Commission Orders and Other Actions

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Initiator

ALLAgora-X, LLCAmerican Petroleum InstituteAmerican Public Power Association et al.CAISOCantor Clearinghouse, L.P.Cargill, Inc.CFTCChicago Board of TradeChicago Board of Trade (CBOT), et alChicago Mercantile ExchangeChicago Mercantile Exchange, Inc.Clearing CorporationCME Clearing HouseCommercial Energy Working GroupCommodity Markets CouncilELX Futures, L.P.Hard 8 FuturesICE Clear CreditICE Clear Credit, ICE Clear Europe, ICE Clear USICE Clear Europe LimitedICE Clear US, Inc.ICE Futures U.S., Inc.Intercontinental Exchange, Inc.Intercontinental Exchange, Inc., et alISO-NEKansas City Board of Trade Clearing CorporationLCH SALCH.Clearnet Ltd.LedgerX LLC dba FTX US DerivativesNational Futures AssociationNational Rural Electric Cooperative Association et al.Natural Gas Exchange Inc.New York Mercantile ExchangeNew York Portfolio Clearing, LLCNodal Clear, LLCNorth American Derivatives Exchange, Inc.NQLX LLC Futures ExchangeNYMEX Clearing HouseOneChicago LLC Futures ExchangeOptions Clearing CorporationPacific Futures ExchangePrudential Financial, Inc.; Symetra Life Insurance Company; Voya Financial, Inc.RTOs/ISOsSouthwest Power Pool, Inc.Working Group of Commercial Energy Firms

Action Type

ALL1a(12)(C) Determination4(c) Action409(b)(3) Order4a(a)(7) Petition4d ActionExemptionInterpretationNo-ActionPetition for RulemakingRequest CFTC use CEA section 8a(7)Request for Amended OrderRequest to VacateSignificant Price Discovery Contract Order

