Commission Orders and Other Actions

Search Commission Orders and Other Actions using the following criteria

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
LCH.Clearnet Ltd.	Request for Amended Order	Request for amended order	Action Taken	12/16/2014	.	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
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
Natural Gas Exchange Inc.	Request for Amended Order	Petition for Amended DCO Order	Action Taken	03/20/2013		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
OneChicago LLC Futures Exchange	Petition for Rulemaking	Request to lower margin from 20% to 15% for SFPs	Withdrawn	09/18/2020		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
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
CFTC	Interpretation	Part 190- Bankruptcy-Account Class	Action Taken	10/21/2004		1
Options Clearing Corporation	4d Action	Internal Cross Margining	Action Taken	11/05/2004		1
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
ICE Clear US, Inc.	4d Action	Request for Cross-Margining with OCC	Action Taken	02/29/2008		1
Commodity Markets Council	4a(a)(7) Petition	Modify reporting requirements under Reg. 151.5(c)	Pending	09/11/2012		1
NYMEX Clearing House	4d Action	NYMEX Request to Amend DME 4d Order	Action Taken	04/30/2008		1
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
American Petroleum Institute	4a(a)(7) Petition	Exemptive relief - bona fide hedging transactions	Pending	03/13/2012		1
ICE Clear Credit	4d Action	4d(f) commingle customer funds portfolio margining	Action Taken	01/14/2013	.	1
Options Clearing Corporation	Request for Amended Order	Amended Order of DCO Registration	Action Taken	02/26/2008		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
CFTC	Interpretation	Part 190-Bankruptcy-Cleared-Only Contracts	Action Taken	09/26/2008		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
Agora-X, LLC	Petition for Rulemaking	Petition to amend Reg 35 to clear OTC ag swaps	Withdrawn	07/02/2010		1
CFTC	4(c) Action	SPDR Gold Trust Security Futures 4(c)	Action Taken	05/30/2008		1
Commercial Energy Working Group	4a(a)(7) Petition	Exemptive Relief - Bona Fide Hedging Transactions	Pending	09/20/2012		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
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
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
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
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
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