Rule Filings

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK 4.1.1 Market Hours – December 19, 2019:

• Self-Certification Letter 19-055

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK SECTION 3.5 – Requirements for Participants engaging in the physical delivery of California Low Carbon Fuel Standard (“LCFS”) futures contracts – December 19, 2019:

• Self Certification Letter 19-054
• Redline of Nodal Exchange Rulebook 3.5 and references to Section 3

CFTC REGULATION 40.2(A) CERTIFICATION OF 8 ERCOT WAKEWE Futures Contracts – December 16, 2019:

• Contract Self Certification Letters - ERCOT WAKEWE
• FOIA Confidential Treatment Request Letter 12.16.2019
• Exhibit A: December 23, 2019 Addition to Nodal Exchange Appendix A - Contract Specifications 19-053
• Exhibit C: December 23, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits 19-053

CFTC REGULATION 40.2(A) CERTIFICATION OF PJM Tri-Qualified Renewable Energy Certificates Class 1 Vintage 2026 Future & Option – December 11, 2019:

• Contract Self Cert Ltr 19-052.01
• Contract Self Cert Ltr 19-052.02
• Exhibit A: December 20, 2019 Addition to Nodal Exchange Appendix A - Contract Specifications 19-052
• Exhibit C: December 20, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits 19-052
• FOIA Confidential Treatment Request 19-052

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE POWER INCENTIVE PROGRAM 4 – December 5, 2019:

• Self Certification Letter 19-051
• REDACTED - Power Incentive Program 4
• Confidential Treatment Request 19-051

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE POWER INCENTIVE PROGRAM 3 – December 5, 2019:

• Self Certification Letter 19-050
• REDACTED - Power Incentive Program 3
• Confidential Treatment Request 19-050

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE POWER INCENTIVE PROGRAM 2 – December 5, 2019:

• Confidential Treatment Request 19-049
• Nodal Exchange Power Incentive Program II – Redacted
• Self Certification Letter 19-049

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE BROKER INCENTIVE FOR ELECTRIC POWER FUTURES AND OPTIONS – December 5, 2019:

• Confidential Treatment Request 19-048
• REDACTED – Electric Power Futures & Options – Broker Incentive Program
• Self Certification Letter 19-048

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE TRUCKING INCENTIVE PROGRAM 1 – December 5, 2019:

• Confidential Treatment Request
• Nodal Exchange Trucking Incentive Program 1 – Redacted
• Self Certification Letter 19-047

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL BROKER INCENTIVE PROGRAM – December 5, 2019::

• Confidential Treatment Request
• Nodal Exchange Environmental Broker Incentive Program – Redacted
• Self Certification Letter 19-046

CFTC Regulation 40.6(a) Certification: Temporary Rule Changes to facilitate the Implementation of the Nodal Exchange / Nasdaq Futures, Inc. (“NFX”) Asset Purchase Agreement – December 4, 2019:

• Self Certification Letter 19-045 - Redacted
• Confidential Treatment Request 19-045

CFTC REGULATION 40.6(A) CERTIFICATION Submission of Amendments to the Nodal Exchange delivery schedule and last trading day for Nodal Contracts, based on environmental products, with December 2019 expiries – November 25, 2019:

• Self Certification Letter 19-044

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK SECTION 6.5 POSITION LIMITS – November 22, 2019:

• Nodal Exchange Rulebook Section 6.5
• Self-Certification Letter 19-043

CFTC REGULATION 40.2(A) CERTIFICATION OF 6 ENVIRONMENTAL FUTURES CONTRACTS – November 21, 2019:

• Self-Certification Letters - November 21, 2019
• Exhibit A - December 3, 2019 Additions to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C - December 3, 2019 Additions to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limit
• Confidential Treatment Request November 21, 2019

CFTC REGULATION 40.2(A) CERTIFICATION OF 87 ENVIRONMENTAL FUTURES AND OPTIONS CONTRACTS – November 18, 2019:

• Self-Certification Letters - November 18, 2019
• Confidential Treatment Request November 18, 2019
• Exhibit A - December 3, 2019 Additions to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C - December 3, 2019 Additions to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE FEE WAIVER INCENTIVE PROGRAM – November 13, 2019:

• Confidential Treatment Request 19-041
• Exhibit 1 - Nodal Exchange Fee Waiver Incentive Program - REDACTED
• Self-Certification Letter 19-041

