CFTC FOJ~ 0",ce 

Th,ee wra,rne cent,ellSS 21st Slceel NW 

WashIn9toa, DC 20581 

Repo•t Date: 05/03/2023 

Requests Report 

Request ID Received Date Request Description Final Disposition 

10-00001-FOIA 10/2/2009 Request for a address for (b)(6) who is a employee who hit me and did damages to my general health, Other Reasons - No records 

10-00002-FOIA 10/13/2009 Request for 1nformat1on on a passport for Stanley Ann Dunham, Stanley Ann Obama, Ann Obama, Ann Dunham. Other Reasons • No records 

10-00003-FOIA 10/14/2009 Request for Sentinel Managment Group, lnc.'s annual financial statement for the year ending 12/31/2006. Granted/Denied In Part 

10-00004-FOIA 10/15/2009 Request for Informat1on regarding Michael F Payne and Futronix Trading Ltd. and related entities. Other Reasons - No records 

10-00005-FOIA 10/15/2009 Request for a written statement stating the CFTC's rationale on why speculation Is necessary in physically-settled futures, and why commercial 

participants by themselves are not capable of providing a valid market In physically-settled futures and any communications between any members of 

the CFTC and futures market participants concerning potential CFTC involvement in limIt1ng speculation In physically-settled futures. 

Granted In Full 

10-00006-FOIA 10/15/2009 Request for various witness testimony submitted In FERC Docket No. IN07-26-000, involving Amaranth Advisors, LLC. Denied in Full 

10-00007-FOIA 10/19/2009 Request for the CBOT's 10/15/2009 or 10/16/2009 rule InterpretatIon riling under Part 40 6 of the CFTC regulations regarding CBOT Rule 538 Granted in Full 

10-00008-FOIA 10/19/2009 Request for various frequently requested FO!As. Granted In Full 

10-00009-FOIA 10/20/2009 Request for informational material. Granted in Full 

16-00125-FOIA 9/20/2016 All data of trading volumes and market share in the secondary cash Treasury market, on both Dealer-to-Customer and lnterdealer platforms, collected C < C 

Denied in Full 

16-00126-FOIA 9/21/2016 FOIA logs of the Commodity Futures Trading CommIssIon for the month of August 2016. Granted In Full 

17-00001-FOIA 10/3/2016 American Cotton Shipper's earlier comment letter that was referenced in a supplemental coment letter dated March 22, 2000 Granted in Full 

17-00002-FOIA 10/6/2016 Alphabetical listing of all current CFTC employees (no contractors) showing Last Name, First Name, Title, DIv1s1on, Telephone Number and City. Granted in Full 

17-00003-FOIA 10/7/2016 Archived Comment Letters Granted In Full 

17-00005-FOIA 10/12/2016 Copies of all chief compliance officer annual reports submitted to the CFTC from 2012 through 2014 from Newedge (now part of Soc1ete Generale), 

1nclud1ng 1nformat1on on these records sufficient to show the 1dent1ty of the Newedge compliance off1c1al who signed and cert1f1ed them. 

Denied in Full 

17-00004-FOIA 10/17/2016 Discover, Capital Management LLC Denied In Full 

17-00007-FOIA 10/18/2016 Request for the 3/31/86 lFR for Robbins Futures Inc (Date Range for Record Search· From 03/31/1986 To 03/31/1986) Other Reasons - No records 

17-00006-FOIA 10/18/2016 copy of every special call issued by the CFTC since December 31 2013 Other Reasons· Request withdrawn 

17-00008-FOIA 10/18/2016 Request for emails to and from former CFTC Chairman Gensler and JP Morgan CEO James Dimon or Goldman Sachs CEO Lloyf BlanHe1n. (Date Range Other Reasons - No records 

17-00009-FOIA 10/19/2016 Request for results of (b)(6) d1sdpl1nay information - criminal disclosures Granted/Denied In Part 

17-00010-FOIA 10/21/2016 A copy of the Performance Audit Exam of the CFTC's Policies and Procedures For Rev1ewIng Registrants' Cyber Security Pol1cIes, 1ncludIng the Granted In Full 

17-00011-FOIA 10/21/2016 Copies of any and all transcripts of depositions taken by CFTC attorneys of executives at Newedge USA LLC, now known as SG Americas LLC, In 

connection with the now-closed investIgatIon into illegal wash trades and related uperv,sory failures {See CFTC order dated Sept 28 ) and a copy of the 

Denied in Full 

17-00001-AP 10/21/2016 Appeal for denial of FOIA request 16-00103 FOIA Completely Affirmed 

17-00012-FOIA 10/24/2016 All documents filed by (b)(6) including any correspondence or formal complaints with the CFTC. (Date Range for Record <« " 

Other Reasons • No records 

17-00013-FOIA 10/24/2016 Any and all records under(b)(6) name and/or 1dent1fifler assigned to his name. Other Reasons - Fee-related reason 

15-00068-FOIA 2/3/2015 A list or schedule of all external meetings held With staff from the dIv1sion of Clearing and Risk during the year 2014, including the date, time, location Other Reasons - No records 

15-00069-FOIA 2/3/2015 Request a list or schedule of all external meetings held with staff from the DIv1sion of Enforcement during the year 2014, including the date, time, 

'" 

Granted In Full 

15-00070-FOIA 2/3/2015 A list or schedule of all external meetings held with staff from the Division of Market Oversight during the year 2014, 1nclud1ng the date, time, location 

'" 

Other Reasons • No records 
15-00071-FOIA 2/3/2015 A list or schedule of all e~ternal meetings held with staff from the Office of the Inspector General during the year 2014, 1nclud1ng the date, time, location other Reasons • No records 

15-00072-FOIA 213/2015 A list or schedule of all external meetings held with staff from the Office of Public Affairs during the year 2014, rnclud1ng the date, time, location and Other Reasons - No records 

15-00073-FOIA 2/26/2015 All records provided to the National futures AssocIatIon since 2005 about the assocIatIon s IndIvIdual Associate members, Other Reasons - Not a proper fO!A 

15-00002-REF 2/6/2015 Request for copies of any complaints sut>m1tted to CIGIE, or any audits, inspections or investigations conducted rnto Roy Lav1k, Other Reasons - Duplicate Request 

15-00074-FOIA 2/13/2015 Information and records of CFTC 1nvest1gations into the man1pulat1on of prices for platinum and palladium and derivative financial products Denied In Full 

17-00014-FOIA 10/25/2016 An unredacted copy of CFTC Letter No. 05-02, issued 12/10/04. other Reasons· Request withdrawn 

17-00015-FOIA 11/1/2016 Information on where FF!C banks, such as Chase and Bridgeview Bank, work together. Jnformat1on on how Kayako and all non-profits help the 

community especially In Chicago II. Also, 1nformat1on on how The Chicago School of Professional Psychology uses all their money as a "non for pro/It" 

Other Reasons - Request withdrawn 

17-00016-FOIA 1112/2016 Information or records regarding 2I~y Joseph Smith and/or Morgan Smith CommodItIes, and/or Smith Morgan Commod1t1es, from 1972-1982. (Date .. Granted In full 

17-00017-FOIA 

17-00018-FOIA 

1117/2016 

11/3/2016 

A copy of the admInistratIve complaint the CFTC issued against the Hunt Brothers concernrng man1pulat1on In the silver market. The complaint was ., Request for a copy of Chairman Gary Genslers resume, resignation letter, and first and last SF-50 

Granted/Denied rn Part 

Other Reasons - No records 

17-00019-FOIA 

17-00020-FOIA 

11/8/2016 

1119/2016 

A copy of the Freedom of Information Act Appeals Log for the CFTC for the time period since 2009 

All records related to c1v1I case number 3: 11 -cv-023-RJC-DCK rn the Western District of Carolina 

Granted in Full 

Other Reasons - Fee-related reason 

17-00021-FOIA 11/14/2016 All briefing materials and information relating to the Pres1dent1al transItIon prepared by CFTC for the Trump administration's Agency Review Teams and Granted In Full 

17-00022-FOIA 

17-00023-FOIA 

11/17/2016 

11/21/2016 

A copy of each letter/correspondence sent by CFTC's Office of Inspector General (OIG) to the Department of the Treasury Office of Inspector General in ,. '" All records, from Jan. 1, 2013 to present day, gathered by the CFTC related to v1olat1ons for nomInatIon procedures on Enbridge Inc's Mainline system 

and TransCanada Corp's Keystone pIpelIne, which bring oil from Canada into the United States, including any responses from the Comm1ss1on (Date 

other Reasons - No records 

other Reasons • No records 

17-00024-FOIA 

17-00025-FOIA 

11/22/2016 

11/28/2016 

Copies of emails and letters sent by Representative Jeb Hensarlrng to the CFTC dating from January L 2013, through November 22, 2016. (Date Range Denied in Full >,, 

Any and all current contracts signed between the agency above and Lexis Nexis, (b)(6) , Lexis, Lexis-Nexis, and/or Lexis/Nexis, for onlIne Granted/Denied in Part 

legal research products and/or solutions. This request includes a copy of the original contract, any other contract-related documents, RFP information (1f 

available), and any amendments. The key information Is the current products under contract, the total monthly or annual contract value, and expiration 

17-00001-CONS 11/28/2016 Consultation Request for FOIA/PA Request (b)(6) Regarding Coral Energy Resources Granted/Denied In Part 

17-00026-FOIA 1211/2016 Copies of the FOIA requests made to the CFTC between Jan. 1, 2015 and Dec. 1, 2016 and which mention "Trump" or "Donald Trump," as well as Granted/Denied rn Part 

17-00027-FOIA 12/1/2016 Copies of any and all cases in which Paul Atkins or his consulting firm Patomak Global Partners LLC was selected as an independent consultant or Other Reasons - No records 

17-00034-FOIA 

17-00035-FOIA 

12/9/2016 

12/13/2016 

A copy of the complaint from this case CFTC vs Hunt Brothers, Cont1Commod1ty filed In 1985 The case numbers are CFTC No. 85-12 (C.F.T.C ), CFTC Granted/Denied in Part 

OC,00 

Copies of all documents that CME Group and any of its entities or representatives submitted to the Commodity Futures Trading Comm1ss1on from Jan. '· other Reasons - Request withdrawn 

2011, to Dec 13, 2016, seeking conf1dent1al treatment of rules or rule certif1cat1on filings.lam also seeking copies of all CFTC documents--1nclud1ng 

letters, emails and rnternal reports--regarding requests CME Group and its representatives made from Jan. 1, 2011, to Dec. 13, 2016, seeking 

confidential treatment of rules or rule certification filings.Jam also seeking a copy of a CME Group supplemental rule cert1f1cat1on filing known as 

Submission No. 16-5445, 1nclud1ng an appendix known as Appendix A. (Date Range for Record Search: From 01/01/2011 To 12/13/2016) 

17-00036-FOIA 12/27/2016 A copy or printout of the 11st of CFTC OIG investIgatIons closed during calendar year 2015 and calendar year 2016. (Date Range for Record Search: 

"' 

Granted In Full 

17-00002-AP 12/20/2016 Appeal of 17-00020-fO!A Completely Affirmed 

17-00037-FOIA 1/5/2017 Information, records, and/or testimony concerning (or produced In connection With) the following proceeding: CFTC Docket No. 81-20 (Viola) Granted/Denied In Part 

17-00038-FOIA 115/2017 The name, title, and work email and maIlIng address for persons In the following posItIons: 1. Human Relations Directors 2. Civil Rights Directors 3. Granted In Full 

Equal Employment Opportunity Directors 4. Labor Relations Directors 5. Workers' Compensation Directors 6. Training Directors 7. Within Personnel 

Offices/Employee Relations Offices/Labor Relations Offices a. Chiefs of Staff1ng/Class1fIcation b Chiefs of Labor Relations c. Chiefs of Employee Relations 

8. W1th1n General Counsel Offices, Assistant or Deputy General Counsels for, a, LItIgatIon t,, Administrative Law c, EEO/Civil Rights d. Labor and 

10-00010-FOIA 

10-00011-FOIA 

10/20/2009 

10/22/2009 

Request for NYMEX Crude 011 (Contract Market Code 067651) records from the Market Futures Day table In ISS maInta1ned by DMO. 

Request for a 11st of CFTC credit card holders. 

Denied In Full 

Granted In Full 

10-00012-FOIA 10/30/2009 Request for informatinal material. Granted in Full 

10-00013-FOIA 10/29/2009 Request for all internal memos, e-mails, reports, economic analysis and other documents from January 1, 2008 through October 31, 2009 in which staff 

discuss whether the index investment and swap data, Commitment of Traders reports, an/or internal CFTC surveillance data demonstrate a correlation 

and/or causation between excessive speculation and prices across each of the commodity markets regulated by the CFTC IncludIng, but not lIm1ted to, 

Granted/Denied in Part 

10-00014-FOIA 10/23/2009 Request for financial statements for JP Morgan Incubator Cayman Fund LP and JP Morgan Incubator LP. Granted/Denied In Part 
10-00015-FOIA 

10-00017-FOIA 

10-00018-FOIA 

10/29/2009 

1115/2009 

11/5/2009 

Request for Complaint No.: (b)(6) complaint of dIscrimInation filed with DFEH 

/bl/61 □□ !111>1 2 2008 ,I /bl/61 -- Request for entire database containing information related ,n anyway to travel by CFTC employees and financed by CFTC. 

Request for all material developed in CFTCs investigation of(b)(6) 

(b)(6) In particular materials which would relate to any purported claims of the CFTC that (b)(6) committed pel]ury or I,ed. 

other Reasons • Not an agency record 

Other Reasons - No records 

Granted in Full 

10-00019-FOIA 

10-00020-FOIA 

10-00021-FOIA 

10-00022-FOIA 

11-00001-FOIA 

10-00016-FOIA 

11-00002-FOIA 

11-00003-FOIA 

11-00004-FOIA 

11-00005-FOIA 

11-00006-FOIA 

1116/2009 

11/13/2009 

11/16/2009 

1219/2009 

10/1/2010 

10/30/2009 

1011/2010 

10/7/2010 

10/7/2010 

1017/2010 

10/12/2010 

Request for posItIon descriptions of all grade 9 adm1n1strat1ve assistants and staff assistants with their qual1f1cat1ons employeed at the CFTC. 

Request for non-public information on file with NFA for Barrett Christopher Brown 

Request for non-public information on file with NFA for AR Thane R1tch1e. 

Request for financial statements for vanoIus FCMs and Introducing Bro~ers, 

Request for documents related to CFTC's previous 1nvestigatIon of Edward Sarvey and the lawsuit file by the CFTC (CFTC v Sarvery, et al .• '° OS C 

"· 

Request for 1nformat1onal material. 

Request for all documents related to "the several spec1f1c steps" that White House Chief of Staff Rahm Emanuel and White House Counsel to the 

., .... ,c ,. '° 

Request for tick data on E-min1 SPSOO futures from 1997 to 2009. 

Request for documents relating to Soaring Phoenix. 

