Clearing Corporation |
4d Action |
Implementation of Global Clearing Link Phase I |
Action Taken |
10/21/2004 |
|
2 |
Options Clearing Corporation |
4d Action |
Internal Cross Margining |
Action Taken |
11/05/2004 |
|
1 |
ICE Clear US, Inc. |
4d Action |
Request for Cross-Margining with OCC |
Action Taken |
02/29/2008 |
|
1 |
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 |
ICE Clear Credit |
4d Action |
4d(f) commingle customer funds portfolio margining |
Action Taken |
01/14/2013 |
. |
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 |
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 |
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 |
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 |
Intercontinental Exchange, Inc., et al |
Exemption |
CFTC Registered Floor Brokers/Traders Deemed ECEs |
Action Taken |
01/16/2003 |
|
0 |
Intercontinental Exchange, Inc. |
Exemption |
IPE Brokers/Traders Deemed ECEs |
Action Taken |
11/15/2004 |
|
0 |
CFTC |
Interpretation |
Part 190- Bankruptcy-Account Class |
Action Taken |
10/21/2004 |
|
1 |
CFTC |
Interpretation |
Part 190-Bankruptcy-Cleared-Only Contracts |
Action Taken |
09/26/2008 |
|
1 |
CFTC |
No-Action |
No-Action Relief from Swaps Reporting Requiremt |
Action Taken |
11/13/2012 |
|
1 |
Options Clearing Corporation |
No-Action |
Limited waiver of enforcement of OCC Bylaws Rules |
Action Taken |
06/04/2012 |
|
2 |
CFTC |
No-Action |
No Action Relief From Swap Reporting Requirements |
Action Taken |
10/15/2012 |
|
1 |
CFTC |
No-Action |
No Action Relief for Swap Reporting Requirements |
Action Taken |
10/26/2012 |
|
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 |
American Public Power Association et al. |
Petition for Rulemaking |
Petition to amend CFTC Rule 1.3(ggg)(4) |
Pending |
07/12/2012 |
|
14 |
National Futures Association |
Petition for Rulemaking |
NFA Petition for Rulemaking re: Regulation 4.5 |
Action Taken |
02/09/2012 |
|
6 |
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 |
OneChicago LLC Futures Exchange |
Petition for Rulemaking |
Request to lower margin from 20% to 15% for SFPs |
Withdrawn |
09/18/2020 |
|
1 |
National Futures Association |
Petition for Rulemaking |
Elec. filing of CPO and CTA disclosure documents |
Action Taken |
03/05/2009 |
|
3 |
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 |
Agora-X, LLC |
Petition for Rulemaking |
Petition to amend Reg 35 to clear OTC ag swaps |
Withdrawn |
07/02/2010 |
|
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 |
North American Derivatives Exchange, Inc. |
Request for Amended Order |
Amended DCO Order to Clear Intermediated Trades |
Action Taken |
03/30/2010 |
|
1 |
Cantor Clearinghouse, L.P. |
Request for Amended Order |
Cantor Petition for Amended DCO Order |
Action Taken |
02/11/2013 |
|
1 |
LCH.Clearnet Ltd. |
Request for Amended Order |
Request for amended order |
Action Taken |
12/16/2014 |
. |
1 |
Natural Gas Exchange Inc. |
Request for Amended Order |
Petition for Amended DCO Order |
Action Taken |
03/20/2013 |
|
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 |
Request for Amended Order |
Amended Order of DCO Registration |
Action Taken |
02/26/2008 |
|
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 |
North American Derivatives Exchange, Inc. |
Request for Amended Order |
Requests Amended DCM Order to Allow Intermediation |
Action Taken |
03/30/2010 |
|
2 |
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 |
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 |
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 |