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
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	Interpretation	Part 190-Bankruptcy-Cleared-Only Contracts	Action Taken	09/26/2008		1
CFTC	Interpretation	Part 190- Bankruptcy-Account Class	Action Taken	10/21/2004		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
NYMEX Clearing House	1a(12)(C) Determination	Order amended to transfer clearing services to CME	Action Taken	08/06/2012		1
NYMEX Clearing House	4d Action	NYMEX Request to Amend DME 4d Order	Action Taken	04/30/2008		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
CFTC	No-Action	No-Action Relief from Swaps Reporting Requiremt	Action Taken	11/13/2012		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
National Futures Association	Petition for Rulemaking	NFA Petition for Rulemaking re: Regulation 4.5	Action Taken	02/09/2012		6
Commodity Markets Council	4a(a)(7) Petition	Modify reporting requirements under Reg. 151.5(c)	Pending	09/11/2012		1
Options Clearing Corporation	No-Action	Limited waiver of enforcement of OCC Bylaws Rules	Action Taken	06/04/2012		2
LCH SA	4d Action	LCH SA 4d(f) Order	Action Taken	11/01/2021		1
LCH.Clearnet Ltd.	4d Action	LCH Ltd petition for 4d order	Action Taken	01/13/2017		2
CFTC	4(c) Action	iShares Comex Gold and ishares Silver Shares 4(c)	Action Taken	12/05/2008		4
Intercontinental Exchange, Inc.	Exemption	IPE Brokers/Traders Deemed ECEs	Action Taken	11/15/2004		0
Options Clearing Corporation	4d Action	Internal Cross Margining	Action Taken	11/05/2004		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
Clearing Corporation	4d Action	Implementation of Global Clearing Link Phase I	Action Taken	10/21/2004		2
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
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
Hard 8 Futures	4(c) Action	Hard 8 4(c) petition	Pending	06/17/2010		2
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
Working Group of Commercial Energy Firms	4a(a)(7) Petition	exemptive relief - position limit aggregation	Pending	01/19/2012		7
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
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
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
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
National Futures Association	Petition for Rulemaking	Elec. filing of CPO and CTA disclosure documents	Action Taken	03/05/2009		3
NYMEX Clearing House	4d Action	Clearing of OTC Contracts-Amended Order	Action Taken	02/10/2004		1
NYMEX Clearing House	4d Action	Clearing of OTC Contracts	Action Taken	05/30/2002		1
CME Clearing House	4d Action	Clearing by CME of OTC Contracts	Action Taken	03/03/2006		1
Intercontinental Exchange, Inc., et al	Exemption	CFTC Registered Floor Brokers/Traders Deemed ECEs	Action Taken	01/16/2003		0
Cantor Clearinghouse, L.P.	Request for Amended Order	Cantor Petition for Amended DCO Order	Action Taken	02/11/2013		1
Southwest Power Pool, Inc.	4(c) Action	Application for 4(c) Exemption	Action Taken	10/18/2016		22
Options Clearing Corporation	Request for Amended Order	Amended Order of DCO Registration	Action Taken	02/26/2008		1
Chicago Mercantile Exchange, Inc.	4d Action	Amended NYMEX DME Order	Action Taken	08/06/2012		1
North American Derivatives Exchange, Inc.	Request for Amended Order	Amended DCO Order to Clear Intermediated Trades	Action Taken	03/30/2010		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
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 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
ICE Clear Credit	4d Action	4d(f) commingle customer funds portfolio margining	Action Taken	01/14/2013	.	1
Chicago Mercantile Exchange, Inc.	4d Action	4d Order re: OTC Wheat Calendar Swaps	Action Taken	12/09/2013		1
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	4(c) exemption for Federal Reserve Banks	Action Taken	08/08/2016		2