CFTC REGULATION 40.6(A) CERTIFICATION Amendments to the Exchange and Clearing Transaction Fee Schedule for Nodal Exchange Environmental Futures: November 8, 2019:

• Redline Exchange and Clearing Transaction Fee Schedule for Nodal Exchange Environmental Futures
• Self-Certification Letter 19-040

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK APPENDIX B – November 8, 2019:

• Nodal Exchange Rulebook Appendix B - Minimum Block Sizes
• Self Certification Letter 19-039

CFTC REGULATION 40.6(A) CERTIFICATION Submission of Amendments to the Nodal Exchange delivery schedule and last trading day for Nodal Contracts, based on environmental products, with November 2019 expiries – November 8, 2019:

• Self-Certification Letter 19-038

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING TWO (2) NODAL EXCHANGE ENERGY FUTURES CONTRACTS IN ISONE AND ONE (1) NODAL EXCHANGE FUTURES CONTRACT IN HENRY HUB – SEPTEMBER 16, 2019:

• Self Certification Letter 19-037
• Nodal Exchange Rulebook Appendix A Delisted Contracts - 19-037
• Redline of Nodal Exchange Rulebook Appendix C (relevant sections) 19-037

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE POWER INCENTIVE PROGRAM 5 – SEPTEMBER 16, 2019:

• Self Certification Letter 19-036
• Exhibit 1 - Nodal Exchange Power Incentive Program 5 - REDACTED
• Request for Confidential Treatment

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK APPENDIX A – CONTRACT SPECIFICATIONS – August 29, 2019:

• Self-Certification Letter 19-035
• Redline of Nodal Exchange Rulebook Appendix A - Contract Specifications

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK – August 29, 2019:

• Self Certification Letter 19-034
• Redline of Nodal Exchange Rulebook Section 1 - Definitions
• Redline of Nodal Exchange Rulebook 6.5.2
• Redline of Nodal Exchange Rulebook Appendix C

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING ONE NODAL EXCHANGE NATURAL GAS OPTION CONTRACT – AUGUST 15, 2019:

• Self Certification Letter 19-033
• Nodal Exchange Rulebook Appendix A - Delisted Contract

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK – August 15, 2019:

• Self Certification Letter 19-032
• Redline of Nodal Exchange Participant Agreement Section 8.1
• Redline of Nodal Exchange Rulebook Section 1.39
• Redline of Nodal Exchange Rulebook Section 3.4.1
• Redline of Nodal Exchange Rulebook Section 4.6.2

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE NATURAL GAS FUTURES MARKET MAKER INCENTIVE PROGRAM 1 – AUGUST 15, 2019:

• Self Certification Letter 19-031
• Exhibit 1 - Nodal Exchange Natural Gas Futures Market Maker Incentive Program 1 - REDACTED
• Request for Confidential Treatment

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK APPENDIX B – August 14, 2019:

• Self Certification Letter 19-030
• Redline of Nodal Exchange Rulebook Appendix B

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE NATURAL GAS INCENTIVE PROGRAM 2 – JULY 29, 2019:

• Self Certification Letter 19-029
• Exhibit 1: Nodal Exchange Natural Gas Incentive Program 2 – Redacted
• Request for Confidential Treatment

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE NATURAL GAS INCENTIVE PROGRAM 1 – JULY 29, 2019:

• Self Certification Letter 19-028
• Exhibit 1: Nodal Exchange Natural Gas Incentive Program 1 – Redacted
• Request for Confidential Treatment

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE NATURAL GAS BROKER INCENTIVE PROGRAM – JULY 29, 2019:

• Self Certification Letter 19-027
• Exhibit 1: Nodal Exchange Natural Gas Broker Incentive Program – Redacted
• Request for Confidential Treatment

CFTC Regulation 40.6 Certification: Re-certification of Dormant energy Futures Contracts – July 26, 2019:

• Self Re-certification letter 19-026
• Exhibit A ‐ Dormant Contracts which will remain listed on Nodal Exchange

CFTC REGULATION 40.2(A) CERTIFICATION OF 7 new Natural Gas Contracts – July 17, 2019:

