Commission Orders and Other Actions

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Initiator Action Type Description Status Date Remarks Documents
ICE Clear US, Inc. 4(c) Action Req for Amended 4(c) Order re Long-Dated Ag Swaps Withdrawn 07/08/2014 . 2
OneChicago LLC Futures Exchange Petition for Rulemaking Request to lower margin from 20% to 15% for SFPs Withdrawn 09/18/2020 1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Inc.; Symetra Life Insurance Company; Voya Financial, Inc. 4(c) Action Insurance Cos-4(c) Exemptive Relief Req 6-20-19 Withdrawn 08/24/2022 1
CAISO 4(c) Action Request for Supplemental 4(c) Order Withdrawn 03/20/2014 2
ISO-NE 4(c) Action Request for Supplemental 4(c) Order Withdrawn 03/21/2014 2
Agora-X, LLC Petition for Rulemaking Petition to amend Reg 35 to clear OTC ag swaps Withdrawn 07/02/2010 1
LedgerX LLC dba FTX US Derivatives Request for Amended Order Request for Amended Order of Registration as a DCO Withdrawn 11/11/2022 6
Chicago Mercantile Exchange, Inc. 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions. Pending 04/26/2012 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
Hard 8 Futures 4(c) Action Hard 8 4(c) petition Pending 06/17/2010 2
Commodity Markets Council 4a(a)(7) Petition Modify reporting requirements under Reg. 151.5(c) Pending 09/11/2012 1
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
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
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
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
National Rural Electric Cooperative Association et al. 4(c) Action Petition for relief from requirements of the CEA Action Taken 03/28/2013 2
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
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
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
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 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
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
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
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
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