Commission Orders and Other Actions

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Initiator

ALLAgora-X, LLCAmerican Petroleum InstituteAmerican Public Power Association et al.CAISOCantor Clearinghouse, L.P.Cargill, Inc.CFTCChicago Board of TradeChicago Board of Trade (CBOT), et alChicago Mercantile ExchangeChicago Mercantile Exchange, Inc.Clearing CorporationCME Clearing HouseCommercial Energy Working GroupCommodity Markets CouncilELX Futures, L.P.Hard 8 FuturesICE Clear CreditICE Clear Credit, ICE Clear Europe, ICE Clear USICE Clear Europe LimitedICE Clear US, Inc.ICE Futures U.S., Inc.Intercontinental Exchange, Inc.Intercontinental Exchange, Inc., et alISO-NEKansas City Board of Trade Clearing CorporationLCH SALCH.Clearnet Ltd.LedgerX LLC dba FTX US DerivativesNational Futures AssociationNational Rural Electric Cooperative Association et al.Natural Gas Exchange Inc.New York Mercantile ExchangeNew York Portfolio Clearing, LLCNodal Clear, LLCNorth American Derivatives Exchange, Inc.NQLX LLC Futures ExchangeNYMEX Clearing HouseOneChicago LLC Futures ExchangeOptions Clearing CorporationPacific Futures ExchangePrudential Financial, Inc.; Symetra Life Insurance Company; Voya Financial, Inc.RTOs/ISOsSouthwest Power Pool, Inc.Working Group of Commercial Energy Firms

Action Type

ALL1a(12)(C) Determination4(c) Action409(b)(3) Order4a(a)(7) Petition4d ActionExemptionInterpretationNo-ActionPetition for RulemakingRequest CFTC use CEA section 8a(7)Request for Amended OrderRequest to VacateSignificant Price Discovery Contract Order

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Initiator	Action Type	Description	Status	Date	Remarks	Documents
National Rural Electric Cooperative Association et al.	4(c) Action	Petition for relief from requirements of the CEA	Action Taken	03/28/2013		2
American Public Power Association et al.	Petition for Rulemaking	Petition to amend CFTC Rule 1.3(ggg)(4)	Pending	07/12/2012		14
Agora-X, LLC	Petition for Rulemaking	Petition to amend Reg 35 to clear OTC ag swaps	Withdrawn	07/02/2010		1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	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
CFTC	4(c) Action	Proposed Amended 4(c) Order for RTOs/ISOs	Action Taken	10/18/2016		2
CFTC	4(c) Action	Proposed Part 35 Regulations	Action Taken	01/22/1993		0
Cargill, Inc.	No-Action	Relief from Certain ATOM Requirements	Action Taken	01/11/2006		0
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 Clear US, Inc.	4(c) Action	Req for Amended 4(c) Order re Long-Dated Ag Swaps	Withdrawn	07/08/2014	.	2
Clearing Corporation	4d Action	Req inclusion of new Eurex products in 4d account	Action Taken	10/25/2007		1
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
CME Clearing House	4(c) Action	Request for 4(c) order re clearing OTC ag swaps	Action Taken	03/18/2009		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
Chicago Board of Trade	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	09/26/2008		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	Request for 4d order re cleared OTC Ag swaps	Action Taken	03/18/2009		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
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
LCH.Clearnet Ltd.	Request for Amended Order	Request for amended order	Action Taken	12/16/2014	.	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
ICE Clear US, Inc.	4d Action	Request for Cross-Margining with OCC	Action Taken	02/29/2008		1
ICE Clear Europe Limited	409(b)(3) Order	Request for determination under FDICIA 409(b)(3)	Action Taken	07/31/2008		6
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
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
New York Mercantile Exchange	1a(12)(C) Determination	Request order for floor members to be ECPs	Action Taken	10/03/2006		2
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
Chicago Mercantile Exchange, Inc.	4d Action	Request to Amend CME/DME 4d Order	Action Taken	10/31/2017		3
OneChicago LLC Futures Exchange	Petition for Rulemaking	Request to lower margin from 20% to 15% for SFPs	Withdrawn	09/18/2020		1
Chicago Mercantile Exchange	1a(12)(C) Determination	Request to permit floor members to be ECPs	Action Taken	03/14/2006		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
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	4d Action	Requests to Amend NYMEX/DME 4d Order	Action Taken	09/16/2011		1
CFTC	4(c) Action	SPDR Gold Trust Security Futures 4(c)	Action Taken	05/30/2008		1
CFTC	No-Action	Strike Price Filing Relief (CBOE Futures Exchange)	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 (Chi. Climate Fut. Ex.)	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 (Hedge Street)	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 (NYBOT)	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
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
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
CME Clearing House	4d Action	Treatment of Customer Funds re: MEFF Products	Action Taken	06/20/2001		1
NYMEX Clearing House	4d Action	Treatment of Funds for NYMEX Europe Transactions	Action Taken	09/06/2005		1