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The document presents the self-certification and rule submission for new NFX Power Financial Futures Contracts, detailing their terms, conditions, and regulatory compliance.
Year:
2017
Region / City:
Washington, DC
Topic:
Financial Futures Contracts
Document Type:
Certification
Organization / Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Futures traders, financial professionals
Period of Validity:
Starting June 28, 2017
Approval Date:
June 15, 2017
Date of Amendments:
June 15, 2017
Price: 8 / 10 USD
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Year:
2015
Note:
Region / City
Topic:
Financial Markets, Futures, Block Trades
Document Type:
Reference Guide
Organization:
Nasdaq Futures, Inc.
Target Audience:
Entities engaging in futures and block trades
Year:
2017
Region / City:
Washington, DC
Subject:
Commodity Futures Trading
Document Type:
Certification
Organization / Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Market participants, futures traders
Period of Validity:
Starting April 26, 2017
Approval Date:
April 10, 2017
Date of Amendments:
April 10, 2017
Document Type:
Exchange rulebook appendix
Appendix:
Appendix A – Listed Contracts
Chapter:
331
Product Name:
NFX NYISO Zone A Day-Ahead Peak Financial Futures
Symbol:
NAYQ
Exchange:
NASDAQ Futures, Inc.
Related Organization:
New York Independent System Operator
Market:
Power Contracts – NYISO Zone A
Contract Type:
Cash-settled financial futures
Unit of Trading:
800 MWh per contract
Price Quotation:
U.S. dollars and cents per MWh
Minimum Price Increment:
$0.01 per MWh ($8.00 per contract)
Trading Termination:
5:00 PM EPT on the last business day of the contract month
Final Settlement:
Cash settlement in U.S. dollars based on NYISO Day-Ahead hourly Peak LBMP averages
Block Trade Minimum:
5 contracts
Reporting Window:
Fifteen minutes
Order Price Limits:
$2.00 above and below the Reference Price
Non-Reviewable Range:
$2.00 above and below the true market price
Disclaimer:
Limitation of liability and warranty disclaimer by NFX and NYISO
Document Number:
SR-NFX-2020-06
Exhibit:
A
Title:
List of Futures and Futures Options Contracts Being De-Listed from NFX
Type of Document:
Regulatory filing exhibit
Subject:
De-listing of energy futures and futures options contracts
Market:
NFX
Asset Classes:
Refined Products; Power Products
Referenced Rulebook:
Rulebook Appendix A
Content:
Contract names, trading symbols, and corresponding chapter numbers
Year:
2017
Region / City:
Washington, DC
Subject:
Financial Futures
Document Type:
Rule Certification
Organization / Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Financial Market Participants
Effective Date:
April 26, 2017
Amendment Date:
N/A
Year:
2017
Region / City:
Washington, DC
Theme:
Commodity Futures Trading
Document Type:
Rule Certification
Organization / Institution:
Commodity Futures Trading Commission (CFTC)
Author:
Christopher J. Kirkpatrick
Target Audience:
Commodity Futures Traders, Market Participants
Effective Date:
April 26, 2017
Amendment Date:
April 10, 2017
Year:
2017
Region / City:
Washington, DC
Topic:
Commodity Futures Trading
Document Type:
Certification
Organization:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Market Participants, Regulatory Authorities
Effective Period:
From April 26, 2017
Approval Date:
April 10, 2017
Amendment Date:
None
Confidentiality Request:
Yes (Exhibit C)
Contract Listing:
NFX PJM Zonal Financial Futures
Contract Symbols:
PZVQ, PAVQ, PAAQ, PZOQ, PAWQ, OPPQ, PZAQ, PSAQ, PSSQ, PZGQ, PSBQ, OSSQ, PZJQ, JCBQ, PJJQ, PZLQ, JCDQ, OLLQ, PZPQ, PPFQ, PPPQ, PZCQ, PPHQ, OZZQ, PZEQ, PCPQ, PCCQ, PZIQ, PCOQ, OXXQ
Exhibits:
A, B, C
Regulatory Compliance:
Yes
Market Surveillance:
Yes
Core Principles:
Compliance, Prevention of Manipulation, Market Disruption
Market Monitoring:
SMARTS Surveillance Application
Year:
2017
Region / City:
Washington, DC
Topic:
Financial Futures Contracts
Document Type:
Certification
Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Industry Professionals, Market Participants
Period of Validity:
From April 26, 2017
Approval Date:
April 10, 2017
Date of Changes:
None
Description:
Detailed certification for the introduction of new NFX PJM Zonal Financial Futures contracts, including terms, conditions, and amendments to existing rules.
