| 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 |
| NYMEX Clearing House |
1a(12)(C) Determination |
Order amended to transfer clearing services to CME |
Action Taken |
08/06/2012 |
|
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 |
| 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 |
| CME Clearing House |
4(c) Action |
Request for 4(c) order re clearing OTC ag swaps |
Action Taken |
03/18/2009 |
|
3 |
| 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 |
| 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 |
| Hard 8 Futures |
4(c) Action |
Hard 8 4(c) petition |
Pending |
06/17/2010 |
|
2 |
| ICE Clear US, Inc. |
4(c) Action |
Req for Amended 4(c) Order re Long-Dated Ag Swaps |
Withdrawn |
07/08/2014 |
. |
2 |
| CFTC |
4(c) Action |
4(c) exemption for Federal Reserve Banks |
Action Taken |
08/08/2016 |
|
2 |
| 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 |
| 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 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 |
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Working Group of Commercial Energy Firms |
4a(a)(7) Petition |
exemptive relief - position limit aggregation |
Pending |
01/19/2012 |
|
7 |
| 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 |
| 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 |
| 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 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
4d Order re: OTC Wheat Calendar Swaps |
Action Taken |
12/09/2013 |
|
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
