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

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Initiator	Action Type	Description	Status	Date	Remarks	Documents
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
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
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
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
North American Derivatives Exchange, Inc.	Request for Amended Order	Amended DCO Order to Clear Intermediated Trades	Action Taken	03/30/2010		1
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
New York Mercantile Exchange	1a(12)(C) Determination	Request order for floor members to be ECPs	Action Taken	10/03/2006		2
Chicago Mercantile Exchange	1a(12)(C) Determination	Request to permit floor members to be ECPs	Action Taken	03/14/2006		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
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
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
National Futures Association	Petition for Rulemaking	NFA Petition for Rulemaking re: Regulation 4.5	Action Taken	02/09/2012		6
Chicago Mercantile Exchange, Inc.	4d Action	4d Order re: OTC Wheat Calendar Swaps	Action Taken	12/09/2013		1
Cantor Clearinghouse, L.P.	Request for Amended Order	Cantor Petition for Amended DCO Order	Action Taken	02/11/2013		1
Chicago Board of Trade	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	09/26/2008		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
ICE Clear US, Inc.	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	12/12/2008		1
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 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	4d Action	Requests to Amend NYMEX/DME 4d Order	Action Taken	09/16/2011		1
Clearing Corporation	4d Action	Req inclusion of new Eurex products in 4d account	Action Taken	10/25/2007		1
CFTC	No-Action	No-Action Relief from Swaps Reporting Requiremt	Action Taken	11/13/2012		1
LCH.Clearnet Ltd.	Request for Amended Order	Request for amended order	Action Taken	12/16/2014	.	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
CME Clearing House	4d Action	Clearing by CME of OTC Contracts	Action Taken	03/03/2006		1
Options Clearing Corporation	No-Action	Limited waiver of enforcement of OCC Bylaws Rules	Action Taken	06/04/2012		2
CME Clearing House	4d Action	Treatment of Customer Funds re: MEFF Products	Action Taken	06/20/2001		1
NYMEX Clearing House	4d Action	Clearing of OTC Contracts	Action Taken	05/30/2002		1
Natural Gas Exchange Inc.	Request for Amended Order	Petition for Amended DCO Order	Action Taken	03/20/2013		1
NYMEX Clearing House	4d Action	Clearing of OTC Contracts-Amended Order	Action Taken	02/10/2004		1
NYMEX Clearing House	4d Action	Treatment of Funds for NYMEX Europe Transactions	Action Taken	09/06/2005		1
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
Chicago Mercantile Exchange, Inc.	4d Action	Amended NYMEX DME Order	Action Taken	08/06/2012		1
National Futures Association	Petition for Rulemaking	Elec. filing of CPO and CTA disclosure documents	Action Taken	03/05/2009		3
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	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
Clearing Corporation	4d Action	Implementation of Global Clearing Link Phase I	Action Taken	10/21/2004		2
CFTC	Interpretation	Part 190- Bankruptcy-Account Class	Action Taken	10/21/2004		1
Options Clearing Corporation	4d Action	Internal Cross Margining	Action Taken	11/05/2004		1
CFTC	No-Action	No Action Relief From Swap Reporting Requirements	Action Taken	10/15/2012		1
Intercontinental Exchange, Inc., et al	Exemption	CFTC Registered Floor Brokers/Traders Deemed ECEs	Action Taken	01/16/2003		0
CFTC	No-Action	No Action Relief for Swap Reporting Requirements	Action Taken	10/26/2012		1
Intercontinental Exchange, Inc.	Exemption	IPE Brokers/Traders Deemed ECEs	Action Taken	11/15/2004		0
CFTC	4(c) Action	4(c) exemption for Federal Reserve Banks	Action Taken	08/08/2016		2
ICE Clear US, Inc.	4d Action	Request for Cross-Margining with OCC	Action Taken	02/29/2008		1
Options Clearing Corporation	4(c) Action	4(c) Request re: CBOE Gold ETF Volatility Index	Action Taken	12/23/2010		6