| 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 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
4d Order re: OTC Wheat Calendar Swaps |
Action Taken |
12/09/2013 |
|
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 |
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 |
| 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 |
| 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 |
| North American Derivatives Exchange, Inc. |
Request for Amended Order |
Amended DCO Order to Clear Intermediated Trades |
Action Taken |
03/30/2010 |
|
1 |
| Chicago Mercantile Exchange, Inc. |
4d Action |
Amended NYMEX DME Order |
Action Taken |
08/06/2012 |
|
1 |
| Options Clearing Corporation |
Request for Amended Order |
Amended Order of DCO Registration |
Action Taken |
02/26/2008 |
|
1 |
| Southwest Power Pool, Inc. |
4(c) Action |
Application for 4(c) Exemption |
Action Taken |
10/18/2016 |
|
22 |
| Cantor Clearinghouse, L.P. |
Request for Amended Order |
Cantor Petition for Amended DCO Order |
Action Taken |
02/11/2013 |
|
1 |
| Intercontinental Exchange, Inc., et al |
Exemption |
CFTC Registered Floor Brokers/Traders Deemed ECEs |
Action Taken |
01/16/2003 |
|
0 |
| CME Clearing House |
4d Action |
Clearing by CME of OTC Contracts |
Action Taken |
03/03/2006 |
|
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Hard 8 Futures |
4(c) Action |
Hard 8 4(c) petition |
Pending |
06/17/2010 |
|
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 Credit, ICE Clear Europe, ICE Clear US |
4(c) Action |
ICE DCOs Application for 4(c) Exemptive Order |
Action Taken |
07/19/2018 |
|
2 |
| 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 |
| Clearing Corporation |
4d Action |
Implementation of Global Clearing Link Phase I |
Action Taken |
10/21/2004 |
|
2 |
| 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 |
| Options Clearing Corporation |
4d Action |
Internal Cross Margining |
Action Taken |
11/05/2004 |
|
1 |
| Intercontinental Exchange, Inc. |
Exemption |
IPE Brokers/Traders Deemed ECEs |
Action Taken |
11/15/2004 |
|
0 |
| CFTC |
4(c) Action |
iShares Comex Gold and ishares Silver Shares 4(c) |
Action Taken |
12/05/2008 |
|
4 |
| 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 |
| Options Clearing Corporation |
No-Action |
Limited waiver of enforcement of OCC Bylaws Rules |
Action Taken |
06/04/2012 |
|
2 |
| Commodity Markets Council |
4a(a)(7) Petition |
Modify reporting requirements under Reg. 151.5(c) |
Pending |
09/11/2012 |
|
1 |
| National Futures Association |
Petition for Rulemaking |
NFA Petition for Rulemaking re: Regulation 4.5 |
Action Taken |
02/09/2012 |
|
6 |
| CFTC |
No-Action |
No Action Relief for Swap Reporting Requirements |
Action Taken |
10/26/2012 |
|
1 |
| CFTC |
No-Action |
No Action Relief From Swap Reporting Requirements |
Action Taken |
10/15/2012 |
|
1 |
| CFTC |
No-Action |
No-Action Relief from Swaps Reporting Requiremt |
Action Taken |
11/13/2012 |
|
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 |
| NYMEX Clearing House |
4d Action |
NYMEX Request to Amend DME 4d Order |
Action Taken |
04/30/2008 |
|
1 |
| NYMEX Clearing House |
1a(12)(C) Determination |
Order amended to transfer clearing services to CME |
Action Taken |
08/06/2012 |
|
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 |
| 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 |
| 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 |
| Natural Gas Exchange Inc. |
Request for Amended Order |
Petition for Amended DCO Order |
Action Taken |
03/20/2013 |
|
1 |
