| Southwest Power Pool, Inc. |
4(c) Action |
Application for 4(c) Exemption |
Action Taken |
10/18/2016 |
|
22 |
| 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 |
| 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 |
| Working Group of Commercial Energy Firms |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions. |
Pending |
01/20/2012 |
|
15 |
| American Public Power Association et al. |
Petition for Rulemaking |
Petition to amend CFTC Rule 1.3(ggg)(4) |
Pending |
07/12/2012 |
|
14 |
| Working Group of Commercial Energy Firms |
4a(a)(7) Petition |
exemptive relief - position limit aggregation |
Pending |
01/19/2012 |
|
7 |
| National Futures Association |
Petition for Rulemaking |
NFA Petition for Rulemaking re: Regulation 4.5 |
Action Taken |
02/09/2012 |
|
6 |
| Options Clearing Corporation |
4(c) Action |
4(c) Request re: CBOE Gold ETF Volatility Index |
Action Taken |
12/23/2010 |
|
6 |
| LedgerX LLC dba FTX US Derivatives |
Request for Amended Order |
Request for Amended Order of Registration as a DCO |
Withdrawn |
11/11/2022 |
|
6 |
| ICE Clear Europe Limited |
409(b)(3) Order |
Request for determination under FDICIA 409(b)(3) |
Action Taken |
07/31/2008 |
|
6 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| CFTC |
4(c) Action |
iShares Comex Gold and ishares Silver Shares 4(c) |
Action Taken |
12/05/2008 |
|
4 |
| CME Clearing House |
4(c) Action |
Request for 4(c) order re clearing OTC ag swaps |
Action Taken |
03/18/2009 |
|
3 |
| National Futures Association |
Petition for Rulemaking |
Elec. filing of CPO and CTA disclosure documents |
Action Taken |
03/05/2009 |
|
3 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Request to Amend CME/DME 4d Order |
Action Taken |
10/31/2017 |
|
3 |
| 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 |
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 |
| 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 |
| LCH.Clearnet Ltd. |
4d Action |
LCH Ltd petition for 4d order |
Action Taken |
01/13/2017 |
|
2 |
| National Rural Electric Cooperative Association et al. |
4(c) Action |
Petition for relief from requirements of the CEA |
Action Taken |
03/28/2013 |
|
2 |
| 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 |
| CFTC |
4(c) Action |
Proposed Amended 4(c) Order for RTOs/ISOs |
Action Taken |
10/18/2016 |
|
2 |
| 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 |
| Options Clearing Corporation |
No-Action |
Limited waiver of enforcement of OCC Bylaws Rules |
Action Taken |
06/04/2012 |
|
2 |
| Clearing Corporation |
4d Action |
Implementation of Global Clearing Link Phase I |
Action Taken |
10/21/2004 |
|
2 |
| CFTC |
4(c) Action |
4(c) exemption for Federal Reserve Banks |
Action Taken |
08/08/2016 |
|
2 |
| 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 |
| North American Derivatives Exchange, Inc. |
Request for Amended Order |
Requests Amended DCM Order to Allow Intermediation |
Action Taken |
03/30/2010 |
|
2 |
| Chicago Mercantile Exchange, Inc. |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions. |
Pending |
04/26/2012 |
|
1 |
| LCH SA |
4d Action |
LCH SA 4d(f) Order |
Action Taken |
11/01/2021 |
|
1 |
| North American Derivatives Exchange, Inc. |
Request for Amended Order |
Amended DCO Order to Clear Intermediated Trades |
Action Taken |
03/30/2010 |
|
1 |
| 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 |
| 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 |
| Cantor Clearinghouse, L.P. |
Request for Amended Order |
Cantor Petition for Amended DCO Order |
Action Taken |
02/11/2013 |
|
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 |
| CFTC |
No-Action |
No-Action Relief from Swaps Reporting Requiremt |
Action Taken |
11/13/2012 |
|
1 |