• Self Certification of Henry Hub Monthly Natural Gas Contract 2,500
• Self Certification of Henry Hub Penultimate Monthly Natural Gas Contract 2,500
• Self Certification of Henry Hub Penultimate Monthly Natural Gas Option 2,500
• Self Certification of Henry Hub Monthly Natural Gas Contract 10,000
• Self Certification of Henry Hub Penultimate Monthly Natural Gas Contract 10,000
• Self Certification of Henry Hub Penultimate Monthly Natural Gas Option 10,000
• Self Certification of Henry Hub Calendar Year Natural Gas Option 2,500
• Exhibit A - September 13, 2019 Additions to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C - September 13, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 07.17.2019

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK APPENDIX C – July 3, 2019:

• Self Certification Letter 19-024
• Nodal Exchange Rulebook Appendix C (redline)

CFTC REGULATION 40.6(A) CERTIFICATION OF THE NODAL EXCHANGE POWER & GAS INCENTIVE PROGRAM 1 – June 24, 2019:

• Self Certification Letter 19-023
• Exhibit 1 - REDACTED - Power & Gas Incentive Program 1
• Request for Confidential Treatment 19-023

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 6 – June 10, 2019:

• Self Cert Letter 19-022
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 6
• FOIA Confidential Treatment Request 19-022

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 5 – June 10, 2019:

• Self Cert Letter 19-021
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 5
• FOIA Confidential Treatment Request 19-021

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 4 – June 10, 2019:

• Self Cert Letter 19-020
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 4
• FOIA Confidential Treatment Request 19-020

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 3 – June 10, 2019:

• Self Cert Letter 19-019
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 3
• FOIA Confidential Treatment Request 19-019

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 2:

• Self Cert Letter 19-018
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 2
• FOIA Confidential Treatment Request 19-018

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL INCENTIVE PROGRAM 1 – June 10, 2019:

• Self Cert Letter 19-017
• Exhibit 1 - REDACTED - Nodal Environmental Incentive 1
• FOIA Confidential Treatment Request 19-017

CFTC REGULATION 40.6(A) CERTIFICATION OF THE CONTINUATION OF THE NODAL EXCHANGE ENVIRONMENTAL BROKER INCENTIVE PROGRAM – June 10, 2019:

• Self Cert Letter 19-016
• Exhibit 1 - REDACTED - Environmental Broker Incentive Program
• FOIA Confidential Treatment Request 19-016

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING TWO (2) NODAL EXCHANGE ENERGY FUTURES CONTRACTS IN PJM – June 10, 2019:

• Nodal Exchange Rulebook Appendix A Delisted Contracts
• Nodal Exchange Rulebook Appendix C (redline)
• Self-Certification Letter June 10, 2019

CFTC REGULATION 40.2(A) CERTIFICATION OF 101 ENVIRONMENTAL FUTURES AND OPTIONS CONTRACTS – May 23, 2019:

• Self-Certification Letters - May 23, 2019
• Exhibit A - May 31, 2019 Addition to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C - May 31, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits
• Confidential Treatment Request

CFTC REGULATION 40.2(A) CERTIFICATION OF 8 ERCOT POWER FUTURES CONTRACTS – May 15, 2019:

• Contract Self Cert Ltr 19.013.01
• Contract Self Cert Ltr 19.013.02
• Contract Self Cert Ltr 19.013.03
• Contract Self Cert Ltr 19.013.04
• Contract Self Cert Ltr 19.013.05
• Contract Self Cert Ltr 19.013.06
• Contract Self Cert Ltr 19.013.07
• Contract Self Cert Ltr 19.013.08
• Exhibit A - May 17, 2019 Addition to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C - May 17, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 5.15.2019

CFTC REGULATION 40.6(A) CERTIFICATION Amendments to the Exchange and Clearing Transaction Fee Schedule for Nodal Exchange Environmental Futures: May 7, 2019:

• Environmental Futures Fee Schedule for May 21 2019 (redline)
• Self-Certification Letter 19-012

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING FOUR (4) NODAL EXCHANGE ENERGY FUTURES CONTRACTS IN PJM – April 15, 2019:

• Nodal Exchange Rulebook Appendix A Delisted Contracts
• Redline of Nodal Exchange Rulebook Appendix C
• Self-Certification Letter April 15, 2019

CFTC REGULATION 40.6(A) CERTIFICATION OF NODAL EXCHANGE TRUCKING INCENTIVE PROGRAM 1 – April 12, 2019:

• Self Certification Letter 19-010
• Nodal Exchange Trucking Incentive Program 1 - REDACTED

