Commission Orders and Other Actions

Search Commission Orders and Other Actions using the following criteria

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

Status

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Initiator	Action Type	Description	Status	Date	Remarks	Documents
Agora-X, LLC	Petition for Rulemaking	Petition to amend Reg 35 to clear OTC ag swaps	Withdrawn	07/02/2010		1
American Petroleum Institute	4a(a)(7) Petition	Exemptive relief - bona fide hedging transactions	Pending	03/13/2012		1
American Public Power Association et al.	Petition for Rulemaking	Petition to amend CFTC Rule 1.3(ggg)(4)	Pending	07/12/2012		14
CAISO	4(c) Action	Request for Supplemental 4(c) Order	Withdrawn	03/20/2014		2
Cantor Clearinghouse, L.P.	Request for Amended Order	Cantor Petition for Amended DCO Order	Action Taken	02/11/2013		1
Cargill, Inc.	No-Action	Relief from Certain ATOM Requirements	Action Taken	01/11/2006		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
CFTC	4(c) Action	Proposed Amended 4(c) Order for RTOs/ISOs	Action Taken	10/18/2016		2
CFTC	No-Action	No-Action Relief from Swaps Reporting Requiremt	Action Taken	11/13/2012		1
CFTC	Interpretation	Part 190- Bankruptcy-Account Class	Action Taken	10/21/2004		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	4(c) Action	4(c) exemption for Federal Reserve Banks	Action Taken	08/08/2016		2
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
CFTC	4(c) Action	Proposed Part 35 Regulations	Action Taken	01/22/1993		0
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	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
CFTC	Interpretation	Part 190-Bankruptcy-Cleared-Only Contracts	Action Taken	09/26/2008		1
CFTC	4(c) Action	SPDR Gold Trust Security Futures 4(c)	Action Taken	05/30/2008		1
CFTC	4(c) Action	iShares Comex Gold and ishares Silver Shares 4(c)	Action Taken	12/05/2008		4
Chicago Board of Trade	4d Action	Request for 4d Order for Cleared OTC 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
Chicago Mercantile Exchange	1a(12)(C) Determination	Request to permit floor members to be ECPs	Action Taken	03/14/2006		2
Chicago Mercantile Exchange, Inc.	4a(a)(7) Petition	Exemptive relief - bona fide hedging transactions.	Pending	04/26/2012		1
Chicago Mercantile Exchange, Inc.	4d Action	4d Order re: OTC Wheat Calendar Swaps	Action Taken	12/09/2013		1
Chicago Mercantile Exchange, Inc.	4d Action	Amended NYMEX DME Order	Action Taken	08/06/2012		1
Chicago Mercantile Exchange, Inc.	4d Action	Request to Amend CME/DME 4d Order	Action Taken	10/31/2017		3
Clearing Corporation	4d Action	Req inclusion of new Eurex products in 4d account	Action Taken	10/25/2007		1
Clearing Corporation	4d Action	Implementation of Global Clearing Link Phase I	Action Taken	10/21/2004		2
CME Clearing House	4(c) Action	Request for 4(c) order re clearing OTC ag swaps	Action Taken	03/18/2009		3
CME Clearing House	4d Action	Request for 4d order re cleared OTC Ag swaps	Action Taken	03/18/2009		1
CME Clearing House	4d Action	Requests to Amend NYMEX/DME 4d Order	Action Taken	09/16/2011		1
CME Clearing House	4d Action	Clearing by CME of OTC Contracts	Action Taken	03/03/2006		1
CME Clearing House	4d Action	Treatment of Customer Funds re: MEFF Products	Action Taken	06/20/2001		1
Commercial Energy Working Group	4a(a)(7) Petition	Exemptive Relief - Bona Fide Hedging Transactions	Pending	09/20/2012		1
Commodity Markets Council	4a(a)(7) Petition	Modify reporting requirements under Reg. 151.5(c)	Pending	09/11/2012		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
Hard 8 Futures	4(c) Action	Hard 8 4(c) petition	Pending	06/17/2010		2
ICE Clear Credit	4d Action	4d(f) commingle customer funds portfolio margining	Action Taken	01/14/2013	.	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