Request for 1nformat1on, records, and/or testimony concerning, relating to, and/or produced ,n connection with the following proceeding: In the Matter 

.. - ., -~-~ 

Request for any document between the North American Derivatives Exchange ('"Nadex") and the Chicago Mercantile Exchange Group Inc. or any of its 

Granted/Denied ,n Part 

Granted/Denied in Part 

Granted ,n Full 

Granted/Denied in Part 

Granted/Denied in Part 

Granted ,n Full 

Granted ,n Full 

Denied in Full 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons - No records 

11-00007-FOIA 10/14/2010 Request for any and all records of communication between CFTC and Mitchell Elias Daniels Jr., PIyush Jindal, Sarah Louise Palin, Timothy James Granted ,n Full 

11-00009-FOIA 

11-00010-FOIA 

10/21/2010 

10/21/2010 

Request for records, transcripts, depositions, investigative notes and oral and written communications between CFTC and outside parties pertaining to 

" ••- Request for names and titles of all the former listed principals and any former listed holding company(s) for Hedgepo1nt Partners LLC, NFA# 354007, 

Granted/Denied ,n Part 

Other Reasons - Request withdrawn 

11-00011-FOIA 

11-00012-FOIA 

10-00023-FOIA 

10-00025-FOIA 

10-00026-FOIA 

10-00027-FOIA 

10-00028-FOIA 

10-00029-FOIA 

10/21/2010 

10/22/2010 

11/19/2009 

12/2/2009 

1211/2009 

11130/2009 

12/2/2009 

1213/2009 

Request for Informat1on regarding Moore Capital Management LP, civil case number 10CV3617 from US DIstr1ct Court for the Southern District of New ,._ Request for 1nformat1on on(b)(6) 

REQUEST FOR CFTC REPORT PRODUCED FOR CONGRESS DURING THE PAST (5) YEARS AND ARE NOT POSTED ON CFTC.GOV. 

REQUEST FOR THE DAILY LIST OF APPOINTMENTS FOR CHAIRMAN GARY GENSLER FROM HlS SWEARING JN DATE UNTIL THE PRESENT. 

REQUEST FOR INCOMING LETTERS REGARDING CFTC LETTERS 95-103 AND 97.38. 

REQUEST FOR INCOMING LETTERS REGARDING CFTC LETTERS 95-103 AND 97.38. 

REQUEST FORWARDED FROM NFA FOR NON-PUBLIC DOCUMENTS FOR FOREX CAPITAL MARKETS LLC. 

REQUEST CORRESPONDENCE BETWEEN CFTC PERSONNEL AND THE INDEPENDENT MONITOR ENGAGED BY BP PRODUCTS NORTH AMERICA INC. m 

other Reasons - Request withdrawn 

other Reasons • No records 

Granted/Denied in Part 

Granted In Full 

Granted ,n Full 

Granted ,n Full 

Granted/Denied In Part 

Granted/Denied in Part 

10-00030-FOIA 

10-00031-FOIA 

1213/2009 

12/4/2009 

REQUEST FOR INCOMING CORRESPONDENCE ASSOCIATED WITH CFTC LETTERS NOS. 08-01, 06-27 AND 06-16. 

REQUEST FOR A COPY OF A REQUEST SENT TO CFTC 10 YEARS AGO FROM REGIONAL TRANSMJSSION OPERATOR PJM INTERCONNECTED JNC. 

Granted ,n Full 

other Reasons - No records 

10-00032-FOIA 12/8/2009 REQUEST FOR CORRESPONDENCE BETWEEN CFTC AND THE OFFJCE OF CHARLIE BASS; MIKE FITZPATRICK, STEVE CHABOT, AND STEVE PEARCH other Reasons - No records 

10-00033-FOIA 

10-00034-FOIA 

12/8/2009 

12/10/2009 

REQUEST FOR LISTING OF TEN HlGHEST FlNES IMPOSED BY CFTC BETWEEN 2000 AND 2008 

REQUEST FOR INFORMATION RELATING TO THE MILLER ACT BONDS CITED AT TITLE 48 OF THE CODE OF FEDERAL REGULATION, SECTION 53.228. 

Granted In Full 

Other Reasons - No records 

10-00035-FOIA 11/27/2009 REQEUST FOR A LOG OF CORRESPONDENCES SJNCE JANUARY 2009 OF CURRENT MEMBERS OF THE HOUSE OF REPRESENTATIVES AND THE SENATE, Granted in Full 

10-00036-FOIA 

10-00037-FOIA 

11/27/2009 

12/10/2009 

REQUEST FOR RECORDS RELATED TO CFTC'S COMPLJANCE WITH 5 USC 2302((), "PREVENT PROHIBITED PERSONNEL PRACTICES" 

REQUEST FOR A LIST OF COMPANIES OR INDIVIDUALS THAT CFTC GRANTED WAIVERS OF STANDARD POSITJON LIMITS ON CRUDE-OIL OPTIONS OR 

Granted in Full 

Denied In Full 

10-00038-FOIA 

10-00039-FOIA 

10-00040-FOIA 

10-00041-FOIA 

12/10/2009 

11/23/2009 

12/17/2009 

12/22/2009 

REQUEST FOR A LIST OF CFTC REGISTRANTS WHICH INCLUDE THE FOLLOWING FIELDS OF INFORMATION: NFA IO, NAME OF REGISTRANT, AND 

'" REQUEST FOR CFTC INFORMATIONAL MATERIAL. 

REQUEST FOR REFCO LLC'S !-FR FOR 10/2005. 

REQUEST FOR THE TRANSCRIPT, MINUTES, SLIDES AND OTHER MATERIAL FROM DECEMBER 9TH MEETING OF THE CFTC GLOBAL MARKETS ADVISORY 

other Reasons· Request withdrawn 

Granted ,n Full 

Granted in Full 

Granted ,n Full 

10-00042-FOIA 

10-00043-FOIA 

12/24/2009 

1213/2009 

REQUEST FOR l·FR'S FOR REFCO LLC AND CARGILL INVESTOR SERVICES INC. 

REQUEST FOR A LIST OF FUTURE REGISTRATIONS PER YEAR FROM 1974 - 2008, 

Granted ,n Full 

Granted ,n Full 
10-00044-FOIA 

10-00045-FOIA 

10-00001-FPA 

10-00047-FOIA 

10-00048-FOIA 

10-00049-FOIA 

10-00050-FOIA 

10-00052-FOIA 

10-00053-FOIA 

10-00054-FOIA 

10-00055-FOIA 

11-00014-FOIA 

10-00057-FOIA 

10-00058-FOIA 

10-00059-FOIA 

10-00060-FOIA 

10-00061-FOIA 

10-00062-FOIA 

11-00015-FOIA 

10-00063-FOIA 

10-00064-FOIA 

10-00065-FOIA 

10-00066-FOIA 

10-00067-FOIA 

10-00068-FOIA 

10-00069-FOIA 

10-00024-FOIA 

10-00070-FOIA 

10-00071-FOIA 

10-00072-FOIA 

10-00073-FOIA 

10-00074-FOIA 

10-00075-FOIA 

10-00076-FOIA 

10-00077-FOIA 

10-00078-FOIA 

10-00080-FOIA 

12/30/2009 

12/31/2009 

117/2010 

1/7/2010 

1/5/2010 

118/2010 

118/2010 

1/14/2010 

1/19/2010 

1/19/2010 

1/25/2010 

11/2/2010 

1/21/2010 

2/3/2010 

215/2010 

215/2010 

2/9/2010 

2/12/2010 

10/29/2010 

2/19/2010 

2122/2010 

3/2/2010 

3/2/2010 

3/2/2010 

2/25/2010 

2/25/2010 

11/19/2009 

311/2010 

3/1/2010 

3/3/2010 

3/11/2010 

3/4/2010 

3/5/2010 

3/5/2010 

3/5/2010 

3/3/2010 

3/17/2010 

REQUEST FOR EVERY DRAFT PROPOSAL CIRCULATED INTERNALLY CONCERNING THE PLAN TO IMPOSE POSITION LIMITS ON ENERGY FUTURES 

PROOUCTS AND/OR OTHER COMMODITIES OF FINITE SUPPLY AND ALL COMMENTS SUBMITTED BY COMMISSIONERS AND STAFF JN RESPONSE TO 

REQUEST FOR INTERPRETATIVE LETTER NO. 86-02 

REQUEST FOR ANY INFORMATION THAT THE AGENCY HAS ON (b)(6) 

REQUEST FOR INFORMATION REGARDING COMPLAINTS, INVESTIGATJONS, VIOLATIONS, SANCTJONS, OR ENFORCMENTSS ACTJONS RELATED TO: ,, ,c " REQUEST FOR SECURITY BACKGROUND JNVESTIGATION FOR THE REQUESTER. 

REQUEST FOR FILE NUMBER RF02·001 

REQUEST FOR A LIST OF PUBLICATIONS AVAILABLE. 

REQUEST FOR GUIDELINES THAT CMS PROVIDED TO WPS FOR RECONSJDERATIONS AND APPEALS 

REQUEST FOR RECYCLING CONTRACT FROM NY MUNICIPALITIES. 

REQUEST ALL CORRESPONDENCE BETWEEN CFTC AND OTHER US OR FOREIGN REGULATORY AGENCY CONCERNING OR RELATJNG TO SUPERFUND. 

REQUEST FOR ALL MATERJAL RELATED TO INTRADE, THE INTRADE PREDICTJON MARKET, JNTRADE THE PREDICTION MARKET LIMITED, TRADESPORTS 

Request for Informat1on relied on by the CFTC In its Order Instituting Proceedings Making FInd1ngs and Imposing Remedial Sanctions dated November 

13, 2009, ln the Matter of EMF F1nancIal Products LLC, Docket No. 10-02; Information concerning· the trading and expiration of the September 2005 10 

year Treasury Note Futures Contract traded on CBOT, the trading of the cheapest-to-deliver note underlying the September Contract, rnformat1on 

concerning any deliveries on the September Contract, and 1nformat1on concerning communIcatIons of EMF Frnanc1al Products LLC relatrng to the 

Request for information or records relatrng to MF Glot>al, Ltd. 

Request for Informat1on regarding FDA SlO(k) K093520 

Request for CFTC order entered on September 27, 2010 rn the enforcement case against Andrew Machata and Rolling Meadow Ranch, Inc. as described 

.•• 

Request for various frequent FOIAs regardrng the appl1cat1on of the Island Futures Exchange for DesIgnatIon as a Contract Market. 

Request for market data for CME Eurodollar futures contracts exchanged on the CME floor and Globex from 2007-2009, CTR data or time and sales data 

REQUEST FOR RECORDS RELATED TO ELX FUTURES, LP'S REUEST FOR APPROVAL OF AMENDMENT TO RULE 1V-15A; SUBMISSION 10/20/09 

REQUESTING A STAY; SUPPLIEMENTAL FILINGS, 11/12/09; LITTER, 1/4/2010; OTHER COMMUNJCATION/MEETING WITH ELX; ELX RULE; NOTICE 

·-· Request for any and all purchase orders, delivery orders, and/or contracts entered into within the past ten years where CFTC and Verizon 

Request forwarded from NFA for information regarding Michael Weld Clark, NFA ID 203368. 

Request for photos made when the RAAP was built In Dublin VA before WWI. 

REQUEST FOR ANY AND ALL RECORDS OF COMMUNICATIONS BETWEEN CFTC & THE FOLLOWJNG GOVERNMENT OFFICIALS. MITCHELL DANIELS JR, 

' ., ., 

REQUEST FOR INFORMATIONAL MATERIAL. 

REQUEST FOR INFORMATIONAL MATERIAL. 

REQUEST FOR ALL MATERJAL SUBMITTED BY MEDIA DERIVATIVES INC JN CONNECTION WITH ITS APPLICATJON TO BE DESIGNATED AS A CONTRACT 

• 

REQUESTJNG COPY OF THE MOST RECENT SF-2, US GOVERNMENT LEASE FOR REAL PROPERTY, FOR THE CFTC DC OFFICE. 

REQUEST 4 5 NOTICE FILINGS FOR VARJOUS ENTITIES PRIOR TO 1998 

REQUEST FOR DISCLOSURE DOCUMENTS FOR THE LAST 5 YEARS FOR DEKKER CAPITAL MANAGEMENT LLC, NFA 0345134 AND INCLINE INVESTMENT ,. 

REQUEST FOR ALL EMPLOYEES AT THE CFTC UNDER THE SENIOR EXECUTJVE SERVICE AND CONTACT JNFORMATJON. 

REQUEST FOR ANY LETTERS ISSUED BY CFTC OR ITS STAFF AND THE RELATED INCOMING LETTERS TO WHICH THEY RESPOND, ADDRESSING THE 

ISSUE OF SO-CALLED PROPRJETARY TRADING SHOPS, ALSO KNOWN AS 'PRO SHOPS' AND PROPRIETARY ACCOUNTS DURING 2006 TO PRESENT. 

REQUEST FOR THE MOST RECENT 1-FR FOR PEREGRJNE FINANCIAL GROUP JNC, VISION FINANCIAL MARKETS LLC, AND YORK BUSJNESS ASSOCIATES 

,c 

REQUEST FOR MEDICAID RECOVERY FROM JUNE 2002 THROUGH DECEMBER 2003 

REQUEST FOR INFORMATION ON GENERAL ELECTRIC, PFIZER, MICROSOFT, AMAZON, CISCO. 

REQUEST FOR INFORMATION ON REGLATORY STOCK BROKERS AND THE TEST CALLED SERIES 7 FOR STOCK BROCKERS. 

REQUEST FOR AGENCY SPECIFJC REPORTS PREPARED BY THE TRANSITION TEAM AND THE TRANSITION REPORT PREPARED BY CFTC DURING 

REQUEST FOR THE LETTER DATED OCTOBER 6, 2009, WHICH ELX SAYS THE COMMISSJON SENT TO IT IN CONJUNCTION WITH THE COMMISSJON'S .. REQUEST FOR THE ORGANIZATIONAL CHART FOR THE OFFICE OF THE CHIEF INFORMATION OFFICER. 

Granted/Denied in Part 

other Reasons - No records 

Other Reasons • No records 

Other Reasons - No records 

other Reasons - Not an agency record 

Granted In Full 

Granted In Full 

other Reasons - Not an agency record 

Other Reasons - Not an agency record 

Granted/Denied In Part 

Granted/Denied In Part 

other Reasons - Request withdrawn 

Denied in Full 

other Reasons - No records 

Granted In Full 

Granted In Full 

Granted/Denied In Part 

Granted/Denied in Part 

Granted In Full 

Granted/Denied In Part 

other Reasons • No records 

Other Reasons - Request withdrawn 

Granted In Full 

Granted In Full 

Granted/Denied rn Part 

Other Reasons - Request withdrawn 

other Reasons - Request withdrawn 

Other Reasons - No records 

Other Reasons - No records 

Granted In Full 

Granted/Denied rn Part 

other Reasons - No records 

Other Reasons • No records 

Other Reasons - No records 

other Reasons - No records 

Granted In Full 

Granted In Full 
10-00081-FOIA 

10-00082-FOIA 

10-00083-FOIA 

10-00084-FOIA 

3/17/2010 

3/19/2010 

3/19/2010 

3/22/2010 

REQUEST FILE NUMBER RF05·008, REFCO 3/2004 • 2/2005. 

REQUEST FOR CBOT'S ADDRESS AND MATERJAL ON FJGURING OUT PROFIT ON CONTRACTS. 

REQUEST (SUBPOENA) FORWARDED FROM NFA FOR NON-PUBLIC REGJSTRATION DOCUMENTS ON FILE FOR CHRISTOPHER LLOYD BOURNE. GLOBEFX .. REQUEST FOR CORRESPONDENCE BETWEEN CFTC AND ANY MEMBER. COMMITTEE. OR EMPLOYEE OF CONGRESS RELATED TO ALL FlNANCIAL 

Granted In Full 

Granted in Full 

Granted/Denied in Part 

Granted ,n Full 

10-00085-FOIA 

10-00086-FOIA 

10-00087-FOIA 

10-00089-FOIA 

10-00090-FOIA 

3/29/2010 

3/25/2010 

4/7/2010 

4/13/2010 

4114/2010 

REQUEST FOR LICENSING INFORMATION. 

REQUEST FOR CFTC ANNUAL REPORT FOR J974 TO 1980. 

