| National Rural Electric Cooperative Association et al. |
4(c) Action |
Petition for relief from requirements of the CEA |
Action Taken |
03/28/2013 |
|
2 |
| OneChicago LLC Futures Exchange |
Petition for Rulemaking |
Request to lower margin from 20% to 15% for SFPs |
Withdrawn |
09/18/2020 |
|
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Withdrawn |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 |
| Chicago Mercantile Exchange, Inc. |
4a(a)(7) Petition |
Exemptive relief - bona fide hedging transactions. |
Pending |
04/26/2012 |
|
1 |
| 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 |
| 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 |
| 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 |
| CME Clearing House |
4(c) Action |
Request for 4(c) order re clearing OTC ag swaps |
Action Taken |
03/18/2009 |
|
3 |
| CME Clearing House |
4d Action |
Request for 4d order re cleared OTC Ag swaps |
Action Taken |
03/18/2009 |
|
1 |
| 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 - 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 |
| 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 |
| National Futures Association |
Petition for Rulemaking |
NFA Petition for Rulemaking re: Regulation 4.5 |
Action Taken |
02/09/2012 |
|
6 |
| 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 US, Inc. |
4d Action |
Request for 4d Order for Cleared OTC Contracts |
Action Taken |
12/12/2008 |
|
1 |
| ICE Clear US, Inc. |
4(c) Action |
Req for 4(c) Order for Part 35 exemption for swaps |
Action Taken |
12/12/2008 |
|
4 |
| 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 |
| Hard 8 Futures |
4(c) Action |
Hard 8 4(c) petition |
Pending |
06/17/2010 |
|
2 |
| CME Clearing House |
4d Action |
Clearing by CME of OTC Contracts |
Action Taken |
03/03/2006 |
|
1 |
| Options Clearing Corporation |
No-Action |
Limited waiver of enforcement of OCC Bylaws Rules |
Action Taken |
06/04/2012 |
|
2 |
| 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 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Amended NYMEX DME Order |
Action Taken |
08/06/2012 |
|
1 |
| National Futures Association |
Petition for Rulemaking |
Elec. filing of CPO and CTA disclosure documents |
Action Taken |
03/05/2009 |
|
3 |
| NYMEX Clearing House |
1a(12)(C) Determination |
Order amended to transfer clearing services to CME |
Action Taken |
08/06/2012 |
|
1 |
| Clearing Corporation |
4d Action |
Implementation of Global Clearing Link Phase I |
Action Taken |
10/21/2004 |
|
2 |
| 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 |
| Intercontinental Exchange, Inc., et al |
Exemption |
CFTC Registered Floor Brokers/Traders Deemed ECEs |
Action Taken |
01/16/2003 |
|
0 |
| CFTC |
No-Action |
No Action Relief for Swap Reporting Requirements |
Action Taken |
10/26/2012 |
|
1 |
| Intercontinental Exchange, Inc. |
Exemption |
IPE Brokers/Traders Deemed ECEs |
Action Taken |
11/15/2004 |
|
0 |
| CFTC |
4(c) Action |
4(c) exemption for Federal Reserve Banks |
Action Taken |
08/08/2016 |
|
2 |
| ICE Clear US, Inc. |
4d Action |
Request for Cross-Margining with OCC |
Action Taken |
02/29/2008 |
|
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 |
Proposed Part 35 Regulations |
Action Taken |
01/22/1993 |
|
0 |
| Commodity Markets Council |
4a(a)(7) Petition |
Modify reporting requirements under Reg. 151.5(c) |
Pending |
09/11/2012 |
|
1 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Request to Amend CME/DME 4d Order |
Action Taken |
10/31/2017 |
|
3 |
