Commission Orders and Other Actions

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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
North American Derivatives Exchange, Inc.	Request for Amended Order	Requests Amended DCM Order to Allow Intermediation	Action Taken	03/30/2010		2
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
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
National Futures Association	Petition for Rulemaking	Elec. filing of CPO and CTA disclosure documents	Action Taken	03/05/2009		3
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
CFTC	4(c) Action	iShares Comex Gold and ishares Silver Shares 4(c)	Action Taken	12/05/2008		4
Chicago Board of Trade	4d Action	Request for 4d Order for Cleared OTC Contracts	Action Taken	09/26/2008		1
CFTC	Interpretation	Part 190-Bankruptcy-Cleared-Only Contracts	Action Taken	09/26/2008		1
ICE Clear Europe Limited	409(b)(3) Order	Request for determination under FDICIA 409(b)(3)	Action Taken	07/31/2008		6
CFTC	4(c) Action	SPDR Gold Trust Security Futures 4(c)	Action Taken	05/30/2008		1
NYMEX Clearing House	4d Action	NYMEX Request to Amend DME 4d Order	Action Taken	04/30/2008		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
ICE Clear US, Inc.	4d Action	Request for Cross-Margining with OCC	Action Taken	02/29/2008		1
Options Clearing Corporation	Request for Amended Order	Amended Order of DCO Registration	Action Taken	02/26/2008		1
Clearing Corporation	4d Action	Req inclusion of new Eurex products in 4d account	Action Taken	10/25/2007		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
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 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
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	4d Action	Clearing by CME of OTC Contracts	Action Taken	03/03/2006		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
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
NYMEX Clearing House	4d Action	Treatment of Funds for NYMEX Europe Transactions	Action Taken	09/06/2005		1
Intercontinental Exchange, Inc.	Exemption	IPE Brokers/Traders Deemed ECEs	Action Taken	11/15/2004		0
Options Clearing Corporation	4d Action	Internal Cross Margining	Action Taken	11/05/2004		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
NYMEX Clearing House	4d Action	Clearing of OTC Contracts-Amended Order	Action Taken	02/10/2004		1
Intercontinental Exchange, Inc., et al	Exemption	CFTC Registered Floor Brokers/Traders Deemed ECEs	Action Taken	01/16/2003		0
NYMEX Clearing House	4d Action	Clearing of OTC Contracts	Action Taken	05/30/2002		1
CME Clearing House	4d Action	Treatment of Customer Funds re: MEFF Products	Action Taken	06/20/2001		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
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