Commission Orders and Other Actions

Search Commission Orders and Other Actions using the following criteria
Reset
Initiator Action Type Description Status Date Remarks Documents
NYMEX Clearing House 4d Action NYMEX Request to Amend DME 4d Order Action Taken 04/30/2008 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Inc.; Symetra Life Insurance Company; Voya Financial, Inc. 4(c) Action Insurance Cos-4(c) Exemptive Relief Req 6-20-19 Withdrawn 08/24/2022 1
American Petroleum Institute 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions Pending 03/13/2012 1
ICE Clear Credit 4d Action 4d(f) commingle customer funds portfolio margining Action Taken 01/14/2013 . 1
Options Clearing Corporation Request for Amended Order Amended Order of DCO Registration Action Taken 02/26/2008 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
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
Agora-X, LLC Petition for Rulemaking Petition to amend Reg 35 to clear OTC ag swaps Withdrawn 07/02/2010 1
CFTC 4(c) Action SPDR Gold Trust Security Futures 4(c) Action Taken 05/30/2008 1
Commercial Energy Working Group 4a(a)(7) Petition Exemptive Relief - Bona Fide Hedging Transactions Pending 09/20/2012 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
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
National Rural Electric Cooperative Association et al. 4(c) Action Petition for relief from requirements of the CEA Action Taken 03/28/2013 2
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
CFTC 4(c) Action Proposed Amended 4(c) Order for RTOs/ISOs Action Taken 10/18/2016 2
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
Options Clearing Corporation No-Action Limited waiver of enforcement of OCC Bylaws Rules Action Taken 06/04/2012 2
Clearing Corporation 4d Action Implementation of Global Clearing Link Phase I Action Taken 10/21/2004 2
CFTC 4(c) Action 4(c) exemption for Federal Reserve Banks Action Taken 08/08/2016 2
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
North American Derivatives Exchange, Inc. Request for Amended Order Requests Amended DCM Order to Allow Intermediation Action Taken 03/30/2010 2
CME Clearing House 4(c) Action Request for 4(c) order re clearing OTC ag swaps Action Taken 03/18/2009 3
National Futures Association Petition for Rulemaking Elec. filing of CPO and CTA disclosure documents Action Taken 03/05/2009 3
Chicago Mercantile Exchange, Inc. 4d Action Request to Amend CME/DME 4d Order Action Taken 10/31/2017 3
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
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
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
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
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
CFTC 4(c) Action iShares Comex Gold and ishares Silver Shares 4(c) Action Taken 12/05/2008 4
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
National Futures Association Petition for Rulemaking NFA Petition for Rulemaking re: Regulation 4.5 Action Taken 02/09/2012 6
Options Clearing Corporation 4(c) Action 4(c) Request re: CBOE Gold ETF Volatility Index Action Taken 12/23/2010 6
LedgerX LLC dba FTX US Derivatives Request for Amended Order Request for Amended Order of Registration as a DCO Withdrawn 11/11/2022 6
ICE Clear Europe Limited 409(b)(3) Order Request for determination under FDICIA 409(b)(3) Action Taken 07/31/2008 6
Working Group of Commercial Energy Firms 4a(a)(7) Petition exemptive relief - position limit aggregation Pending 01/19/2012 7
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
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
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
Southwest Power Pool, Inc. 4(c) Action Application for 4(c) Exemption Action Taken 10/18/2016 22