REQUEST FOR ALL RECORDS THAT INCLUDE DATA ON OR SUMMARIES OF THE SEARCH WARRANTS SUBPOENAS AND COURT ORDERS SERVED

~~~~•r '"•••~rI 

REQUEST FOR ALL INFORMATION OR RECORDS REGARDJNG MY APPLICATION TO THE CFTC CHIEF PRJVACY OFFICER POSITION 

REQUEST FOR RECORDS RELATING TO CFTC'S FOIA COMPLIANCE OFFICE'S UTILI2ATION OF OUTSIDE LEGAL COUNSEL AND THE RESULTING COST 

WITH RESPECT TO MINORITY CONTRACTING, LIKE POLICIES RE RECRUITMENT, AFFIRMATIVE ACTION AND EQUAL OPPORTUNITY STATEMENT. 

Granted In Full 

Granted in Full 

other Reasons - No records 

Granted ,n Full 

Other Reasons - No records 

10-00091-FOIA 

10-00092-FOIA 

10-00093-FOIA 

4/15/2010 

4/19/2010 

4/22/2010 

REQUEST FOR INFORMATION REGARDING NYMEX'S ACCESS TRADING SYSTEM 

REQUEST FOR ENTIRE FJLE CONCERNJNG (b)(6) ~ND MAN FINANCIAL DBA MF GLOBAL INC. 

REQUEST FOR A COPY OF THE LETTER DATED 10/10/89 FROM THE DIVISION OF TRADING AND MARKETING, REGARDING BANK GUARANTEE(S) TO 

'' 

other Reasons· Request withdrawn 

Other Reasons - Request withdrawn 

Granted ,n Full 

10-00094-FOIA 4/22/2010 REQUEST FOR PUBLIC COPY OF A REPORT CALLED THE 1992 NYMEX ACCESS REPORTS REFERENCED WITHIN A CITATION ON A NOVEMBER 1994 Granted ,n Full 

10-00095-FOIA 4122/2010 REQUEST FOR ALL INFORMATION PERTAINING TO THE ETHICS CHARGES INVOLVING (b)(6) ~ND THE CFTC. Denied in Full 

10-00096-FOIA 

10-00097-FOIA 

4/27/2010 

4/26/2010 

COPY OF THE BASIC AWARDED CONTRACT INCLUDING THE STATEMENT OF WORK FOR THE CONTRACT AWARDED FROM SOLICITATION 

'FCFIT09S00080 UNDER THE PROFESSIONAL SERVICES FOR DEVELOPMENT OF CFTC'S TRADE SURVEILLANCE SYSTEM PROGRAM. CONTRACTING 

/bl/61 

REQUEST FOR RECORDS RELATING TO CFTC'S FOIA COMPLIANCE OFFICE'S UTILIZATION OF OUTSIDE LEGAL COUNSEL AND THE RESULTING COST, 

Granted/Denied m Part 

other Reasons • No records 

10-00098-FOIA 

10-00099-FOIA 

4/29/2010 

4/29/2010 

REQUEST FORWARDED FROM NFA FOR DOCUMENTS RELATED TO JAMES GERARD GLYNN, NFA#406841. 

REQUEST FOR DOCUMENTS RELATING TO THE USE OF COMMODlTlES MARKETS FOR THE PURPOSE OF MONEY-LAUNDERING AND OR TAX EVASJON ..... " 

Granted ,n Full 

Other Reasons - Request withdrawn 

10-00079-FOIA 

10-00100-FOIA 

10-00101-FOIA 

10-00102-FOIA 

3/11/2010 

4/29/2010 

5/4/2010 

5/7/2010 

REQUEST FOR CONTRACT SPEClFICATIONS FOR ANY COMMODITIES CONTRACTS THAT INVOLVE PRECIOUS METALS 

REQUEST FOR VARIOUS INFORMATION REGARDING CFTC JOB OPENINGS 10-022, 10-023, AND 10-0024 FUTURES TRADING INVESTIGATOR. 

REQUEST FOR ALL DOCUMENTS PERTAINING TO THE INVESTIGATION/ACTION AGAINST MF GLOBAL FJLED BY CFTC IN DECEMBER, 2009. 

REQUEST FOR DATA REGARDING S&PSOO INDEX FUTURES AUDJT TRAIL DATA FROM 2005 - 2009 

other Reasons - Request Withdrawn 

Granted In Full 

Denied in Full 

Denied in Full 

10-00103-FOIA 

10-00104-FOIA 

10-00105-FOIA 

10-00106-FOIA 

514/2010 

5/12/2010 

5/13/2010 

5/13/2010 

REQUEST FOR INFORMATION, RECORDS OR TESTIMONY RELATING AND PRODUCED IN: IN THE MATTER OF MOORE CAPITAL MANAGEMENT LLP, ET 

"·"" REQUEST FOR MOST RECENT I -FR FOR PEREGRINE FINANCJAL GROUP, JNC. 

REQUEST FOR LOG OF FOIA REQUESTS FROM JANUARY 1. 2009 TO PRESENT. 

REQUEST FOR ALL INFORMATION RELEASED TO DOW JONES (10-0013) INCLUDING INTERNAL DOCUMENTS REGARDING POSITION LIMITS DEBATE. 

Denied In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

10-00107-FOIA 

10-00108-FOIA 

10-00109-FOIA 

10-00110-FOIA 

10-00111-FOIA 

5/13/2010 

5/19/2010 

5/19/2010 

5/21/2010 

5/21/2010 

REQUEST FOR ALL DOCUMENTS REGARDING CFTC DOCKET NO. 10-10 AND 10-11, AGAINST MORGAN STANLEY AND UBS SECURITIES LLC 

REQUEST FOR ACUVEST INC. AND PEREGRINE FJNANCJAL GROUP INC'S 1-FR-JB AND GUARANTEE AGREEMENTS FOR THE YEARS 2004 - 2009. 

REQUEST FOR THE CONSENT ORDER BY WELLS FARGO BANK DATED ON OR ABOUT NOVEMBER 19, 1987 IN THE CENTRAL DISTRICT OF CALIFORNIA 

"-- REQUEST FOR THE MINUTES OF THE AGRICULTURAL ADVISORY COMMITTEE MEETINGS FOR THE LAST TWO YEARS. 

CFTC RESEARCH PROJECT THAT STUDIES WHETHER OR NOT THE BEHAVIOR OF CRUDE SPREADS OVER THE PAST SEVERAL YRS WAS RELATED TO 

POSITIONS IN WEST TEXAS INTERMEDIATE CRUDE FUTURES POSITIONS OR OIL STORAGE ISSUES AT CUSHJNG IN CFTC MEMO TO TIMOTHY 

Denied In Full 

Granted/Denied in Part 

Granted In Full 

Granted In Full 

Other Reasons - No records 

10-00112-FOIA 

10-00113-FOIA 

10-00114-FOIA 

5/25/2010 

5/26/2010 

5/26/2010 

REQUEST FOR RECORDS RELATED TO THE VOLATILE TRADING ACTIVITY THAT TOOK PLACE MAY 6, 2010. 

REQUEST FOR DECJSION IN THE MATTER OF PHILADELPHJA ALTERNATIVE ASSET MANAGEMENT LLC REGISTRANT, CFTC DOCKET NO. SD 08-05 DATE ,c 

REQUEST COPY OF REPORTS COMPLETED BY THE PROMONTORY FlNANCIAL GROUP, HIRED TO PERFORM A REVIEW OF CFTC'S OMO AND 

Granted/Denied In Part 

Granted in Full 

Granted/Denied in Part 

11-00016-FOIA 11/8/2010 Reqeust for all documents In connection with the action entitled In the Malter of Moore Capital Management LP, Moore Capital Advisors LLC and Moore .. Denied In Full 

11-00017-FOIA 

11-00018-FOIA 

11-00019-FOIA 

11/8/2010 

11/10/2010 

11/12/2010 

Request for the March 13, 2009 Promontory Report sent to Sarah Lynch In response to FOIA No. 10-0114 on 10/28/2010. 

Request for !-FR for Refco for the period of 3/1/2004 - 2/28/2005. 

Request for all ,nformatIon ,n docket no 10-03 and 08-02. 

Granted In Full 

Granted in Full 

Den,ed ,n Full 

11-00020-FOIA 11/12/2010 Request for any information regarding an InvestIgatIon and/or monitoring conducted by the CFTC regarding a possible COM EX silver futures and/or Denied In Full 
11-00021-FOIA 

11-00022-FOIA 

11-00023-FOIA 

11-00024-FOIA 

11/16/2010 

11/11/2010 

11/17/2010 

11/19/2010 

Request for copies of correspondence to the CFTC between January 1, 2010 • present from various US House Representatives. 

Request for correspondance sent to CFTC from members or staff of the US House and US Senate from June 1, 2010 - November 1, 2010. 

Request for Informat1on for starting a commond1ty exchange. 

Request for the CFTC dec1s1on Docket No, 93-5 dated December 5, 1996 

other Reasons • No records 

Granted in Full 

other Reasons - No records 

Other Reasons - Public Records 

11-00025-FOIA 11/18/2010 Request for all data or information concerning or obtained In connection with any investigation of Farms.com Inc., Farms.com Risk Management Ltd., Granted/Denied in Part 

11-00013-FOIA 

11-00026-FOIA 

11-00027-FOIA 

11-00028-FOIA 

10/29/2010 

11/22/2010 

11/30/2010 

11/30/2010 

Rrequest for OIG information for 2005 - 2010. 

Request for the CFTC OIG semiannual for the period ending September 30, 2005, 

Request for informational material, 

Request for Informat1onal material 

Granted in Full 

other Reasons • Public Records 

Granted in Full 

other Reasons - Public Records 

10-00115-FOIA 5/27/2010 REQUEST FOR COPIES OF ALL INVESTIGATIVE DOCUMENTS RELATED TO THE CASE INVOLVING MORGAN STANLEY AND UBS WHO WERE FINED BY Granted/Denied in Part 

10-00116-FOIA 

10-00117-FOIA 

10-00118-FOIA 

10-00119-FOIA 

612/2010 

613/2010 

12/22/2009 

6/4/2010 

REQUEST FOR RECORDS REGARDING RAY OLSON AKA SOARING PHOENIX LLC OR MORGAN DETHOUARS OR JO RAE DIENHART FROM ANY BANK OR Granted/Denied in Part 0 00 

REQUEST FOR THE "CONSENT" FILED BY WELLS FARGO BANK MENTIONED IN THE CONSENT ORDER BY WELLS FARGO BANK DATED ON OR ABOUT Granted ,n Full 

00 

REQUEST FOR COPIES OF ALL RECORDS RELATED IN ANY WAY - WITH THE EXCEPTION OF RECORDS COVERED BY MY REQUEST OF NOVEMBER 5, Granted/Denied in Part •~- I7\-~-~o "r' •••~•-o ,RV .,_.,.,o-,,I ooM 

REQUEST FOR A REPORT TO COMMJSSIONERS ON ISSUES RAISED IN CONNECTION WJTH MOVIE BOX OFFICE FUTURES PREPARED BY RICK SHJLTZ OR Other Reasons - No records 

10-00120-FOIA 6/4/2010 Request for a memo from Wendy L. Gramm (former Chairperson) to Senator Patrick Leahy dated August 25, 1989. Granted/Denied in Part 

10-00121-FOIA 617/2010 REQUEST FOR ALL COMPLAINTS CONCERNING TRADING AND/OR MARKET PRACTICES AS THE CHICAGO CLIMATE FUTURE EXCHANGE; ANY 00 co 

Denied In Full 

10-00122-FOIA 619/2010 REQUEST FOR CANTOR FITZGERALD'S FILINGS RELATED TO EFFORTS TO CREATE A REGULATED, INTERNET-BASED EXCHANGE FOR DOMESTIC BOX Other Reasons - Request wItMrawn 

10-00123-FOIA 619/2010 REQUEST FOR ENTRY LEVEL PROFESSIONALS (LAWYERS, ECONOMIST, ACCOUNTANTS, AND EXAMINERS) SALARIES FOR THE PAST 20 YEARS. Other Reasons - Request w,t~drawn 

10-00124-FOIA 6/11/2010 REQUEST FOR ALL RESEARCH AND DOCUMENTATION PRODUCED/GATHERED IN RELATION TO TRADJNG ACTIVITY IN CRUDE OIL MARKETS ON 

" 

Granted/Denied in Part 

10-00125-FOIA 

10-00126-FOIA 

6/15/2010 

611/2010 

REQUEST FOR A LIST OF CREDIT CARD HOLDERS (NAME AND PHONE NUMBERS) WHO ARE AUTHORJZED TO BUY OFFICE SUPPLIES 

REQUEST FORWARDED FROM NFA FOR NON-PUBLIC DOCUMENTS REGARDING AMBER MAXWELL AND GARLON JAMES MAXWELL. 

Granted in Full 

Granted/Denied ,n Part 

10-00127-FOIA 

10-00128-FOIA 

10-00129-FOIA 

10-00130-FOIA 

6/23/2010 

6/28/2010 

7/8/2010 

7114/2010 

REQUEST FOR INFORMATION OR RECORDS REGARDJNG STEVE AGOPIAN OR AMERICAN FUTURES TRADING INC. SUBMJTTED TO THE CFTC FROM JUNE ,, " REQUEST FOR THE ERIS EXCHANGE LLC EXEMPT BOARD OF TRADE NOTIFICATION FILED WITH THE CFTC AS OF 2/4/2010 AND THE .,.v-,~- ,., ·" 

REQUEST FOR INFORMATIONAL MATERIAL. 

REQUEST FOR INFORMATION REGARDIING CFTC ACTION IN THE MATTER OF MOORE CAPITAL MANAGEMENT LP, MOORE CAPITAL ADVISORS, LLC AND 

Granted/Denied in Part 

Granted In Full 

Granted In Full 

Denied ,n Full 

10-00131-FOIA 7/20/2010 REQUEST FOR ALL DOCUMENTS RELATING TO THE ORDER ISSUED BY CFTC ON JULY 27, 1995 AGAINST MG REFJNlNG AND MARKETING, ]NC. AND MG Granted/Denied in Part 

10-00132-FOIA 6/28/2010 REQUEST FOR THE COMPLAINT AND SETTLEMENT DECISION DATED NOVEMBER 2, 1993 JN THE CASE OF MCVEAN TRADING & INVESTMENT, DOCKET 

"-

Granted in Full 

10-00133-FOIA 

10-00134-FOIA 

7/30/2010 

7/29/2010 

REQUEST FOR EDUCATIONAL MATERJAL CONCERNING FUTURES AND COMMODITIES. 

REQUEST FOR A LIST OF THE NAMES, GRADES AND YEARLY SALARIES OF ALL ATTORNEYS EMPLOYED BY THE CFTC AS OF 7/29/2010. 

Granted in Full 

Granted ,n Full 

10-00135-FOIA 

10-00136-FOIA 

8/5/2010 

8/13/2010 

REQUEST FOR MATERIAL CONCERNING CFTC REPORT ENTITLED "STAFF REPORT ON COTTON FUTURES AND OPTION MARKET ACTIVITY DURING THE 

REQUEST ' FOR MOST RECENT DREDGE AND FILL PERMIT FOR MEADOW POINTE IN PASCO COUNTY. 

Granted/Denied in Part 

Other Reasons - Not an agency record 

10-00137-FOIA 8/18/2010 REQUEST FOR INFORMATION FOR THE FOLLOWING IN RESPONSE TO RFQ NO. CFiT·lO·S0·9152: NAMES OF OTHER BIDS AND AMOUNTS BID; Granted/Denied in Part 

10-00138-FOIA 

10-00139-FOIA 

10-00001-REF 

8/17/2010 

8/19/2010 

8/19/2010 

REQUEST FOR VARIOUS INFORMATION REGARDING /b]/6] 

/b)/6) 

REQUEST FOR A COPY OF EACH ETHICS WAIVER PROVIDED AT THE CFTC SINCE JANUARY 1, 2001. 

REFERRAL FROM THE FBI FOR CFTC DOCUMENTS FOUND JN THE FBl'S FJLES PERTAINJNG TO RELIANT RESOURCES ]NC & RELIANT ENERGY INC IN 

REGARDS TO THE INVESTIGATION AND PROSECUTION OF REPORTING BY RELIANT OF NATURAL GAS TRADES TO TRADE PRESS ENTITIES & 

Granted ,n Full 

Other Reasons • No records 

Denied in Full 

10-00141-FOIA 

10-00142-FOIA 

10-00143-FOIA 

8/20/2010 

8/23/2010 

9/3/2010 

REQUEST FOR ANY SUBMISSIONS BY NYMEX OR CME REGARDING: NYMEX RULE 8.03; CME RULE408.C; NYMEX RULE 8.26; AND CME RULE 411. 

REQUEST FOR REGJSTRATION AND FILINGS FOR SHUTCO BROKERAGE AT THE CME FROM APRIL 1994 - JANUARY 1996, PARTICULARLY ANY 

-- ,,c 

REQUEST FORWARDED FROM NFA FOR REGJSTRATION DOCUMENTS FOR CHARLES E. DAVJDSON, NFA# 198322. 

Granted ,n Full 

other Reasons - No records 

Granted in Full 

10-00144-FOIA 8/27/2010 Request all documents relating to any investIgatIon into Larry M. Webman; Melvin Webman and Lyle Wexler ,n CFTC v. Webman, et al. other Reasons· Request withdrawn 
10-00145-FOIA 

10-00146-FOIA 

10-00147-FOIA 

10-00148-FOIA 

10-00149-FOIA 

10-00150-FOIA 

10-00151-FOIA 

10-00152-FOIA 

10-00153-FOIA 

10-00154-FOIA 

10-00155-FOIA 

10-00156-FOIA 

10-00157-FOIA 

10-00158-FOIA 

10-00159-FOIA 

10-00002-FPA 

10-00003-FPA 

10-00001-PA 

11-00001-AP 

11-00002-AP 

11-00008-FPA 

11-00029-FOIA 

11-00030-FOIA 

11-00031-FOIA 

11-00032-FOIA 

11-00033-FOIA 

11-00034-FOIA 

11-00035-FOIA 

11-00036-FOIA 

11-00037-FOIA 

11-00038-FOIA 

11-00039-FOIA 

11-00041-FOIA 

11-00043-FOIA 

11-00044-FOIA 

11-00045-FOIA 

8/31/2010 

912/2010 

9/2/2010 

9/2/2010 

9/3/2010 

8/17/2010 

9/3/2010 

9/7/2010 

9/10/2010 

9/13/2010 

9/15/2010 

9/21/2010 

9/23/2010 

9/29/2010 

9/29/2010 

1/12/2010 

1127/2010 

4/8/2010 

11/17/2010 

115/2010 

12/9/2010 

12/9/2010 

12/10/2010 

12/13/2010 

12/13/2010 

12/13/2010 

12/3/2010 

12/13/2010 

12/16/2010 

12/22/2010 

1/5/2011 

1/6/2011 

1/19/2011 

1/18/2011 

1/19/2011 

1/20/2011 

Request all public and non-public records for: Velomy Futures, LP or Velomy Futures, LLC {NFA ID #0317695); Jack Edward Earnest (NFA ID tr .. Request Peregrine Financial Group Inc. Focus Reports or 1-FRs for the periods ended 12131/09 and 7/31/10. 

Request for Penson,GHCO Focus Reports or 1 FRs for the periods ended 12/31/09 and 7/31/10. 

Request for documents issued from the CFTC (new or updated) between 4/1/09 - 8/31/2010· Employee Handbook, Personnel Instructions, PolIcIes, 

0 "' 

Request for FOIA log for August 2010. 

FORWARD FROM NFA REQUEST FOR NON-PUBLIC JNFORMATJON FOR ALEXEJ V. VHEKHLOV, PETTER kAMBOLIN, SYSTEMATIC ALPHA FUTURES, 

"' ' 

REQUEST FOR INFORMATIONAL MATERIAL. 

REQUEST ANY RECORDS OR REGISTRATIONS FOR(b)(6) 

REQUEST FOR ALL FOIA REQUEST WHERE THE REQUEST AROUSED THE SUSPICION OF THE PERSON OR AGENCY WHO RECEIVED THE FOIA AND 

WHERE THE REQUEST WAS PROVIDED TO AN INVESTIGATOR OR INVESTIGATIVE AGENCY TO DETERMINE IF THE REQUEST WAS FOR CRIMINAL 

