Commission Orders and Other Actions

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Initiator Action Type Description Status Date Remarks Documents
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
Chicago Mercantile Exchange, Inc. 4d Action Request to Amend CME/DME 4d Order Action Taken 10/31/2017 3
NYMEX Clearing House 4d Action NYMEX Request to Amend DME 4d Order Action Taken 04/30/2008 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
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
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
ICE Clear Credit 4d Action 4d(f) commingle customer funds portfolio margining Action Taken 01/14/2013 . 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
Options Clearing Corporation Request for Amended Order Amended Order of DCO Registration Action Taken 02/26/2008 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 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
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
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
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
CFTC Interpretation Part 190-Bankruptcy-Cleared-Only Contracts Action Taken 09/26/2008 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
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
CFTC 4(c) Action SPDR Gold Trust Security Futures 4(c) Action Taken 05/30/2008 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
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
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. 4a(a)(7) Petition Exemptive relief - bona fide hedging transactions. Pending 04/26/2012 1
American Public Power Association et al. Petition for Rulemaking Petition to amend CFTC Rule 1.3(ggg)(4) Pending 07/12/2012 14
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
Hard 8 Futures 4(c) Action Hard 8 4(c) petition Pending 06/17/2010 2
Commodity Markets Council 4a(a)(7) Petition Modify reporting requirements under Reg. 151.5(c) Pending 09/11/2012 1
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
ICE Clear US, Inc. 4(c) Action Req for Amended 4(c) Order re Long-Dated Ag Swaps Withdrawn 07/08/2014 . 2
OneChicago LLC Futures Exchange Petition for Rulemaking Request to lower margin from 20% to 15% for SFPs Withdrawn 09/18/2020 1
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
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
Agora-X, LLC Petition for Rulemaking Petition to amend Reg 35 to clear OTC ag swaps Withdrawn 07/02/2010 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