Date:
April 10, 2017
Reference File:
SR-NFX-2017-11
Sender:
NASDAQ Futures, Inc. (NFX)
Recipient:
Christopher J. Kirkpatrick, Office of the Secretariat, Commodity Futures Trading Commission
Address:
Three Lafayette Center, 1155 21st Street, NW, Washington, DC 20581
Legal Basis:
Section 5c(c)(1) of the Commodity Exchange Act and Sections 40.2 and 40.6 of the Commission’s regulations
Subject:
Product Certification and Rule Certification for New NFX PJM Zonal Financial Futures
Type of Document:
Rule self-certification letter
Contracts Covered:
NFX PJM ATSI, PSEG, JCPL, PEPCO, and PECO Zone Day-Ahead Peak and Off-Peak Financial Futures and Mini Financial Futures
Listing Date:
April 26, 2017
Trade Date:
April 27, 2017
Settlement Type:
Monthly cash-settled futures contracts
Underlying Reference:
PJM Day-Ahead locational marginal prices (LMPs)
Position Limits:
As set forth in Rulebook Appendix B
Regulatory Oversight:
Commodity Futures Trading Commission; National Futures Association; Federal Energy Regulatory Commission
Confidential Exhibit:
Cash market description and deliverable supply analysis submitted under FOIA confidential treatment request
Date:
April 10, 2017
Reference File:
SR-NFX-2017-11
Type of Document:
Rule Self-Certification Letter
Subject:
Product Certification and Rule Certification for New NFX PJM Zonal Financial Futures
Submitting Organization:
NASDAQ Futures, Inc.
Regulatory Authority:
Commodity Futures Trading Commission
Recipient:
Christopher J. Kirkpatrick, Office of the Secretariat
Legal Basis:
Section 5c(c)(1) of the Commodity Exchange Act; Commission Regulations 40.2 and 40.6
Contracts Covered:
NFX PJM ATSI, PSEG, JCPL, PEPCO, and PECO Zone Day-Ahead Peak and Off-Peak Financial Futures (including Mini contracts)
Settlement Type:
Cash-settled
Underlying Reference:
Day-Ahead locational marginal prices (LMPs) published by PJM Interconnection
Listing Date:
April 26, 2017
First Trade Date:
April 27, 2017
Position Limits:
As set forth in Rulebook Appendix B
Confidential Treatment Request:
Exhibit C submitted under FOIA
Year:
2016
Region / City:
Washington, DC
Theme:
Financial Futures Contracts
Document Type:
Regulatory Filing
Organization / Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Commodity Futures Trading Commission, NASDAQ Futures, Inc., and market participants
Effective Date:
December 6, 2016
Amendment Date:
N/A
Year:
2017
Region / City:
Washington, DC
Topic:
Financial Futures Contracts
Document Type:
Rule Certification
Organization / Institution:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Regulatory Authorities, Financial Market Participants
Period of Validity:
Effective April 26, 2017
Approval Date:
April 10, 2017
Amendments Date:
N/A
Year:
2016
Organization:
NFX
Document Type:
Exchange program exhibit
Program Name:
NFX Energy DMM Program
Regulatory Reference:
SR-NFX-2016-27
Related Filing:
SR-NFX-2015-15
Regulatory Authority:
Commodity Futures Trading Commission
Subject:
Designated Market Maker appointments in energy futures and options
Products Covered:
Energy futures and options including crude oil, natural gas, gasoline, heating oil, and regional power hub financial futures and mini futures
Eligible Participants:
Designated Market Makers selected through prior solicitation
Program Term:
Expiring April 24, 2016
Incentive Structure:
Monthly incentive payments pursuant to individual agreements
Monitoring Authority:
NFX
Termination Conditions:
Failure to meet quoting, size, or eligibility requirements
Year:
2017
Region / City:
Washington, DC, USA
Subject:
Financial Futures, Electricity Markets
Document Type:
Regulatory Filing / Letter
Organization:
NASDAQ Futures, Inc.
Recipient:
Commodity Futures Trading Commission
Author:
Christopher J. Kirkpatrick
Target Audience:
Regulatory Authorities, Market Participants
Effective Date:
April 26, 2017
Contract Listing Date:
April 27, 2017
Reference File:
SR-NFX-2017-11
Covered Contracts:
NFX PJM ATSI, PSEG, JCPL, PEPCO, PECO Zone Day-Ahead Peak and Off-Peak Financial Futures
Contract Terms:
Cash-settled, Monthly, Block Trade Minimum Quantity 5 Contracts, Spot Month Position Limits per Exhibit B
Regulatory Compliance:
Core Principles 2, 3, 4 under Commodity Exchange Act
Market Oversight:
NFX Regulation, National Futures Association, Federal Energy Regulatory Commission
Exhibits Included:
Rulebook Amendments (Appendices A & B), Cash Market Description and Deliverable Supply Analysis (Exhibit C)
Confidentiality Request:
Exhibit C under FOIA
Year:
2020
Region / City:
North Carolina
Topic:
Procurement standards, Federal funding, Micro-purchase threshold
Document type:
Informational Guide
Organization:
Office of Management and Budget (OMB)
Author:
Not specified
Target audience:
Local government units in North Carolina
Effective date:
August 13, 2020
Date of approval:
Not specified
Date of revisions:
Not specified
Year:
Not specified
Region / City:
Not specified
Subject:
Cost allocation methodology for Advance Planning Documents
Document Type:
Certification Process
Organization / Institution:
Not specified
Author:
Not specified
Target Audience:
County representatives involved in submitting APDs
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2025
Region / city:
N/A
Subject:
Cyber security, management controls
Document type:
Instructions
Organization / institution:
NERC
Author:
N/A
Target audience:
Responsible Entities
Validity period:
N/A
Approval date:
N/A
Date of changes:
N/A