REQUEST FOR A FINAL CONTRACTOR PERFORMANCE RATING REPORTS FOR THE MOST RECENTLY 3 YEAR PERIOD. 

REQUEST FOR INFORMATION REGARDING '"QUOTE STUFFING" AND/OR "LATENCY ARBITRAGE" AND/OR FINRA CASE "20070076782-01 (TRILLIUM 

,m 

REQUEST FORWARDED FROM THE SECRETARIAT'S OFFICE FOR AN ORDER DATE 2/9/83 IN REPARATION #77-269. 

REQUEST FOR ALL NOTICES ISSUED TO EXCHANGES AND CLEARINGHOUSES OMO NOTIFYJNG THEY WERE JN VIOLATION OF A CORE PRINCIPLE(S). 

FROM WHEN CFMA OF 2000 TOOK EFFECT THROUGH SEPTEMBER 24, 2010; COPIES OF RESPONSES FROM ENTJTJES SHOWING PROOF OF 

REQUEST FOR PASSPORT JNFORMATJON. 

REQUEST FOR ANY INFORMATION LINKING ME TO ANY ONGOING INVESTIGATION/STUDIES INVOLVING MILITARY'S "NON-LETHAL WEAPONS 

PROGRAMS'", BEHAVIORIAL MODIFICATION, THE USE OF ELECTROMAGNETIC, STATIC, MICROWAVE , BIOCHEMICAL, MICROCHIP TECHNOLOGIES, '" 

REQUEST FOR ALL DOCUMENTS IN AGENCY FILES RELATED TO (b)(6) 

REQUEST FOR ALL DOCUMENTS RELATING TO (b)(6) 

REQUEST FOR A COPY OF MY PERSONNEL SECURITY FILE COVERED BY CFTC-44. 

Not sat1sf1ed with response. 

xxxxxxx 

Request for any information CFTC has regarding (b)(6) 

Request for the names, Job description and salaries of all CFTC admInIstratIve assistants and staff assistants, grade 9 • 11. 

Request for any and all records relating to the CFTC's referral of forged letters to the US Justice Department on December 1. 

Request for the data referenced by the CFTC In the portion of its Notice of Propose Rulemak1ng on Core Principles and other Requirements for Contract 0 ~H,~~~ ,AA < ~ "

Request for copies of the CFTC congressional correspondence log from 7/1/2010 to the present and any and all congressional correspondence between 

Request for any and all records relating to government contract PIID: CFEN09C00236, IncludIng the ong1nal terms of the contract and any/all results, 

Request forwarded from NFA for non-public documents on file for Steven Brewer. 

Request for materials concerning (FTC action In the matter of Anthony). D1Placido, CFTC Docket No. 01-23. 

Request for 5 copies of CFTC's directory. 

Requester states that she Is a teacher whose class Is studying aspects of the US government; she seeks 1nformat1on regarding CFTC's area of expertise, 

Requester seeks information on import-export of onions tietween the U.S and India 

Request for General Information on Trading Commodity Futures 

Request for 1nformat1on on the CFTC's InvestigatIon into the 'flash crash' of May 6, 2010 and the CFTC's efforts to restore market stabIlIty and 

confidence. Requestor seeks: CFTC records referred to the Treasury and the National Economic Council pertaining to the market events of May 6, 2010; 

CFTC records of meetings with chief executives of trading venues on May 10, 2010; CFTC records of interviews with market partIcIpants; and CFTC 

Requestor seeks a true copy (from the negatives} of his photo which he states are attached to his email request 

Requestor Seeks Interrogatories, Requests for Production of Documents and Tangible Things, and/or Requests for Adm1ss1on, as well as AnswerS, 

Responses, or Objections Thereto Sent and Received by the Commission In the Lawsuit Cap1tIoned CFTC v. Sentinel Management, et al., '° 08CV2410 ., 

Requestor Seeks all Documents and Information Related to the CFTC's Investigation of Dairy Farmers of America, Inc. and Its Officecs Gary Hanman and 

' ,_ ,o oo_,_ 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied In Part 

Granted In Full 

Granted In Full 

Granted in Full 

Granted in Full 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

Other Reasons - Request withdrawn 

Granted in Full 

other Reasons - No records 

Other Reasons - Not an agency record 

other Reasons • Not an agency record 

Other Reasons - No records 

other Reasons • No records 

Other Reasons - No records 

Completely Affirmed 

Completely Reversed/Remanded 

Other Reasons - No records 

Granted In Full 

Denied In Full 

Granted/Denied in Part 

Granted In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons - Public Records 

other Reasons - No records 

Other Reasons - Public Records 

Other Reasons - No records 

other Reasons - Public Records 

Granted/Denied in Part 

Other Reasons - No records 

Granted/Denied in Part 

Other Reasons - Records not reasonat,ly 
11-00046-FOIA 1121/2011 Requestors Seeks Any Documents, CommunIcatIons, Correspondence, Notes of Telephone Conversations, Affidavits, Declarations, Transcripts, Witness 

Statements or Customer Complaints in Connection With VIolatIons of the Comod1ty Exchange Act by Global Asset Management, Inc, American Precious 

Metals, Inc , Berkshire Asset Management, LLC, D1vers1fIed Precious Metals International, lnc, lnternatIonal Metals Management, Leland National Gold 

Denied In Full 

11-00047-FOIA 

11-00040-FOIA 

11-00048-FOIA 

11-00049-FOIA 

11-00050-FOIA 

1/21/2011 

1/7/2011 

1121/2011 

1/25/2011 

1/25/2011 

Requcstor Seeks Invoices for Furniture Cleaning, Carpet Cleaning and Installation and Repair Services Performed WIthIn the Last Two Years 

11-00040-FOIA Incoming Letter 

Request for General Information on Commodity Pools, Commodity Pool Operators, and Commodity Trading Advisors 

Request for A Copy of the Commodity Futures Trading Commission's FOIA Log from July 1, 2010 to January l, 2011 

Request for Financial Pool Reports of Spark Management, LP 

Granted In Full 

Granted/Denied ,n Part 

Other Reasons • Public Records 

Granted in Full 

Granted/Denied in Part 

11-00051-FOIA 

11-00052-FOIA 

11-00053-FOIA 

1128/2011 

1/31/2011 

1/31/2011 

Requests Information, Documents, Records, and/or Testimony Concerning, Relating to, and/or Produced In the Matter of Andrew W. Daniels, Edward L. ,c .oc " " 

Request for I-130 Form for(b)(6) 

Request a Copy of Notes Taken by CFTC Staff A~er Review of Internal Review by KPMG of BP's Energy Trading Practices in 2006 

Denied In Full 

Other Reasons - No records 

Denied In Full 

11-00054-FOIA 

11-00055-FOIA 

2/1/2011 

2/4/2011 

Request for Documents Pertaining to Futures Trading ActIvItIes Engaged in by Agape World 

Request for the Names of !nd1v1duals Who Received Relief from the Judgment Against the Defendants In CFTC v. FT! F1nanc1al Group, ct al,, (97-CivOther Reasons· Request withdrawn 

Granted In Full 

11-00056-FOIA 

11-00057-FOIA 

11-00058-FOIA 

11-00059-FOIA 

2/4/2011 

2/4/2011 

2/4/2011 

2/4/2011 

Request for Copy of Leverage Contract(s) Submitted with an Application to Register a Leverage Commodity 

Request for Information or Records of all Currently Registered Series-3 Brokers 

Request for the Results of the !nvestIgatIon of Mike DumItru & IntcrnatIonal Currency Market Management, Corp. 

Request Copies of Career and Education Hlstory of CFTC Senior Staff 

Granted in Full 

other Reasons - No records 

Denied In Full 

Granted In Full 

11-00060-FOIA 2/8/2011 Request for Documents Relating to CFTC Docket No. 11-05, Order InstItutIng Proceedings Pursuant to Sections 6(c) and 6{d) of the CEA, and Granted In Full 

11-00061-FOIA 

11-00062-FOIA 

11-00063-FOIA 

2/11/2011 

2/11/2011 

2/14/2011 

Letters to Agency from Members of Congress 

Copies of VarioIus Applications for Designation as a Contract Market Submitted by the Chicago Board of Trade in 1982 

CFTC's Use of a Pricing Benchmark of the Futures Contract for West Texas Intermediate Crude Oil Traded on the New York Mercantile Exchange 

Granted/Denied In Part 

Other Reasons - Public Records 

Granted In Full 

11-00064-FOIA 

11-00066-FOIA 

2/16/2011 

2/17/2011 

Request for a Copy of a Contract Hiring Deloitte to Conduct a Series of Focus Groups and Help with other LogIstIcal Planning for Dodd-Frank 

Referral from the Office of Government Ethics in Response to a Request for a Copy of All Communication Between the Office of Government Ethics and 

Granted/Denied In Part 

Granted in Full 

11-00067-FOIA 2/22/2011 - Reqest for CBOT Wheat, KCBT Wheat, CBOT Soybeans, CBOT Soybean Oil and CBOT Corn Supplemental Commodity Index (CJT) Report for the Years 

----- Other Reasons - No records 

11-00068-FOIA 

11-00069-FOIA 

11-00070-FOIA 

11-00071-FOIA 

11-00072-FOIA 

11-00073-FOIA 

11-00074-FOIA 

2/18/2011 

2/25/2011 

2/28/2011 

3/8/2011 

3/8/2011 

3/8/2011 

3/8/2011 

Request for Commitment of Traders Reports 

Request for Listing of Outstanding Uncashed Checks Issued by the CFTC between 2000-2009 

Request for FOIA Logs from November 1, 2010 through the Present Date 

Request for Documentation Relating to the Deportation of {b)(6) 

Request for pdf copy of Carg1ll !nvcstor Services, Inc., Form 1-FR-FCM for the period of 8/1/2005 - 8/31/2005 

Request for Line-ltem Listing of all Travel Expenses and Schedules for Chairman Gary Gensler from 2009 through March 3, 201 I 

Requestor Seeks Informat1on on How to Read Stock In the Newspaper 

Denied in Full 

Other Reasons • No records 

Granted In Full 

other Reasons - Not an agency record 

Other Reasons - Public Records 

Granted in Full 

other Reasons • Not a proper FOIA 

11-00075-FOIA 3/2/2011 Request Copies For an Accounting of Legal Expenses Charged to the Agency for Ser,Ices Involving Congressional Testimony, Hearings, Investigations other Reasons • No records 

11-00124-FOIA 3/9/2011 Request for memo dated January 29, 2008, from the CFTC Division of Market Oversight to the Commission relating to a review of changes to the CBOT 

and CME rules In the rulebook harmonization process. This memo was referred to at footnote 4 page 8 of the Rule Enforcement Review of the CBOT and 

-- -- Granted/Denied in Part 

11-00076-FOIA 

11-00077-FOIA 

11-00078-FOIA 

11-00079-FOIA 

11-00080-FOIA 

3/10/2011 

2/28/2011 

2/11/2011 

2/28/2011 

2/28/2011 

Request for documents from July 21, 2010 • Present that Discuss Cost Benefit Analysis Issues for Dodd-Frank Rulemak1ng 

Request for Documents, Notes, and CommunIcatIons In 2010 Relating to Referrals to the 0/fce of Inspector General for InvestIgatIon into Potential 

"0 -- " ' 

Request for Copies of all PetItIons Filed to Date with the CFTC by EntItItcs Operating as Exempt Commercial Markets and PctItIons Filed to Date by 

,_ 

Request for Copies of FO]A Requests Submitted on or After January 26, 2011 Which Refer to Jn the Matter of Andrew W, Daniels, et al,, CFTC Dock! No. 

-/\~ {" "\ 

Request for Most Recent Form Required by the CFTC to Apply for Reg1strat1on of Leveraged Commodities; the Most Recent form Required by the CFTC 

for Reg1strat1on as a Leveraged Transaction Merchant with either the CFTC and/or the NFA; Copy of the Last Application for Registration of Leveraged 

Commodities approved by the (FTC, and the Last Applicaton Approved for Registration as a Leveraged Transaction Merchant 

Denied In Full 

Granted/Denied In Part 

Granted In Full 

Granted in Full 

Granted In Full 

11-00082-FOIA 3/11/2011 Request for all Investigator, Records, all Enforcement Actions Taken Against the Defendants, All Litigation Files, All DIspositIons, Including DecIsIons, 

Rulings, Judgments, Orders, Pleas, and Settlements In the Matter of CFTC v. Pacific Bullion, et al, C1v No. 92-MISC 259 (OSH) (EONY filed Jan n. Granted/Denied in Part 
11-00083-FOIA 

11-00042-FOIA 

11-00084-FOIA 

11-00085-FOIA 

11-00086-FOIA 

11-00087-FOIA 

11-00003-AP 

11-00004-AP 

11-00088-FOIA 

11-00001-REF 

11-00089-FOIA 

11-00090-FOIA 

11-00091-FOIA 

11-00093-FOIA 

11-00094-FOIA 

11-00095-FOIA 

11-00096-FOIA 

11-00097-FOIA 

11-00098-FOIA 

11-00099-FOIA 

11-00092-FOIA 

11-00100-FOIA 

11-00101-FOIA 

11-00102-FOIA 

11-00103-FOIA 

11-00104-FOIA 

11-00105-FOIA 

11-00081-FOIA 

11-00107-FOIA 

11-00106-FOIA 

11-00108-FOIA 

11-00109-FOIA 

11-00110-FOIA 

11-00111-FOIA 

11-00112-FOIA 

11-00113-FOIA 

11-00114-FOIA 

3/16/2011 

1/18/2011 

3/22/2011 

3/24/2011 

3/24/2011 

3/24/2011 

3/24/2011 

3/22/2011 

3/24/2011 

3/22/2011 

3/24/2011 

3/24/2011 

414/2011 

4/6/2011 

4/11/2011 

4111/2011 

411/2011 

4/18/2011 

4/19/2011 

4/20/2011 

3/24/2011 

4/28/2011 

2/11/2011 

5/10/2011 

5/10/2011 

5/16/2011 

5/16/2011 

5/17/2011 

5/18/2011 

8/31/2011 

6/1/2011 

5/25/2011 

5/25/2011 

6/1/2011 

611/2011 

6/7/2011 

617/2011 

Request for Information or Records Regarding Incentive Programs Offered to Market Makers for Trading In Futures and Options In Eurodollars and U.S. 

Treasuries by the CME or the CBOT from January 2, 2002 - Present; and all Rule Proposals and Related Documents Regarding the GFX Corporation from 

Requestor seeks a copy of the internal CFTC report prepared by the Promontory Financial Grpup and IS referenced In the Dow Jones Newswires article 

" 

Request for Copy of Latest Disclosure Document of Commodity Trading Advisory Aetonian Capital LLC (NFA ID# 0407174) 

Request for Transcript of Paul Nockels's DeposItIon In the Matter of G. Victor Johnson, II, McGladrey & Pullen, LLP, Altschuler, MclvoIn & Glasser, LLP, . ., ".n, 

Requests Listing of all Current CFTC Staff 

Request for Correspondence and Other Information Requested by or Provided to Sen Scott Brown between February 4 2010 - Present 

Re: 11-00031-FOIA •• Request for the Disclosure of Withheld Responsive Materials and/or a Detailed Nature of the Withheld Materials 

Appeal of FOJA Request No. 11-00046 

Request for a Listing of CommIssIoners since 1975 and their Party Aff1l1at1ons 

Request for Documents relating to InvestIgatIon of Larry M. Webman; Melvin Webman and Lyle Wexlcer In CFTC v, Webman, ct al 

Request for Agency Information and Records Relating to Meetings Between CFTC Staff and Goldman Sachs, JP Morgan Chase on Proposed CFTC Rules 

