 2009. |
16 |
| Options Clearing Corporation |
4(c) Action |
4(c) Request re: CBOE Gold ETF Volatility Index |
Action Taken |
12/23/2010 |
|
6 |
| NQLX LLC Futures Exchange |
Request to Vacate |
NQLX seeks vacation from its order of designation |
Action Taken |
10/29/2010 |
On June 16, 2010, NYSE Euronext, the ultimate parent of NQLX requested that the status of NQLX as a designated contract market be vacated and set aside by the CFTC. Comments with respect to this request were due by August 6, 2010. NQLX was originally designated as a DCM in August 2001. On July 1, 2005, it met the definition of a "dormant" DCM and since that time has remained inactive. NYSE Euronext intended that NQLX be merged into an indirect wholly owned subsidiary, on or about September 20, 2010. |
0 |
| Agora-X, LLC |
Petition for Rulemaking |
Petition to amend Reg 35 to clear OTC ag swaps |
Withdrawn |
07/02/2010 |
|
1 |
| Hard 8 Futures |
4(c) Action |
Hard 8 4(c) petition |
Pending |
06/17/2010 |
|
2 |
| Kansas City Board of Trade Clearing Corporation |
4(c) Action |
Request for 4(c)/4d Order for Wheat Calendar Swaps |
Action Taken |
06/15/2010 |
|
3 |
| North American Derivatives Exchange, Inc. |
Request for Amended Order |
Amended DCO Order to Clear Intermediated Trades |
Action Taken |
03/30/2010 |
|
1 |
