| 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 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 |
| 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 |
| 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 |
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 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| LCH.Clearnet Ltd. |
Request for Amended Order |
Request for amended order |
Action Taken |
12/16/2014 |
. |
1 |
| ICE Clear US, Inc. |
4(c) Action |
Req for Amended 4(c) Order re Long-Dated Ag Swaps |
Withdrawn |
07/08/2014 |
. |
2 |
| ICE Clear Credit |
4d Action |
4d(f) commingle customer funds portfolio margining |
Action Taken |
01/14/2013 |
. |
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 |