Request for Information and Records that Relate to CFTC's October 14, 2010 External Meeting with Barclays Capital, lnc 

Request for Documents the CFTC has filed with 0MB that Describes What the Agency Would Do in Case of a Federal Government Shutdown 

Request Information Regarding Any Investigation (Informal or Formal) Conducted t,y the CFTC of RBS Sempra Commodities, Sempra Energy Trading 

,c 

Request for a Copy of 1998-1999 CFTC Report on the Implementation of the Glob ex Trading System of the Chicago Mercantile Exchange 

Request for Copies of Emails or Texts to and from Chairman Gensler from March 21-28, 2011 that Include at Least One of the Following Terms: Silver; 

oe 

Request for a Copy of Hedging Defin1t1ons and the Use of Financial Futures and Options: Problems and Recommendations for Reform, Report of the 

Request "' for Copies of or Access to Congressional Correspondence, Including both Correspondence from and to Members of Congress with the Following 

Request for Copy of Peer Review Audit of the CFTC Inspector General by the Inspector General of the federal Election CommIssIon 

Request for Correspondence and other Information Requested by or Provided to Congressman Dean Heller between Jan. 4, 2006 - Present 

Correspondence and Internal Communications to and from Brooksley Born Relating to the Regulation of Over the Counter Derivatives during her Tenure ., Request for Information on Becoming a Commodity Futures Trader 

Request for Information, Documents, Records, and/or Testimony Concerning, Relating to, and/or Produced in Connection with an Jnvestigat1on Relating 

to the Alleged Manipulation by BP of the Next-Day Natural Gas Market at Houston Ship Channel During October and November 2008 

Request for Information on the Entity Futures, Inc., Founded in 1948 and Closed Before 1989 

Request for all Documents Provided by Wells Fargo Bank to the Div1s1on of Enforcement after February 2, 2011 Relating to (b)(6) 

Request for a Copy of the DIvIsIon of Enforcement's AdmInistratIvc Staff Manual and Instructions to the Staff 

Request for a Copy of all Statements Filed with the General Counsel between January 1, 2006 and April 30, 2011, by Former Commission Members or 

Employees Who W1th1n Two Years After Leaving the CFTC Were Employed or Retained by Outside Parties on Matters In Which They Expected to Appear 

Referral from the Department of the Treasury Regarding Reports Produced by the President's Working Group on F1nanc1al Markets for the Past Five 

Request for Historical Data on Maintenance Margin Requirements and Jnitial Marin Requirements for all Contracts Covered by the (FTC 

Request for Information Regarding all Reported Enforcement Tips, Complaints, and Incidents of Fraud or Wrongdong Involving Potential VIolat1ons of 

·~· ... , '" 

Request for Copies of Chairman Gary Gensler's Calendar for the Period Covering May 25, 2010 through the Present, Including Meetings, Phone Calls, 

Consent Order, Robert A. Nagy, CFTC Dock! No. 84-28 

Request for Copies of Documents Sent in Response to Previous FOIA Request filed by Ann Davis and Chp Cummins of the Wall Street Journal on August .. Request for a List of FO]A requests from 2010 at>out Which a Politcal Appointee (Person Appointed under Schedule C. a Non-Career Member of the SES, 

or Senate-Confirmed Appointee) Personally Made an Inquiry, Personally Reviewed, or Personally had a Hand In the Disposition of the Request 

Request for Information on Personal Account With Global Analytics Futures 

List of Meetings In Calendar Year 2010 Between Employees of the CFTC's Office of Inspector General and White House Officials 

Request for Copy of the Interagency Agreement Between the CFTC's Office of Inspector General and the Treasury Inspector General to Investigate the 

Granted In Full 

Granted/Denied in Part 

Other Reasons - No records 

Granted In Full 

Granted In Full 

Granted In Full 

Completely Affirmed 

Completely Affirmed 

Granted In Full 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

Granted/Denied in Part 

Denied In Full 

Granted/Denied in Part 

other Reasons - No records 

Granted/Denied in Part 

other Reasons· Request withdrawn 

Granted/Denied in Part 

Other Reasons - Public Records 

other Reasons - No records 

Other Reasons - Request withdrawn 

Granted In Full 

Denied in Full 

Other Reasons - No records 

Granted In Full 

Other Reasons - Request withdrawn 

Granted in Full 

Other Reasons - No records 

Granted in Full 

other Reasons - Request withdrawn 

Granted/Denied in Part 

Granted In Full 

Granted In Full 

Granted in Full 

Other Reasons - Not an agency record 

other Reasons - No records 

Granted In Full 
11-00115-FOIA 617/2011 Request for A List of Complaints or Requests for InvestIgatIon Received by the CFTC Office of Inspector General In Every Calendar Year Between 2000 other Reasons· Request withdrawn

11-00116-FOIA 

11-00117-FOIA 

11-00118-FOIA 

11-00119-FOIA 

00-00120-FOIA 

11-00121-FOIA 

11-00122-FOIA 

11-00123-FOIA 

11-000124-FOIA 

11-00125-FOIA 

11-00003-REF 

11-00004-REF 

11-00126-FOIA 

11-00009-FPA 

11-00127-FOIA 

11-00128-FOIA 

11-00129-FOIA 

11-00130-FOIA 

11-00010-FPA 

11-00011-FPA 

11-00131-FOIA 

11-00133-FOIA 

11-00134-FOIA 

11-00132-FOIA 

11-00135-FOIA 

11-00136-FOIA 

11-00137-FOIA 

11-00138-FOIA 

11-00139-FOIA 

11-00140-FOIA 

11-00141-FOIA 

11-00145-FOIA 

11-00142-FOIA 

617/2011 

6/9/2011 

6/9/2011 

6/9/2011 

619/2011 

6/17/2011 

6/20/2011 

6/21/2011 

6/20/2011 

6/30/2011 

7/1/2011 

6/16/2011 

6/27/2011 

7/13/2011 

6/22/2011 

6/29/2011 

7/7/2011 

711/2011 

7127/2011 

7/27/2011 

7/22/2011 

7/28/2011 

8/12/2011 

7/21/2011 

8/23/2011 

7/21/2011 

8/29/2011 

8/29/2011 

9/9/2011 

9/1/2011 

9/1/2011 

7/20/2011 

9/8/2011 

Request for List of lnvestIgatIons the CFTC Office of Inspector General Closed Calendar Year 2010; the Date the CFTC's Wh1stleblower Hotline became 

Operational; and the Number of Full-Time Employees Working In the Office of Inspector General at the End of Calendar Year 2010 

Request for Copies of Resumes of Schedule C Employees Appointed from August 15, 2009 to May 15, 2011, Non-Career Members of the SES Employed ,. " '" Request for a List of Reports the Agency Made to Congress In 2010 that were Mandated In Statute and to Whom They Were Sent; and a List of the 

Request for a Copy of All Writtten Communications to the Speaker of the House, John Boehner (R·OH) or Chair of the House Committee on Oversight .. "· . Request for List of All Personnel Appointed as a Senate-Confirmed, Non-Career Member of the SEC, and Schedule C Between January 20, 2001 and May ,. 

Request for tick data on E-min1 S&P 500 futures from 1997 to 2009 (initial request processed t,y OMO 12-23-2010) 

Request for Information on Maskana, SA 

Request for General Information on Commodity Futures Trading 

Information or Records Regarding Implementation of Dodd-Frank VJ! from May 1, 2011 through June 20, 2011, Including Documents and Emails 

,H, ',. .. Request for Any and All Documents or Other Records, Created or Obtained on or After January 1, 1985 Containing the Names of Certain Individuals and 

FOIA Referral from Federal Reserve System Relating to (f]urther detail on information contained on page 3 of the minutes of the Board of Governors of 

" NFA Referral of Non-Public Registration Documents on file with NFA for Timothy D. Lyons 

Request for Information on Disclosure Documents used by a Commodity Pool Operator 

Request for all Documents that Relate to the EEO Complaint Filed by(b)(6) and that Refer to(b)(6) Directly 

Request for Copies of Commun1catIons from 2002 to the Present Between the CFTC and Any Member of Congress and Any Member of the Adm1n1strat1on 

of the President of the United States Referring to the Collection of Fines, Penalties or Rest1tutionary Awards Jmposed Against Any Ind1v1dual or Entity 

Request for CFTC Study Submitted in 1984 to H.R, Comm. on Agriculture and Sen. Comm. on Agriculture, Nutrition and Forestry, titled "A Study of the 

Request for Copies of CFTC FOIA Logs from January 2010 to the Present 

Request for CFTC Reports Regarding the Impact of Speculation on the Prices of Physically-Settled Crude 011 Futures; Request for CFTC Records 

Request for all 1nformat1on that relates to any and all complaints, formal or informal, made to the Commission's EEO office that pertains to (b)(6) 

h1/R1

Request for 1nformat1on that releates to any and all complaints, formal or informal, made to the Comm1ss1on's EEO office that pertains to(b)(6) 

bl/61

><equest ror a copy of outstanding FO]A requests 10-00013 and 10-00044 

Request for access to and copies of all databases containing Informat1on related In any way to travel by CFTC employees and/or financed by the CFTC 

Request for a Copy of a 2011 Request from a Member of Congress asking for Copies of Confidential, Section 8 Data; and Request for any 

Communications between the CFTC, the Hill, and/or Industry Participants which Discuss Concerns about the Fact that this Confidential Data was 

In the Matter of G. Victor Johnson, 11, McGladrey & Pullen, LLP, Altschulder, Melvo,n & Glasser, LLP, (FTC Doeket No. 11-01 

Request for Records and Data Relating to CFTC's FIndIng that IntercontInentalExchange's Henry Financial LOI Fixed Price Contract Performs a S1gnif1cant 

Price Discovery Function; and All Records and Data Underlying the Office of the Chief Economist's Study on the Economic Analysis of Pnce Discovery on 

Request for Standard Forms 50 (SF-505) for all Employees Earning $225,000, or more per Year In Total Compensation 

Copy of Records that Discuss Or Identify the Extent of Record Losses by the NYBOT as a Result of the Destruction of the NYBOT Offices in Terrorist 

Attack In September 2001; and Copy of Any Reports that Discuss or Describe the Destruction of the NYBOT Offices In the WTC BuIldIng In September 

Request for Copy of any and all CFTC Reports that Discuss or Identify the Extent of Records Losses by CFTC In Regard to the Destruction of the CFTC 

.. '" 

Request for copies of all correspondence between CFTC staff and any member, committee, or employee of Congress related to the denvatIves and/or 

payment, clearing and settlement systems sections of the f1nancIal regulatory reform proposals between February I, 2009 and the present 

Request for copies of any correspondence between CFTC and Congressman Sean Patrick Duffy, of WIscons1n's 7th Congressional District, from 2011 to 

Request for any and all information pertaining to complaints, reports, d1sc1plinary history, opInIons, order-sand disc1pl1nary actions aga1nst(b)(6) 

FOIA Request Related to PosItIon Limits 

Request for the names and address of all commodity futres exchanges In the United States and International 

Granted In Full 

Granted/Denied in Part 

Granted In Full 

Granted In Full 

Granted In Full 

Granted in Full 

other Reasons - No records 

other Reasons • Public Records 

Other Reasons - Request withdrawn 

Other Reasons - Request withdrawn 

Denied In Full 

Granted/Denied in Part 

Other Reasons - Public Records 

Other Reasons - Not a proper FOJA 

Granted/Denied in Part 

Other Reasons - Public Records 

Granted In Full 

other Reasons • No records 

Denied In Full 

Denied In Full 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

Granted In Full 

other Reasons· Request withdrawn 

other Reasons • Public Records 

Granted/Denied in Part 

other Reasons - No records 

other Reasons - No records 

Granted/Denied in Part 

Other Reasons - No records 
11-00005-AP 9/14/2011 Appeal of FOIA 11-00136 seeking SF-50s of Employees Earning $225,000+ Partially Affirmed & Partially 

11-00144-FOIA 8130/2011 Request for copies of internal agency memos or correspondence or documents that review or discuss the merits and/or disadvantages of 1Pads and/or Other Reasons - No records 

11-00146-FOIA 9/16/2011 Request for a 11st of public employee 1nformat1on for all current CFTC employees including name, Job title, department name, annual salary, off1c1al email Granted ,n Full 

11-00147-FOIA 9/14/2011 Request for documents, communications and contracts related to external communications and put>lic relations for (FTC from September J 2008 Granted/Denied in Part , , 

11-00148-FOIA 9/14/2011 Reqeust for any and all data, sttudies, reporst, analyses, opinions, or other documents reviewed, considered or relied upon by the (FTC prior to Other Reasons - No records 

December 22, 2010 in formulating its proposed rules regarding Minimum Centalized Market Trading Percentage Requirements included in its Notice of 

11-00149-FOIA 9114/2011 Information or records regarding the CFTCs dec1s1on to allow CME to ~cep clients from shifting futures posItIons to ELX Granted/Denied in Part 

11-00150-FOIA 9/19/2011 Request for Comment File 92- 10, specifically 1nclud1ng but not limited to correspondence and all attachments, memoranda and notes, drafts and Other Reasons - Public Records 

11-00151-FOIA 9/16/2011 Request for records regarding Declaration of (b)(6) IncludIng but not limited to correspondence and all attachments, memoranda, notes Granted/Denied in Part 

11-00152-FOIA 9/14/2011 Concerning In re L1bor-Based FInanc1al Instruments Antitrust Litigation, MDL No 2262, FTC Capital GmbH, et al v. Credit Suisse, et al , Civil Action No Denied In Full 

" 11-00143-FOIA 9/8/2011 Names and addresses of all commodity and futures exchanges ,n the U.S. and Internationally. Granted in Full 

11-00153-FOIA 9/26/2011 A copy of the FOIA log to the CFTC from Jan I, 2011 to the present. Granted ,n Full 

11-00154-FOIA 9/20/2011 Request for responsive documents sent In response to FOJA requests 11 0051 and 11 00060 Granted/Denied In Part 

