Commission Orders and Other Actions

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Initiator Action Type Description Status Date Remarks Documents
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
Southwest Power Pool, Inc. 4(c) Action Application for 4(c) Exemption Action Taken 10/18/2016 22
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
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Inc.; Symetra Life Insurance Company; Voya Financial, Inc. 4(c) Action Insurance Cos-4(c) Exemptive Relief Req 6-20-19 Withdrawn 08/24/2022 1
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
Options Clearing Corporation No-Action Limited waiver of enforcement of OCC Bylaws Rules Action Taken 06/04/2012 2
Options Clearing Corporation 4d Action Internal Cross Margining Action Taken 11/05/2004 1
Options Clearing Corporation 4(c) Action 4(c) Request re: CBOE Gold ETF Volatility Index Action Taken 12/23/2010 6
Options Clearing Corporation Request for Amended Order Amended Order of DCO Registration Action Taken 02/26/2008 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
OneChicago LLC Futures Exchange Petition for Rulemaking Request to lower margin from 20% to 15% for SFPs Withdrawn 09/18/2020 1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
NYMEX Clearing House 4d Action Clearing of OTC Contracts Action Taken 05/30/2002 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
NYMEX Clearing House 1a(12)(C) Determination Order amended to transfer clearing services to CME Action Taken 08/06/2012 1
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
North American Derivatives Exchange, Inc. Request for Amended Order Amended DCO Order to Clear Intermediated Trades Action Taken 03/30/2010 1
North American Derivatives Exchange, Inc. Request for Amended Order Requests Amended DCM Order to Allow Intermediation Action Taken 03/30/2010 2
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
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
New York Mercantile Exchange 1a(12)(C) Determination Request order for floor members to be ECPs Action Taken 10/03/2006 2
Natural Gas Exchange Inc. Request for Amended Order Petition for Amended DCO Order Action Taken 03/20/2013 1
National Rural Electric Cooperative Association et al. 4(c) Action Petition for relief from requirements of the CEA Action Taken 03/28/2013 2
National Futures Association Petition for Rulemaking NFA Petition for Rulemaking re: Regulation 4.5 Action Taken 02/09/2012 6
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
National Futures Association Petition for Rulemaking Elec. filing of CPO and CTA disclosure documents Action Taken 03/05/2009 3
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
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. 4d Action LCH Ltd petition for 4d order Action Taken 01/13/2017 2
LCH.Clearnet Ltd. Request for Amended Order Request for amended order Action Taken 12/16/2014 . 1
LCH SA 4d Action LCH SA 4d(f) Order Action Taken 11/01/2021 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
ISO-NE 4(c) Action Request for Supplemental 4(c) Order Withdrawn 03/21/2014 2
Intercontinental Exchange, Inc., et al Exemption CFTC Registered Floor Brokers/Traders Deemed ECEs Action Taken 01/16/2003 0
Intercontinental Exchange, Inc. Exemption IPE Brokers/Traders Deemed ECEs Action Taken 11/15/2004 0
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
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 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. 4d Action Request for Cross-Margining with OCC Action Taken 02/29/2008 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 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
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
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) 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 409(b)(3) Order Request for determination under FDICIA 409(b)(3) Action Taken 07/31/2008 6
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