Commission Orders and Other Actions

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