| 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Withdrawn |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 |
| Options Clearing Corporation |
Request for Amended Order |
Amended Order of DCO Registration |
Action Taken |
02/26/2008 |
|
1 |
| Cargill, Inc. |
No-Action |
Relief from Certain ATOM Requirements |
Action Taken |
01/11/2006 |
|
0 |
| 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 |
| CAISO |
4(c) Action |
Request for Supplemental 4(c) Order |
Withdrawn |
03/20/2014 |
|
2 |
| CFTC |
No-Action |
Strike Price Filing Relief (Chi. Climate Fut. Ex.) |
Action Taken |
01/09/2006 |
|
0 |
| ISO-NE |
4(c) Action |
Request for Supplemental 4(c) Order |
Withdrawn |
03/21/2014 |
|
2 |
| 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 |
| 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 |
| 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Withdrawn |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 |
| LedgerX LLC dba FTX US Derivatives |
Request for Amended Order |
Request for Amended Order of Registration as a DCO |
Withdrawn |
11/11/2022 |
|
6 |
| CFTC |
4(c) Action |
iShares Comex Gold and ishares Silver Shares 4(c) |
Action Taken |
12/05/2008 |
|
4 |
| ICE Clear Europe Limited |
409(b)(3) Order |
Request for determination under FDICIA 409(b)(3) |
Action Taken |
07/31/2008 |
|
6 |
| North American Derivatives Exchange, Inc. |
Request for Amended Order |
Requests Amended DCM Order to Allow Intermediation |
Action Taken |
03/30/2010 |
|
2 |
| ICE Clear Credit |
4d Action |
4d(f) commingle customer funds portfolio margining |
Action Taken |
01/14/2013 |
. |
1 |
| LCH.Clearnet Ltd. |
Request for Amended Order |
Request for amended order |
Action Taken |
12/16/2014 |
. |
1 |
| ICE Clear US, Inc. |
4(c) Action |
Req for Amended 4(c) Order re Long-Dated Ag Swaps |
Withdrawn |
07/08/2014 |
. |
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 |
| 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 |
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 |
| 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 |
| 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) 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 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
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 |
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 |
| 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 |
| 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 |
| 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 |