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Initiator	Action Type	Description	Status	Date	Remarks	Documents
CFTC	Significant Price Discovery Contract Order	ICE Henry Financial LD1 Fixed Price Contract	Action Taken	07/24/2009	Commission determined contract is a Significant Price Discovery Contract.	2
Pacific Futures Exchange	Request to Vacate	Request to Vacate PFE DCM Designation	Action Taken	04/21/2008	On January 17, 2008, the Pacific Futures Exchange ( PFE) requested under CEA Section 7 that the CFTC vacate PFEs contract market designation as of April 21, 2008. PFE currently is not operational. PFE was orginally designated as a contract market on July 22, 1986 and the only authorized contract was the PSE Technology Stock Index future, for which trading was never initiated.	1
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
North American Derivatives Exchange, Inc.	Request for Amended Order	Amended DCO Order to Clear Intermediated Trades	Action Taken	03/30/2010		1
Cantor Clearinghouse, L.P.	Request for Amended Order	Cantor Petition for Amended DCO Order	Action Taken	02/11/2013		1
LCH.Clearnet Ltd.	Request for Amended Order	Request for amended order	Action Taken	12/16/2014	.	1
Natural Gas Exchange Inc.	Request for Amended Order	Petition for Amended DCO Order	Action Taken	03/20/2013		1
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
Options Clearing Corporation	Request for Amended Order	Amended Order of DCO Registration	Action Taken	02/26/2008		1
LedgerX LLC dba FTX US Derivatives	Request for Amended Order	Request for Amended Order of Registration as a DCO	Withdrawn	11/11/2022		6
North American Derivatives Exchange, Inc.	Request for Amended Order	Requests Amended DCM Order to Allow Intermediation	Action Taken	03/30/2010		2
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
American Public Power Association et al.	Petition for Rulemaking	Petition to amend CFTC Rule 1.3(ggg)(4)	Pending	07/12/2012		14
National Futures Association	Petition for Rulemaking	NFA Petition for Rulemaking re: Regulation 4.5	Action Taken	02/09/2012		6
National Futures Association	Petition for Rulemaking	Electronic filing of Part 4 notices	Action Taken	10/13/2006	NFA requested that the Commission amend its Part 4 regulations to require that notices claiming exemption or exclusion be filed electronically with NFA through its electronic filing system. The Commission proposed changes on October 13, 2006 and adopted final regulations on January 16, 2007.	4
OneChicago LLC Futures Exchange	Petition for Rulemaking	Request to lower margin from 20% to 15% for SFPs	Withdrawn	09/18/2020		1
National Futures Association	Petition for Rulemaking	Elec. filing of CPO and CTA disclosure documents	Action Taken	03/05/2009		3
National Futures Association	Petition for Rulemaking	Electronic filing of commodity pool annual reports	Action Taken	12/15/2005	The petition requested that the Commission amend Regulation 4.22(c) to require that commodity pool annual reports filed by registered CPOs be required to be submitted to NFA through its electronic filing system. The Commission proposed these changes on December 15, 2005, and adopted final regulations on February 22, 2006.	4
Agora-X, LLC	Petition for Rulemaking	Petition to amend Reg 35 to clear OTC ag swaps	Withdrawn	07/02/2010		1
CFTC	No-Action	No-Action Relief from Swaps Reporting Requiremt	Action Taken	11/13/2012		1
Options Clearing Corporation	No-Action	Limited waiver of enforcement of OCC Bylaws Rules	Action Taken	06/04/2012		2
CFTC	No-Action	No Action Relief From Swap Reporting Requirements	Action Taken	10/15/2012		1
CFTC	No-Action	No Action Relief for Swap Reporting Requirements	Action Taken	10/26/2012		1
Cargill, Inc.	No-Action	Relief from Certain ATOM Requirements	Action Taken	01/11/2006		0
CFTC	No-Action	Strike Price Filing Relief (CBOE Futures Exchange)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (Hedge Street)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (CBOT)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (KCBT)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (MGE)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (Chi. Climate Fut. Ex.)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (NYBOT)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (CME)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (NYMEX)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (One Chicago)	Action Taken	01/09/2006		0
CFTC	No-Action	Strike Price Filing Relief (USFE)	Action Taken	01/09/2006		0
CFTC	Interpretation	Part 190- Bankruptcy-Account Class	Action Taken	10/21/2004		1
CFTC	Interpretation	Part 190-Bankruptcy-Cleared-Only Contracts	Action Taken	09/26/2008		1
Intercontinental Exchange, Inc., et al	Exemption	CFTC Registered Floor Brokers/Traders Deemed ECEs	Action Taken	01/16/2003		0
Intercontinental Exchange, Inc.	Exemption	IPE Brokers/Traders Deemed ECEs	Action Taken	11/15/2004		0
LCH.Clearnet Ltd.	4d Action	LCH Ltd petition for 4d order	Action Taken	01/13/2017		2
LCH SA	4d Action	LCH SA 4d(f) Order	Action Taken	11/01/2021		1
CME Clearing House	4d Action	Request for 4d order re cleared OTC Ag swaps	Action Taken	03/18/2009		1
NYMEX Clearing House	4d Action	Treatment of Customer Funds re: DME	Action Taken	05/23/2007	The Commission issued an order under Section 4d of the Commodity Exchange Act allowing the New York Mercantile Exchange (NYMEX) and registered futures commission merchants to hold Dubai Mercantile Exchange (DME) customer positions and associated funds in segregated accounts. The order is limited to the following contracts traded on the DME: the physically delivered Oman Sour Crude futures contract, the cash-settled West Texas Intermediate-Oman Financial Spread futures contract and the Brent-Oman Financial Spread futures contract.	1
Chicago Mercantile Exchange, Inc.	4d Action	4d Order re: OTC Wheat Calendar Swaps	Action Taken	12/09/2013		1
Chicago Board of Trade	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	09/26/2008		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
ICE Clear US, Inc.	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	12/12/2008		1
CME Clearing House	4d Action	Requests to Amend NYMEX/DME 4d Order	Action Taken	09/16/2011		1
Clearing Corporation	4d Action	Req inclusion of new Eurex products in 4d account	Action Taken	10/25/2007		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