Commission Orders and Other Actions

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Initiator Action Type Description Status Date Remarks Documents
CME Clearing House 4d Action Clearing by CME of OTC Contracts Action Taken 03/03/2006 1
CME Clearing House 4d Action Treatment of Customer Funds re: MEFF Products Action Taken 06/20/2001 1
NYMEX Clearing House 4d Action Clearing of OTC Contracts Action Taken 05/30/2002 1
NYMEX Clearing House 4d Action Clearing of OTC Contracts-Amended Order Action Taken 02/10/2004 1
NYMEX Clearing House 4d Action Treatment of Funds for NYMEX Europe Transactions Action Taken 09/06/2005 1
Chicago Mercantile Exchange, Inc. 4d Action Amended NYMEX DME Order Action Taken 08/06/2012 1
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
Clearing Corporation 4d Action Implementation of Global Clearing Link Phase I Action Taken 10/21/2004 2
Options Clearing Corporation 4d Action Internal Cross Margining Action Taken 11/05/2004 1
ICE Clear US, Inc. 4d Action Request for Cross-Margining with OCC Action Taken 02/29/2008 1
Chicago Mercantile Exchange, Inc. 4d Action Request to Amend CME/DME 4d Order Action Taken 10/31/2017 3
NYMEX Clearing House 4d Action NYMEX Request to Amend DME 4d Order Action Taken 04/30/2008 1
ICE Clear Credit 4d Action 4d(f) commingle customer funds portfolio margining Action Taken 01/14/2013 . 1
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
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
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
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
Chicago Mercantile Exchange, Inc. 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions. Pending 04/26/2012 1
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
Commodity Markets Council 4a(a)(7) Petition Modify reporting requirements under Reg. 151.5(c) Pending 09/11/2012 1
American Petroleum Institute 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions Pending 03/13/2012 1
Commercial Energy Working Group 4a(a)(7) Petition Exemptive Relief - Bona Fide Hedging Transactions Pending 09/20/2012 1
ICE Clear Europe Limited 409(b)(3) Order Request for determination under FDICIA 409(b)(3) Action Taken 07/31/2008 6
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
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
CME Clearing House 4(c) Action Request for 4(c) order re clearing OTC ag swaps Action Taken 03/18/2009 3
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
ICE Clear US, Inc. 4(c) Action Req for 4(c) Order for Part 35 exemption for swaps Action Taken 12/12/2008 4
ICE Futures U.S., Inc. 4(c) Action Req. 4(c) Order deeming brokers/traders to be ESPs Action Taken 12/12/2008 This request is for relief under CEA section 4(c) for an Order that deems brokers/traders to be Eligible Swap Participants under Part 35 of CFTC Regulations. 4
Hard 8 Futures 4(c) Action Hard 8 4(c) petition Pending 06/17/2010 2
ICE Clear US, Inc. 4(c) Action Req for Amended 4(c) Order re Long-Dated Ag Swaps Withdrawn 07/08/2014 . 2
CFTC 4(c) Action 4(c) exemption for Federal Reserve Banks Action Taken 08/08/2016 2
Options Clearing Corporation 4(c) Action 4(c) Request re: CBOE Gold ETF Volatility Index Action Taken 12/23/2010 6
CFTC 4(c) Action Final rulemaking amending Part 34 Regulations Action Taken 01/22/1993 Amendments to Part 34 Regulations expanding the exemption applied to certain hybrid instruments that combine charateristics of futures/options with debt, equity, or depository interests, pursuant to CEA Section 4(c) authority. 58 FR 5580 (Jan 22, 1993). 0
CFTC 4(c) Action Proposed Part 35 Regulations Action Taken 01/22/1993 0
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
Chicago Board of Trade (CBOT), et al 4(c) Action Part 36 Professional Markets Rulemaking Action Taken 10/02/1995 New Part 36 Regulations for Professional Markets (in response to a petition to permit certain transactions to trade on Section 4(c) contract markets exempt from specified requirements of the Act and the Commission regulations). 60 FR 51323 (Oct 2,1995). 0
CFTC 4(c) Action Proposal to exempt certain credit default options Action Taken 06/04/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
CAISO 4(c) Action Request for Supplemental 4(c) Order Withdrawn 03/20/2014 2
ISO-NE 4(c) Action Request for Supplemental 4(c) Order Withdrawn 03/21/2014 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
CFTC 4(c) Action SPDR Gold Trust Security Futures 4(c) Action Taken 05/30/2008 1
CFTC 4(c) Action iShares Comex Gold and ishares Silver Shares 4(c) Action Taken 12/05/2008 4
New York Mercantile Exchange 1a(12)(C) Determination Request order for floor members to be ECPs Action Taken 10/03/2006 2
Chicago Mercantile Exchange 1a(12)(C) Determination Request to permit floor members to be ECPs Action Taken 03/14/2006 2
NYMEX Clearing House 1a(12)(C) Determination Order amended to transfer clearing services to CME Action Taken 08/06/2012 1