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