11-00155-FOIA 9/23/2011 Request for pcrmIssIon to use CFTC data for use in general mar~etIng collateral Other Reasons - Not a proper FOIA 

11-00156-FOIA 9/29/2011 Information, documents, data and/or records In the Matter of: Moore Capital Management, LP, Moore Capital Advisors, LLC and Moore Advisors, Ltd., Denied ,n Full .. ","' ," 

11-00157-FOIA 9130/2011 Request for doscumcnts, handbooks or writings of any ~,nd from or by CFTC staff defining what an error Is with respect to large trader reporting Granted ,n Full 

11-00158-FOIA 9/30/2011 Request for complete phone and email directory of CFTC personnel Granted in Full 

11-00159-FOIA 9/30/2011 Request for a 11st of Government Purchase card holders that include phone numbers, email addresses, and physical addresses Granted In Full 

11-00160-FOIA 9130/2011 Request for 1nformat1on, notes, and dcc1s1on for the review and InvcstIgatIon of the Sonador PONZI scheme Granted/Denied in Part 

11-00161-FOIA 9/30/2011 Freedom of Information Act Request for Records for Steven Jude Hoffenberg and Jeffrey Epstein Denied in Full 

12-00001-FOIA 10/5/2011 Request for 1nformat1on on complaint 89 R300 other Reasons • No records 

12-00002-FOIA 10/5/2011 Request for Updated Employee Handbook, Personnel Instructions, PolIcIes, Memoranda, Records, Management Directives between Sctembcr 1, 2010 Granted/Denied in Part 

12-00003-FOIA 10/5/2011 Request for copies of all written statements, with exhit>1ts, taken from the officers, owners or emloyees or third party contractors relative to Global Asset Granted/Denied in Part 

" 12-00004-FOIA 10/5/2011 Request for all pub I Ic documents regarding reparation case number 82-R2 1 7, involving Kenneth T opin Granted in Full 

12-00001-REF 10/12/2011 Publicly Available Registration Documents and Related Information on File with NFA for Options 2 Futures LLC and Christopher Anthony Smithers Granted/Denied ,n Part 

12-00005-FOIA 10/6/2011 Request for Information or Records Regarding Transcnpt(s) of any InvestIgatIve Testimony Given Under Oath In CFTC Docket No, 11-01; In the Matter Other Reasons - Request withdrawn .. . . 12-00006-FOIA 10/14/2011 Request for CFTC's Opinion on Knoc~-in-Knock-Out (KIKO) Exchange Hedge Option Product Other Reasons - No records 

12-00007-FOIA 10/6/2011 Request for any document, communication, correspondence, letter, email, notes of conversations, memoranda, affidavit, declaration, transcript, witness Other Reasons - Fee-related reason 

statement, or customer complaint relating to Global Asset Management, Inc. during the period January J, J 996 through March 31, 2000 

12-00008-FOIA 10/7/2011 Request for Statement of Work; contractor final reports, and the contractor presenatIons sl1des/powerpoint presentations associated with CFTC Contract Granted/Denied in Part 

12-00009-FOIA 10/14/2011 Request for all email or written communications between the Office of the Chairman and the New York Federal Reserve and Federal Reserve System Other Reasons - No records 

" 

12-00010-FOIA 10/14/2011 Request for Historical Data on Maintenance Margin Requirements and Jnitial Margin Requirements for various futures contracts Granted in Full 

12-00011-FOIA 1017/2011 Any information pertaining to metals positions and transaction by Daniel Shak, between January 1, 2008, and January 31, 2010. To include all reports, other Reasons • No records 

Inqu,rIes, hedge exemptions, meeting notes and interactions with (CFTC, NFA, COMEX, NYMEX and CME) regarding the same. Shak Is associated with 

names· SHK Diversified, SHK Asset Management, Valhalla Capital Advisors, Sterling Commodities and Saphire Asset Management. 

12-00012-FOIA 10/6/2011 Requested the addresses of CFTC Chicago and a few (outside) cntItIcs. Granted ,n Full 

12-00013-FOIA 10/6/2011 Requests CFTC's FOJA Log for 2010, seeking requestor name, request number and description of request. Granted in Full 

12-00014-FOIA 10/12/2011 Request for an index of all maior 1nformat1on systems of the agency; a descnption of major information and record locator systems; and a handbook for Granted ,n Full 

12-00002-REF 10/20/2011 Referral from OGE -- Request for CommunIcatIons between OGE and the CFTC between January 1, 2010 and the Present Granted/Denied in Part 

12-00003-REF 10/21/2011 For all records pertaining to the requestor, (b)(6) Granted/Denied in Part 
Granted ,n Full 

bl/61 ,I all cwatI □□ ,I doc11we ta1, □□ celati □□ lo ~bl/61 

12-00015-FOIA 

12-00001-FPA 10/18/2011 Request for all 1nformat1on and documents relating to the CFTC's investIgatIon of Wells Fargo Bank, NA resulting from the complaint submitted by

10/18/2011 Request for Cert1f1ed Copy of Registrat1on/Bus1ness Records for L&R DradIng Corporation, LLC Other Reasons - No records

12-00016-FOIA 10/31/2011 Request for all communications and records from to or about CBOE or CME regarding their respective potential relocations Other Reasons - No records

12-00017-FOIA 11/2/2011 Request for all economic analysis about posItIon limits for futures and swaps Granted/Denied in Part

Request for all 1nformat1on, recordings (tape recorded and typed), notes the CFTC or ,ts court reporter has regarding subpoena and related IntervIew Granted ,n Full 

h1/R1 

12-00019-FOIA 

12-00018-FOIA 10/25/2011

11/2/2011 Request for a copy of the recent report on Price Reporting Agencies (PR As} conducted by the ]OSCO Other Reasons - Request withdrawn

12-00020-FOIA 11/9/2011 A list of any and all direct exam1natIons/aud1ts of registrants the CFTC has conducted in the last 10 years to ensure high quality work by SRO's Granted In Full

11/9/2011 Request for documents and company statements collected by 1nvestigatocs from the Cliff Lacson Company made to the CFTC or the NFA pertaInIng to an other Reasons - No records 12-00021-FOIA 

1114/2011 Request for Copies of Records Relating to Four External Meetings Regarding the Implementat,on of the Dodd-Frank Act between the CFTC and Granted ,n Full 12-00022-FOIA ,, 12-00004-REF 1117/2011 NFA Referral·· Request for Non-Public Documents of MF Global FX LLC Granted/Denied in Part

Request appeals the production of a CFTC travel log. The attached response was not correct for the following reasons, !)Names of employees, whose Completely Reversed/Remanded 

salaries come from taxpayer funds, were removed re: b(6), JunketSleuth is posting data for those same taxpayers to view. 2)No spec1f1c explanation 

was provided as to why certain names were withheld. 3)Concern1ng b(6), Congress has stated, "Since only a clearly unwarranted invasion of privacy Is a 

12-00001-AP 11/7/2011

12-00023-FOIA 11/15/2011 Request for a copy of any and all lettecs or communications regarding Gary Gensler's recusal from the MF Globbl 1nvest1gat1on Granted/Denied in Part

11111/2011 Request for copies of all documents used by or on which the CFTC relied to support te allegations of Paragraph C ("FACTS") of the Order InstItutIng Granted/Denied in Part 

Proceedings Pursuant to Sections 6(c) and 6(d) of the CEA, as amended, Making FIndIngs and Imposing Remedial Sanctions In the Matter of Forex 

12-00024-FOIA 

- " ,~.n, 

11/14/2011 Request for any and all records of communication between any CommIssIoner, off1c1al, employee or representative of the CFTC and any officer, Granted/Denied in Part 

employee or representative of MF Global Holdings, Lid. and/or MF Global Finance USA, Inc , and (2) Request for any and all records of commun1catIon 

between any Commissioner, offIcIal, employee or representative of the CFTC and any offIcIal, employee or representative of any other agency, 

department or office of the federal government regarding, concerning or related to MF Glot>al Holdings, Ltd. and/or MF Global Finance USA, Jnc. 

12-00025-FOIA 

12-00026-FOIA 11/10/2011 Request for copies of correspondence to and from the Department of Justice, United States Bankruptcy Court, Blount County Sheriff's Department; and Other Reasons - Fee-related reason _, 

12-00027-FOIA 11/17/2011 Request for Respondents' Offer of Settlement, including Appendix A In the Matter of Northstar International Group, lnc CFTC Docket No. 11-06 Denied In Full

10/27/2011 Request for General Information and Glossary Granted ,n Full 12-00028-FOIA 

12-00005-REF 11/18/2011 Request for a Copy of Cert1/led F1nanc1al Statements for RJ O'Brien Associates LLC, NFA 'r187 Granted/Denied ,n Part

12-00029-FOIA 11/21/2011 Request for contact data for registered memt>ers of NFA, and (FTC email subscriber list Granted/Denied in Part

11/21/2011 Request for proof of notice of service or delivery issued June 19, 1989 Granted ,n Full 12-00030-FOIA 

12-00031-FOIA 11/21/2011 Request for copies of all records of communIcatIon between the CFTC and MF Global since October 14, 2011 Granted/Denied in Part

12-00032-FOIA 11/17/2011 Request for copies of all minutes and/or transcripts or records of external meetings between Cargill, Cargill Risk Management, or Cargill Inc and the Granted/Denied in Part .. 12-00033-FOIA 11/21/2011 Request for documents ,n connnection with CFTC audit and/or InvetIgation into MF Global and aff1l1ates Other Reasons· Request withdrawn

12-00034-FOIA 11/29/2011 Request for a copy of any InvestIgatIon documents or correspondence regarding various companies from January 1, 2009 to the present Other Reasons - No records

12-00035-FOIA 11/30/2011 Request for information or records regarding MF Global, Inc. CFTC Form J-FR-FCM for the period of 3/1/2011 - 9/30/2011, and MF Global information Granted/Denied in Part

- .. ." 

12-00036-FOIA 12/1/2011 Request for correspondence between the CFTC and MF Global Trading relating to the use of subordinated loas as net regulatory capital between May Granted/Denied in Part 

2010 and date of request, correespondence t>etween (FTC and MF Global relating to the impact of sovereign debt exposure on MF Global's net 

regulatory capital t>etween Septemt>er 2010 and date of request; correspondence t>etween (FTC and FINRA regarding MF Glot>al 

12-00037-FOIA 12/6/2011 Request for records regarding historical CME margins for metal and energy futures contracts Other Reasons· Request withdrawn

12-00038-FOIA 12/1/2011 Request for total monthly open outcry floor trading volume for Heating Oil and Natural Gas from 1990 through 2000; and request for broker to broker Other Reasons - No records _., 

12-00039-FOIA 11/2/2011 Request for information to be put>lished in the Federal Register Other Reasons - No records

12-00040-FOIA 12/8/2011 Request for records regarding F1nancIal and Operational Combined Uniform Single (FOCUS) Reports on MF Global Granted/Denied in Part

12-00006-REF 1217/2011 Request for Public ad Non-Public Documents regarding Nathan Lunt Granted/Denied in Part

12-00007-REF 12/8/2011 Request for records concerning Dairy Farmers of America's trading In the CME Class lll Milk futures contract and Cheese Spot Callmarket (blocks and other Reasons - Duplicate Request

12-00041-FOIA 12/8/2011 Request for records concerning Dairy Farmers of America's trading In CME Class lll Milk futures contract; and records concerning DFA's purchases, Granted/Denied in Part

- 12-00042-FOIA 12/9/2011 Request for all records related to Directo A Mexico Program other Reasons • No records

12-00043-FOIA 12/13/2011 Request for electronic copy of records and correspondence provided to Chairman Issa ,n response to his January 2011 inquiry regarding CFTC's Granted ,n Full
12-00044-FOIA 12/13/2011 Request for date of phone call to Andrew Ridenour Granted ,n Full 

12-00045-FOIA 12/14/2011 Request for time series data on margin requirements for conmmod1ty futures Other Reasons - No records 

12-00046-FOIA 1/11/2012 Request for all communications between Acting Chairman Walter Lukken and the Futures Industry Assoc1at1on between June 27, 2007 and January 20, Granted 1n Full 

12-00047-FOIA 1/9/2012 Request for copies of the 2010 and 2011 presentations and/or reports by Promontory to MF Global, MFGlobal Audit Committee, or MF Glob1al Audit and Granted/Denied in Part 

12-00048-FOIA 113/2012 Request for most recent monitoring report for Schuyler Head Start Inc., located in Montour Falls, "' Other Reasons • No records 

12-00002-AP 12/21/2011 Appeal of 12-00008-FO]A Partially Affirmed & Partially 

12-00049-FOIA 12/1/2011 Request for all documentation regarding the maintenance of assets by MF Global for the period of October 17, 2011 through October 13, 2011, including 

,0 '" 

Denied in Full 

12-00050-FOIA 1/18/2012 Request for copies of correspondence to and from the Commission regarding the Commission's foreign futures and options rules Granted/Denied in Part 

12-00051-FOIA 1/18/2012 Request for statements filed with the Office of General Counsel between January 1, 2001 and December 31, 2011 by former members or employees 

who within 2 years after leaving the CFTC were employed or retained by outside parties on matters ,n which they were expected to appear before the 

Granted ,n Full 

12-00052-FOIA 1/19/2012 Request for a copy of the independent review and assessment of MF Global conducted by Promontory F1nanc1al Group as part of a December 2009 Granted/Denied in Part 

12-00053-FOIA 12/21/2011 Request for list of Jeff Epstein 1nvest1gat1on documents other Reasons • No records 

12-00054-FOIA 1/24/2012 Request for MF Global, Inc. reports, written commun1cat1ons, and all internal records concerning MF Global and/or its parent(s) and/or affl1ate(s) Granted/Denied ,n Part 

12-00055-FOIA 1/23/2012 Request for records regarding the CFTC's choice of a SlPC-led liquidation as the appropriate mechanism to l1qu1date MF Global Granted/Denied in Part 

12-00056-FOIA 1/23/2012 Request for general information about commodity futures and trading Granted 1n Full 

