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
NYMEX Clearing House	4d Action	Treatment of Funds for NYMEX Europe Transactions	Action Taken	09/06/2005		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 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
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
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	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
Chicago Mercantile Exchange, Inc.	4d Action	Request to Amend CME/DME 4d Order	Action Taken	10/31/2017		3
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
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
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 Credit	4d Action	4d(f) commingle customer funds portfolio margining	Action Taken	01/14/2013	.	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
Options Clearing Corporation	Request for Amended Order	Amended Order of DCO Registration	Action Taken	02/26/2008		1
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
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
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
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
Kansas City Board of Trade Clearing Corporation	4(c) Action	Request for 4(c)/4d Order for Wheat Calendar Swaps	Action Taken	06/15/2010		3
CFTC	4(c) Action	SPDR Gold Trust Security Futures 4(c)	Action Taken	05/30/2008		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
CFTC	4(c) Action	iShares Comex Gold and ishares Silver Shares 4(c)	Action Taken	12/05/2008		4
ICE Clear Europe Limited	409(b)(3) Order	Request for determination under FDICIA 409(b)(3)	Action Taken	07/31/2008		6
North American Derivatives Exchange, Inc.	Request for Amended Order	Requests Amended DCM Order to Allow Intermediation	Action Taken	03/30/2010		2