CFTC REGULATION 40.2(A) CERTIFICATION OF 11 TRUCKING FREIGHT FUTURES CONTRACTS – March 22, 2019:

• Contract Self Cert Ltr 19-008.01
• Contract Self Cert Ltr 19-008.02
• Contract Self Cert Ltr 19-008.03
• Contract Self Cert Ltr 19-008.04
• Contract Self Cert Ltr 19-008.05
• Contract Self Cert Ltr 19-008.06
• Contract Self Cert Ltr 19-008.07
• Contract Self Cert Ltr 19-008.08
• Contract Self Cert Ltr 19-008.09
• Contract Self Cert Ltr 19-008.10
• Contract Self Cert Ltr 19-008.11
• Exhibit A: March 29, 2019 Addition to Nodal Exchange Appendix A - Contract Specifications
• Exhibit C: March 29, 2019 Addition to Nodal Exchange Appendix C - Reporting Levels, Accountability Levels and Position Limits
• Request for Confidential Treatment FOIA - March 22, 2019

CFTC REGULATION 40.6(A) CERTIFICATION SUBMISSION OF AMENDMENTS TO THE NODAL EXCHANGE RULEBOOK – March 15, 2019:

• Self Certification Letter 19-007
• Redline of Nodal Exchange Rulebook Section 1
• Redline of Nodal Exchange Rulebook Section 4
• Redline of Nodal Exchange Rulebook Appendix C

CFTC REGULATION 40.6(A) RULE CERTIFICATION EXCHANGE AND CLEARING TRANSACTION FEE SCHEDULE FOR NODAL CONTRACTS BASED ON TRUCKING FREIGHT FUTURES – March 14, 2019:

• Self-Certification Letter 19-006
• Exchange and Clearing Transaction Fee Schedule for Nodal Contracts based on trucking freight futures

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING FOURTEEN (14) NODAL EXCHANGE CONTRACTS – March 12, 2019:

• Appendix A - Contract Specifications March 5, 2019
• Appendix C - Position Limits March 5, 2019
• Self-Certification Letter March 12, 2019

CFTC REGULATION 40.6(A) CERTIFICATION Amendments to the Fee Schedules for Environmental Futures and Options: February 5, 2019:

• Environmental Futures Fee Schedule (redline)
• Environmental Options Fee Schedule (redline)
• Self-Certification Letter 19-004

CFTC REGULATION 40.2(A) CERTIFICATION of California Carbon Allowance Vintage 2022 Option: February 5, 2019::

• Contract Self Cert Ltr 19-003.04
• Exhibit A - February 7, 2019 Addition to Nodal Exchange Contract Specifications
• Exhibit C - February 7, 2019 Addition to Nodal Exchange Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 2.5.2019

CFTC REGULATION 40.2(A) CERTIFICATION of California Carbon Allowance Vintage 2022 Future: February 5, 2019:

• Contract Self Cert Ltr 19-003.03
• Exhibit A - February 7, 2019 Addition to Nodal Exchange Contract Specifications
• Exhibit C - February 7, 2019 Addition to Nodal Exchange Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 2.5.2019

CFTC REGULATION 40.2(A) CERTIFICATION of California Carbon Allowance Specific Vintage 2022 Option: February 5, 2019:

• Contract Self Cert Ltr 19-003.02
• Exhibit A - February 7, 2019 Addition to Nodal Exchange Contract Specifications
• Exhibit C - February 7, 2019 Addition to Nodal Exchange Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 2.5.2019

CFTC REGULATION 40.2(A) CERTIFICATION OF California Carbon Allowance Specific Vintage 2022 Future: February 5, 2019:

• Contract Self Cert Ltr 19-003.01
• Exhibit A - February 7, 2019 Addition to Nodal Exchange Contract Specifications
• Exhibit C - February 7, 2019 Addition to Nodal Exchange Reporting Levels, Accountability Levels and Position Limits
• FOIA Confidential Treatment Request 2.5.2019

CFTC REGULATION 40.6(A) CERTIFICATION: NOTIFICATION OF DELISTING EIGHT (8) NODAL EXCHANGE ENVIRONMENTAL CONTRACTS – January 7, 2019::

• Appendix A - Contract Specifications January 4, 2019
• Appendix C - Position Limits January 4, 2019
• Self-Certification Letter January 7, 2019