12-00057-FOIA 1/31/2012 Request for logs of communications between members of Congress and the CFTC, including letters, emails, facsimiles, telephone or voice mall messages Granted/Denied ,n Part 

12-00058-FOIA 211/2012 Request for access to and a copy of Wright County Commun1cty Action, Inc. head Start Records (Grant #OSCH4131) Other Reasons - No records 

12-00059-FOIA 1/31/2012 Request for registration informtion for Karl Peters Granted/Denied in Part 

12-00060-FOIA 1/20/2012 Constituent complaint regarding CFTC action Granted/Denied in Part 

12-00061-FOIA 213/2012 CFTC Docket No. 11-06; Request for copy of Offer of Settlement and Appendix A Denied ,n Full 

12-00062-FOIA 2/6/2012 Request for copies of various correspondence and appl1cat1ons for relief relating to Comm1ss1on Orders dated March 17, 1989, February 27, 1997, and 

" 

Granted 1n Full 

12-00063-FOIA 217/2012 Meetings with the Securities Industry and Financial Markets Assoc1at1on (SIFA) Granted/Denied in Part 

12-00064-FOIA 2/10/2012 Pos1t1on Limits Granted/Denied in Part 

12-00008-REF 6/16/2011 Robert Nagy registration docs NFA#37192 NFA#257764 Granted/Denied in Part 

12-00065-FOIA 2/8/2012 Written determ1nat1ons under 18 U.S.C. 208(0)(1) and {b){3) other Reasons • No records 

12-00066-FOIA 216/2012 Annual Compensation Granted/Denied in Part 

12-00067-FOIA 4/10/2012 MF Global Granted/Denied in Part 

12-00068-FOIA 2/16/2012 FSA response to CFTC's November 30, 2007 letter Other Reasons - No records 

12-00069-FOIA 2/16/2012 General information Granted in Full 

12-00070-FOIA 2/23/2012 Masters Capital Management Granted 1n Full 

12-00071-FOIA 2121/2012 Correspondence to Congresman Michael Coffman Other Reasons - No records 

12-00072-FOIA 2/27/2012 Manipulation ofo1I prices by Morgan Stanley Granted/Denied in Part 

12-00073-FOIA 3/6/2012 Comm1ss1oner's federal salaries Granted ,n Full 

12-00003-AP 3/12/2012 Appeal of 12-00053 Other Reasons - No records 

12-00074-FOIA 3/15/2012 Sarbanes-Oakley Act other Reasons - No records 

12-00075-FOIA 3/14/2012 Public meetings sign-in sheets Granted/Denied in Part 

12-00076-FOIA 3/23/2012 Section 508 of the Rehat>1l1tation Act Granted/Denied in Part 

12-00077-FOIA 3/27/2012 Spot prices and long/short positions on commodities other Reasons - Not an agency record 

12-00078-FOIA 3/19/2012 Five most recent IG 1nvest1gat1ve reports Granted/Denied in Part 

12-00079-FOIA 3/23/2012 Ed1scovery Search and Retrieval System Task Order Award Granted/Denied in Part 

12-00080-FOIA 3/23/2012 S. David Friedman, Intercap International, Inc. and the Whitehall Trust Granted ,n Full 

12-00081-FOIA 3/30/2012 Report and any attachments to the March 2012 report of the T]GTA Inspector General Granted/Denied in Part 

12-00082-FOIA 3/29/2012 Mod1f1ed request for answer and complaint 1n DiPlac1do, CFTC No 01-23 Granted 1n Full 

12-00083-FOIA 413/2012 Complaint and Answer In re David Henner Granted ,n Full 
12-00084-FOIA 4/5/2012 A copy of the last three RERs for CME Group Inc other Reasons • No records 

12-00085-FOIA 4/5/2012 Copy of the CFTC's FOJA log between July 2011 and the present day Granted in Full 

12-00086-FOIA 4/5/2012 All prior or subsequent documents pertinent to MF Global from the Chairman's office other Reasons - No records 

12-00087-FOIA 414/2012 Publicly available reg1strat1on records for BR! Partners LLC Granted/Denied in Patt 

12-00088-FOIA 4/4/2012 Rabar Market Research, Inc. Financial Statements Denied in Full 

12-00089-FOIA 4/9/2012 Number of employees in the Division of Enforcement Granted 1n Full 

12-00090-FOIA 4/13/2012 July 20, 1989 Exemption Letter to Grosvenor futures Management Other Reasons - No records 

12-00091-FOIA 4/13/2012 Commodity Pool Operators other Reasons - No records 

12-00092-FOIA 4/12/2012 Current contracts for onl1ne legal research Granted/Denied in Patt 

12-00093-FOIA 3/14/2012 Letters on settlement prices 1n ag commod1t1es on CST Granted/Denied in Patt 

12-00094-FOIA 4/23/2012 Treasury lnspector General for Tax Adm1n1strat1on's Inspector General Report Granted/Denied in Part 

12-00095-FOIA 4/24/2012 MF Global Records Granted 1n Full 

12-00096-FOIA 4/26/2012 MF Global Granted/Denied in Patt 

12-00097-FOIA 4127/2012 SF·50's Granted/Denied in Patt 

12-00098-FOIA 4/27/2012 Wh1stleblower reports Granted 1n Full 

12-00099-FOIA 4/30/2012 Letter dated November 4, 2011 Granted/Denied in Patt 

12-00100-FOIA 5/3/2012 Heritage Management Company, LLC reg1strat1on exemption Granted 1n Full 

12-00101-FOIA 5/4/2012 NFA Case Numt>er 11-BCC-008 Other Reasons - No records 

12-00102-FOIA 5/11/2012 Financial Fraud Enforcement Task Force Granted/Denied in Part 

12-00103-FOIA 5111/2012 Volume Investors Corporation, Report of the D1v1s1on of Trading and Markets (July 1985). Other Reasons - No records 

12-00104-FOIA 5/11/2012 #CFHRB-12-D0-0126 Granted/Denied in Patt 

12-00105-FOIA 5/14/2012 RFQ CFIT-11-50-0065 other Reasons - Request withdrawn 

12-00106-FOIA 5114/2012 Records provided 1n 10-00013 FOIA Other Reasons - Request withdrawn 

12-00107-FOIA 5/18/2012 Request for records referenced in 12 00057-FOIA Granted/Denied in Patt 

12-00108-FOIA 5/18/2012 FOIA requests received regarding invest1gat1on of energy futures and derivatives markets other Reasons • No records 

12-00004-AP 5/18/2012 Appeal of 12-00049-FO]A Completely Affirmed 

12-00109-FOIA 5/21/2012 Heritage Managmeent Company, LLC and/or Aubrey Mcclendon other Reasons - No records 

12-00110-FOIA 5/21/2012 Rosenthal Collins Group, LLC Granted/Denied in Patt 

12-00111-FOIA 5/24/2012 Goldman Sachs & Co Granted/Denied in Patt 

12-00112-FOIA 5/25/2012 Hight Street Capital Management LLC (HSC) and High Street Financial, Inc. (HSF) Granted 1n Full 

12-00113-FOIA 5/24/2012 Correspondence to Senator Scott P. Brown Granted 1n Full 

12-00114-FOIA 5/24/2012 Correspondence to Senator Scott P. Brown Granted 1n Full 

12-00115-FOIA 6/4/2012 TIGTA Report Granted/Denied in Patt 

12-00116-FOIA 6/6/2012 CFTC Docket No. u 06, Northstar Other Reasons - Not an agency record 

12-00117-FOIA 6/6/2012 General information other Reasons - Not a proper FOIA 

12-00118-FOIA 6/6/2012 CFTC v Global Currencies, '" , Leon Lev1t1s, et al, CFTC Docket No. 97-13 Granted/Denied in Part 

12-00llg-FQIA 6/12/2012 Interactive Brokers Granted/Denied in Patt 

12-00005-AP 6/12/2012 Appeal of 12-00097-FOIA Partially Affirmed & Partially 

12-00120-FOIA 6/12/2012 Puerto Rican Family Institute other Reasons - No records 

12-00121-FOIA 6/13/2012 Chairman Gensler's Travel Records Granted/Denied in Patt 

12-00122-FOIA 6/15/2012 Dennis R. Bolze, Centurion Asset Management and/or Advanced Trading Services Other Reasons - No records 

12-00123-FOIA 6/20/2012 Head Start Grant Awards other Reasons - No records 

12-00124-FOIA 6/18/2012 CFTC Invest1gat1on of Moore funds Other Reasons - Request withdrawn 

12-00125-FOIA 6/28/2012 Sol1c1tation # CFIT09BP00800TOOO Granted/Denied in Part 

12-00126-FOIA 7/5/2012 All emails between former CFTC Commissioner Michael Dunn and his son Matthew Dunn, all emails between Michael Dunn and anyone working at Patton Granted/Denied in Patt 

12-00127-FOIA 715/2012 In re Opt1ver Commod1t1es Ut1g. Denied 1n Full 

12-00128-FOIA 7/11/2012 Last audited financial statement of Peregrine Financial Group Granted/Denied in Patt 
12-00129-FOIA 7/13/2012 PeregIne FInancIal Group Audit Report Granted/Denied in Part 

12-00130-FOIA 7(17/2012 Peregrine Financial Group invest1gat1ve work papers Granted/Denied rn Part 

12-00131-FOIA 7/17/2012 List of exam1natIons/1nspect1ons/audIts of Peregrine FInanc1al Group Granted/Denied in Part 

12-00132-FOIA 7/18/2012 Ruic enforcement reviews Granted In Full 

12-00133-FOIA 7/18/2012 Audited financial statements of FCMs for CY 2011 Granted/Denied rn Part 

12-00134-FOIA 7/18/2012 Rule 30.10 exemption issued June 1989 to MF Global UK Granted In Full 

12-00139-FOIA 811/2012 InvestIgatIon of Anthony Klatch and TASK Capital Partners Denied In Full 

12-00140-FOIA 8/6/2012 CFTC review of Peregrine Financial Group Granted/Denied in Part 

12-00141-FOIA 8/6/2012 Metal warehouses licensed or listed by the London Metal Exchange Granted/Denied in Part 

12-00142-FOIA 811/2012 2010 InvestIgatIon of Morgan Stanley and ICE Other Reasons - No records 

12-00143-FOIA 8/7/2012 Letters to and from Congressional Committees and Members of Congress Granted/Denied in Part 

12-00144-FOIA 817/2012 David Meister Recusals Granted/Denied in Part 

12-00145-FOIA 8/8/2012 Investigation of possi t>le man1pulaton of cotton and cotton futures markets rn 20 11 Other Reasons - Request withdrawn 

12-00146-FOIA 8/10/2012 General information on CFTC Granted In Full 

12-00147-FOIA 8/8/2012 Copy of 1987 CFTC Ruic 30.7 Other Reasons - Public Records 

12-00148-FOIA 8/8/2012 CFTC Inspector General Report on the Volcker Rule Other Reasons - No records 

12-00149-FOIA 8/16/2012 Statement of work for CFTC Contract CFHRB12D00095 Granted/Denied in Part 

12-00150-FOIA 8/16/2012 Statement of work for CFTC contract CFFM108P0143 Granted/Denied rn Part 

12-00151-FOIA 8/16/2012 Statement of work for CFTC contract CFEN09C00236 Granted/Denied in Part 

12-00152-FOIA 8/20/2012 Correspondence to and from Cong. Paul Ryan Other Reasons - No records 

12-00153-FOIA 8/20/2012 Request for deposition transcripts in CFTC vs Paron Capital Management,LLC, & James Crombie Granted/Denied In Part 

12-00154-FOIA 8/20/2012 Correspondence to and from Rep Paul Ryan Granted In Full 

12-00155-FOIA 8/20/2012 In the Matttcr of Goldman Sachs Execution & Clearing, L.P., CFTC Docket No. 12-16 Other Reasons - Request withdrawn 

12-00156-FOIA 8/23/2012 CFTC v. Arjent Capital Markets, LLC, Chicago Trading Managers, LLC, Spencer Montgomery and Brian Reynolds, Case No. 12-CV-1832 Other Reasons - Request withdrawn 

12-00157-FOIA 8/31/2012 Records regarding the President's Working Group on Financial Markets Granted In Full 

12-00158-FOIA 9/5/2012 Copy of CFTC-OIRA MOU Granted/Denied rn Part 

12-00006-AP 9/6/2012 Appeal of FOIA 12-0002 seeking MF Global records Completely Affirmed 

12-00159-FOIA 9/10/2012 Reliance Capital Markets II LLC Broker Registration Applications other Reasons • No records 

12-00160-FOIA 9/11/2012 A listing of anyone and everyone who requested rnformat1on at>out Sentinel Management Group, Inc., during the period of January 1, 2003 thru August 

" 

Other Reasons - No records 

12-00161-FOIA 9/18/2012 Paron Capital Management LLC, James D. Crombie, Timothy D. Lyons, Peter), McConnon, JFC Ventures LLC and JDC Trading LLC Granted/Denied rn Part 

12-00162-FOIA 9/20/2012 Correspondence to and from Cong. Chris Murphy Granted In Full 

12-00163-FOIA 9/20/2012 General Information on Trading Granted in Full 

12-00164-FOIA 9/17/2012 A copy of the congressional correspondence log including control numbers and lawmaker requests since 1/1/12 Granted/Denied in Part 

12-00165-FOIA 9/27/2012 Information on (b)(6) Granted/Denied in Part 

12-00166-FOIA 9/20/2012 Correspondence from CME Group, Inc, regarding rule enforcement review of September 2010 Granted rn Full 

12-00167-FOIA 9/28/2012 Records prepared referring or relating to cost benefit analysis of agency rules and various Executive Orders Granted/Denied in Part 

13-00001-FOIA 10/5/2012 Personnel roster for FY 2009, 2010, 2011, and 2012 Other Reasons - Request withdrawn 

13-00002-FOIA 10/9/2012 Request for records regarding 1nvest1gatIon of(b)(6) other Reasons - No records 

13-00003-FOIA 10/9/2012 Request for Statement of Work Contracts. Granted/Denied in Part 

13-00001-FPA 10/10/2012 Request for documents related to professonal record Granted/Denied rn Part 

13-00004-FOIA 10/22/2012 Correspondence and responses from Chicago Mercantile Exchange and Norman Mains. IncludIng those dated 9/18/1996 and 10/31/1996. Granted In Full 

13-00005-FOIA 10/23/2012 All written and oral communIcatIons InvolvIng Intrade, PLC other Reasons· Request withdrawn 

13-00006-FOIA 10/23/2012 Michael Potter and Centurion Asset Management, and/or Advanced Trading Services Denied in Full 

13-00007-FOIA 10/25/2012 Audio recordings regarding Barclays Denied In Full 

13-00008-FOIA 1116/2012 Requests regarding Sentinel Management Group, Inc. Other Reasons - No records 

13-00009-FOIA 11/14/2012 CFTC's Budget Contingency Plans other Reasons - No records 

13-00010-FOIA 11/15/2012 Information or records re action involving Respondent, Bunge Global Markets Inc. CFTC 1'11·10 Other Reasons • No records 

13-00011-FOIA 11/19/2012 A copy of the Executive Compensation Study by Morgan Franklin Corp, pursuant to 4/6/2012 CFTC contract. Granted/Denied rn Part 
13-00002-FPA 11/19/2012 Two security interviews of(b)(6) prepared on or about November 2012 by L.A. Harding and Mark Borchers of Allied Barton Security Services, Granted ,n Full 

13-00013-FOIA 

13-00001-REF 

13-00014-FOIA 

13-00015-FOIA 

13-00016-FOIA 

11/23/2012 

12/4/2012 

12/11/2012 

12111/2012 

12/13/2012 

List of CFTC staff members assigned to work related to the F1nanc1al Stab1l1ty Oversight Council. 

Consultation request from SEC re(b)(6) SEC FOIA Request Nos. 12-07816 and 12-07617-FOIA 

General information on commodity trading 

Audits and Disclosure Forms filed for Samuel Berger Investment Company 1/1/1991 to 5/31/1996 

Information regarding CFTC Letter No. 12-49 - Alternative to Fingerprinting to Estat>lish Fitness of Principals Residing outside the United States, 

Granted In Full 

Granted/Denied In Part 

Granted In Full 

Other Reasons - No records 

Other Reasons - No records 

13-00017-FOIA 12/12/2012 Information regarding CFTC Letter No 12-22 -TIme-L1m1ted No-Action Relief· Swaps Only With Certain Pecsons to be Included In Calculation of 

