Commission Orders and Other Actions

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Initiator Action Type Description Status Date Remarks Documents
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
Hard 8 Futures 4(c) Action Hard 8 4(c) petition Pending 06/17/2010 2
Agora-X, LLC Petition for Rulemaking Petition to amend Reg 35 to clear OTC ag swaps Withdrawn 07/02/2010 1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
Options Clearing Corporation 4(c) Action 4(c) Request re: CBOE Gold ETF Volatility Index Action Taken 12/23/2010 6
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
CME Clearing House 4d Action Requests to Amend NYMEX/DME 4d Order Action Taken 09/16/2011 1
Working Group of Commercial Energy Firms 4a(a)(7) Petition exemptive relief - position limit aggregation Pending 01/19/2012 7
Working Group of Commercial Energy Firms 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions. Pending 01/20/2012 15
National Futures Association Petition for Rulemaking NFA Petition for Rulemaking re: Regulation 4.5 Action Taken 02/09/2012 6
American Petroleum Institute 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions Pending 03/13/2012 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
Chicago Mercantile Exchange, Inc. 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions. Pending 04/26/2012 1
Options Clearing Corporation No-Action Limited waiver of enforcement of OCC Bylaws Rules Action Taken 06/04/2012 2
American Public Power Association et al. Petition for Rulemaking Petition to amend CFTC Rule 1.3(ggg)(4) Pending 07/12/2012 14
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
Chicago Mercantile Exchange, Inc. 4d Action Amended NYMEX DME Order Action Taken 08/06/2012 1
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 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
Commodity Markets Council 4a(a)(7) Petition Modify reporting requirements under Reg. 151.5(c) Pending 09/11/2012 1
Commercial Energy Working Group 4a(a)(7) Petition Exemptive Relief - Bona Fide Hedging Transactions Pending 09/20/2012 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
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
CFTC No-Action No-Action Relief from Swaps Reporting Requiremt Action Taken 11/13/2012 1
ICE Clear Credit 4d Action 4d(f) commingle customer funds portfolio margining Action Taken 01/14/2013 . 1
Cantor Clearinghouse, L.P. Request for Amended Order Cantor Petition for Amended DCO Order Action Taken 02/11/2013 1
Natural Gas Exchange Inc. Request for Amended Order Petition for Amended DCO Order Action Taken 03/20/2013 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
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
Chicago Mercantile Exchange, Inc. 4d Action 4d Order re: OTC Wheat Calendar Swaps Action Taken 12/09/2013 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
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 US, Inc. 4(c) Action Req for Amended 4(c) Order re Long-Dated Ag Swaps Withdrawn 07/08/2014 . 2
LCH.Clearnet Ltd. Request for Amended Order Request for amended order Action Taken 12/16/2014 . 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
CFTC 4(c) Action 4(c) exemption for Federal Reserve Banks Action Taken 08/08/2016 2
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
LCH.Clearnet Ltd. 4d Action LCH Ltd petition for 4d order Action Taken 01/13/2017 2
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 Mercantile Exchange, Inc. 4d Action Request to Amend CME/DME 4d Order Action Taken 10/31/2017 3
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
OneChicago LLC Futures Exchange Petition for Rulemaking Request to lower margin from 20% to 15% for SFPs Withdrawn 09/18/2020 1
LCH SA 4d Action LCH SA 4d(f) Order Action Taken 11/01/2021 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
LedgerX LLC dba FTX US Derivatives Request for Amended Order Request for Amended Order of Registration as a DCO Withdrawn 11/11/2022 6