Aggregate Gross Notional Amount for Purposes of Swap Dealer De MinImis Exception and Calculation of Whether a Person Is a Major Swap Part1c1pant. 

Granted/Denied in Part 

13-00018-FOIA 

13-00019-FOIA 

13-00020-FOIA 

13-00021-FOIA 

12/4/2012 

12/14/2012 

12114/2012 

12/17/2012 

Historical margin data 

Documents relating to Goldman Sachs & Co. and Steven A. Cohen 

Documents relating to trades between Goldman Sachs & Co. and various 1nd1v1duals and entItIes 

All letters, from January 1, 2009 to Decemt>er 17, 2012, between the US [FTC and Jeb Hensarling who represents the 5th Congressional District of 

Other Reasons - Request withdrawn 

other Reasons • No records 

Other Reasons - No records 

Granted in Full 

13-00022-FOIA 

13-00023-FOIA 

12/17/2012 

12/27/2012 

All letters, received between January 1. 2009 and December 17. 2012, between the U S CFTC and the congressional office of Maxine Waters 

Appendix A attached to letter requesting no-action relief dated December 21, 2012 from s,nagpore Exchange Derivatives Clearing LImIted to the 

Granted In Full 

Granted ,n Full 

13-00024-FOIA 112/2013 Copies of requests ___,, sent by mar~et partIcIpants for relief relying on the de mInimIs exception to the swap dealer regIstratIon requirement as in CFTC Denied ,n Full 

13-00025-FOIA 

13-00026-FOIA 

12/28/2012 

1/8/2013 

General 1nformat1on on commodity regulation 

"List and contact Informat1on of the credit card holders that have authorization to purchase supplies, hardware, furniture etc for their departments" 

Granted ,n Full 

Granted In Full 

13-00001-AP 1/8/2013 Appeal of Constructive Denial of FOJA Request Nos 12-00136, 12-00138, 12-00140. 12-00149, 12-00150, 12-00151 other Reasons - Not a proper FOJA 

13-00027-FOIA 

13-00028-FOIA 

13-00029-FOIA 

13-00030-FOIA 

13-00031-FOIA 

13-00032-FOIA 

13-00033-FOIA 

13-00034-FOIA 

119/2013 

1/15/2013 

1/17/2013 

2/8/2013 

211/2013 

211/2013 

2/11/2013 

2/8/2013 

CFTC Letters 97-59, 97-61, 98-13, 98-64 

Singapore Exchange request for no-action relief 

For the period October 1, 2011 through December 31, 2012 Employee Handbook, Personnel Instructions, Pol1c1es, Memoranda, Records, Management 

Regulator, disclosures for John Howard Burbank Ill and -- William G. Albert, 

A copy of any and all records (memos, emails or other material) mentioning or d1scuss1ng or referencing steps being taken by the CFTC to address the 

·-' -' 

A copy of the "sequestration plan" at the CFTC. 

Copies of any available documents/filings/pleadings regarding the following matter: Dennis Fitzgerald v. Alaron Trading Corporation & Larry Alan 

_o," Did Lake Community Action Agency receive a COLA of 1.82% in 2011' If they did, I do not believe they passed it on to their Head Start Employees. 

Granted/Denied in Part 

Granted ,n Full 

other Reasons - No records 

Granted ,n Full 

Granted ,n Full 

Granted ,n Full 

Granted/Denied in Part 

Other Reasons • Not an agency record 

13-00035-FOIA 2/8/2013 Did Lake Community Action Agency, 501 N. Bay St., Eustis, FL submit a request for a 5 year non-competitive, grant, ,n your office by 1/1/2013' Did the other Reasons • Not an agency record 

agency have a def1c1ency, did ,ts class score fall below the minimum threshold' Is their 2012 review results available by email> 

13-00036-FOIA 

13-00037-FOIA 

13-00038-FOIA 

2/19/2013 

2/13/2013 

2/14/2013 

Enforcement Procedures Manual 

Information on Commodity Markets 

A 11st of and copy of all requests made to the [FTC from January I, 2012 to the present day pursuant to Commission Regulation 145.9, 17 [FR 145,9. 

other Reasons - Request withdrawn 

Granted ,n Full 

Granted in Full 

13-00039-FOIA 2/15/2013 Information assembled in connection with the "Great Potato Futures Default of 1976" - specifically related to Pressner Trading Company and Stephen M Granted/Denied in Part 

13-00040-FOIA 

13-00041-FOIA 

13-00042-FOIA 

13-00043-FOIA 

13-00044-FOIA 

13-00002-AP 

13-00045-FOIA 

13-00046-FOIA 

13-00047-FOIA 

2/27/2013 

3/1/2013 

3/7/2013 

3/8/2013 

2/26/2013 

4/8/2013 

3/14/2013 

3/13/2013 

3/18/2013 

Records related to futures trading account of (b)(6) or Money Market Alternative Denied In Full 

Records Relating to Disruptive Trading Practices and/or "Spoofing" Denied In Full 

Any correspondence, including electronic, on or on behalf of {b)(6) as a private dt1zen, or on behalf of or as a representative of the following Other Reasons - No records 

organizations: Advent Internat,onal, from January 1, 2004 to present; Summit Partners, from January 1, 2001 to June 1, 2004; and Bowles, Hollowell 

" Interactive Brokers LLC Granted/Denied in Part 

1 FR for OANDA Granted/Denied in Part 

Appeal of 12-00115-FOJA Completely Reversed/Remanded 

Missing and/or Stolen Government Owned Items Granted in Full 

Data reflecting the total volume ,n NYSE Liffe EURIBOR futures contracts Granted In Full 

The complaint received by the CFTC concerning an outside research paper which led the agency to conduct an internal investigation of how 11 brings ,n Granted ,n Full 
13-00048-FOIA 

13-00049-FOIA 

13-00050-FOIA 

13-00051-FOIA 

13-00052-FOIA 

13-00003-AP 

13-00003-FPA 

13-00053-FOIA 

13-00054-FOIA 

13-00055-FOIA 

13-00056-FOIA 

13-00057-FOIA 

13-00058-FOIA 

13-00002-REF 

13-00059-FOIA 

13-00060-FOIA 

13-00061-FOIA 

13-00062-FOIA 

13-00063-FOIA 

13-00004-AP 

13-00064-FOIA 

13-00065-FOIA 

13-00066-FOIA 

13-00067-FOIA 

13-00068-FOIA 

13-00069-FOIA 

13-00070-FOIA 

13-00071-FOIA 

13-00072-FOIA 

13-00073-FOIA 

13-00074-FOIA 

13-00075-FOIA 

3/19/2013 

3/20/2013 

3/11/2013 

3/11/2013 

3/11/2013 

3/25/2013 

3/28/2013 

3131/2013 

412/2013 

413/2013 

4/3/2013 

4/8/2013 

4/9/2013 

4/12/2013 

4/15/2013 

4/16/2013 

4/16/2013 

4/16/2013 

4/17/2013 

4/18/2013 

4/24/2013 

5/1/2013 

5/2/2013 

512/2013 

5/9/2013 

5/6/2013 

5/13/2013 

5/13/2013 

5/14/2013 

5/15/2013 

5/17/2013 

5/18/2013 

NF 7-R Forms 

A copy of the original complaint to the CFTC and copy of the settlement agreement; regarding CFTC Release #4042-97 (from CFTC Docket #97-13): 

CFTC charges Global Currencies Ltd , Leon LcvItIs, !lya LcvItIs, Alex Efrosman, and Paul Manfre with fraud In the sale of illegal foreign currency futures 

contracts. Respondents arc also charged with bucketing customer orders, IssuIng false reports, converting customer funds and with registration ,h-h,,___ ~->-h-- OMS --a b1/si"___ Putilic and Non Putilic Documents - Certified Copies of all availatile filings. 

Rabar Market Research Registration Records 

BR! Partners, LL(; NFA JD 0310662, Public and Non Public Documents; Certified Copies of J Financial Statements, 2. Audit Analysis, 3. Memoranda ,c 

Appeal of 12-00021-FO]A 

A copy of the complete file for the laptop that I reported missing on or about November 2012 

"scheme to create the biggest depression and stock market crash part of NWO aka new world order regime. I need access to show the world the truth 11 

1) Identify by date each FO!A request, In CY 2011, 2012 and 2013, submitted by(b)/6) 2) For Each request, dcscnbe the 1nformat1on requested. 

3) For each request, state whether the request has been granted or denied, In whole or In part, and state the date of the grant or denial. 4) If a request 

(b)(6) Information or records of communication between CommIssIoner Scott O'Mal1a and his staff and the staff of the !ntcrnat1onal Swaps and Derivatives 

AssocIatIon (ISDA) from Jan 1. 2011 to Dec 31, 2012; and information or records of communIcatIon between Commissioner Scott O'Mal1a and the staff 

' "' " Information or records of communication between Commissioner Scott O'Malia and his staff and the staff of the U.S. Chamber of Commerce from Jan 1. 

2011 to Dec 31, 2012; and information or records of communication between Commissioner Scott O"Mal1a and his staff and the staff of the lnvestment 

FOIA Log 

Relevant to CFTC / CFODT12S00201 / Business Process Management System (BPMS), we seek copies of any and all documents related to the 

evaluation and award of Request for Quotation (RFQ) CFODT-12-S0-0201. The following information IS provided to advise you of the award made In 

connection with the subject Request for Quotation (RFQ) for a Business Process Management System (BPMS) SoftCho1ce Corporation (proposing the K2 

product) 314 W Superior Street, Suite 301 Chicago, JL 60654 Total Award (Base Period plus all Options}, $255,483.40 

PRI-12-070.1 -- Consultation Request 

Centurion Investment Management, LLC 

ACF Head Start application proposal of 2012 Yeshiva Kehilath Yakov, Inc. 

ACF Head Start applIcatIon proposal of 2012 of B'Above Worldwide InstItute, Inc. 

opy of the 2012 Head Start Appl1cat1on proposal submitted by Catholic Charities Neighborhood Services, Inc. 

Travel records for the five commissioners, commissioners' staff and division heads for March 2013 and March 2012. Travel records include Govtrip,com 

submissions, commission authorizations, rejected travel requests, vouchers, ethics office approval letters and expense reports for travel paid for by 

Appeal of 13-00006-FO]A 

The number of cases reported to the CFTC involving retail commodity pool fraud, mismanagement or theft of customer assets by year from 2002 

through 2012. The number of enforcement actions undertaken regarding these cases by 1) CFTC; and 2) NFA during the same period. The amount of 

" ' " Statements of work for BPA Contract No. CFJT-08-BP-0080 

Grant applications of Bank Street College of Education and Visiting Nurse Services of New York Early Head Start 

Euroyen TIBOR futures Contracts 

Sequestration records 

All 1nformat1on related to the BItcoin virtual currency between the dates January 2011 • Present Date. Also, any available transcnpts that mention 

A copy of the terms and pol1c1cs for FOREX.COM (a dIvIsIon of Gain Capital Bank), on October 8, 2008. 

Copies of emails between registered lotiby1sts Jim Newsome, Graham Harper, Scott Parsons of Delta Strategy Group, and employees of the CFTC from 

" "' Emails between ex-CFTC employees (list attached) and employees of the CFTC from January 2012 through the present (May 14, 2013), 

FOIA Log 

A copy of a report commissioned by the Global Financial Markets Association (GFMA}, titled, "The Economics of Global Commodity Trading Firms and 

Their Potential Contribution to Systemic Risk," This report was completed In 2012. l also request copies of notes, memos, email or other correspondence 

that CFTC off1c1als wrote about the report and/or any notes, memos, email or other correspondence following a CFTC conference call with GFMA to 

Email correspondence to and from CFTC Commissioners from May 7, 2013 to May 17, 2013 concerning the use of Bloomberg LLP terminals by 

Bloomberg News journalists with representatives and/or employees of one or more of the following organllations, Williams and Jensen, PLLC, 

Bloomberg LLP, The Mita Group; Clark Lytle Geduld1g & Cranford LLC; The Glover Park Group, SEC; Executive Office of the President and/or the 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Completely Affirmed 

Granted in Full 

Other Reasons - Not a proper FO!A 

' 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Granted in Full 

Granted/Denied in Part 

Granted In Full 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

Other Reasons - No records 

Granted/Denied in Part 

Completely Affirmed 

Granted In Full 

Granted/Denied in Part 

other Reasons - No records 

Granted In Full 

Granted In Full 

other Reasons· Records not reasonably 

Other Reasons - No records 

Granted/Denied in Part 

Granted in Full 

Granted In Full 

Granted/Denied in Part 

other Reasons - Request withdrawn 
13-00076-FOIA 5/21/2013 General Information Granted ,n Full 

13-00077-FOIA 5/22/2013 Centurion Jnvestment Management, LLC Granted/Denied in Part 

13-00078-FOIA 5/22/2013 RegIstrat1on files for f(b)(6) Granted/Denied in Part 

13-00079-FOIA 

13-00080-FOIA 

5/21/2013 

5/23/2013 

A copy of the "special call" issued to 011 companies seeking 1nformat1on related to swap transaction In the EFRP transactions process at CME Group 

"" "· In accordance with the Federal Advisory Committee Act and 41 CFR 102-3 Federal Advisory Committee Management, provide copies of documents of 

the Labor-Management Forums established by the CFTC under the Executive Order 13522 (CFTC forums): I) Lists of each and every member of the 

CFTC Forums; 2) Charters of the CFTC forums which have been filed with the Administrator or the Committee Management Secretariat of the General 

Services Adm1nIstrat1on; 3) ldentIt1es of the committee managmeent officers of the CFTC Forums; 4) Identities of the designated federal officers of the 

CFTC Forums; 5) Notices of the CFTC Forums' meetings which have been published in the Federal Register; 6) Minutes of all meetings which have been 

conducted by the CFTC Forums, 7) Records, reports, appendixes, working papers, drafts, studies, agenda or other documents which were made 

Granted/Denied in Part 

Granted ,n Full 

13-00081-FOIA 5/23/2013 Full public comments on a selection of rules from the CFTC. (see detailed Request Descnption) Granted/Denied ,n Part 

13-00082-FOIA 

13-00083-FOIA 

13-00084-FOIA 

5/31/2013 

6/7/2013 

6/10/2013 

A copy of the first 100 pages of the records provided to Congressman Darrell Jssa under his request for records pertaining to CFTC Chairman Gary 

. Consumer Advisories and educational materials related to the trading of financial futures and options, 

CFTC FOIA log from September 1, 2012 Until March 1, 2013, 

Granted/Denied in Part 

Granted/Denied In Part 

Granted ,n Full 

13-00085-FOIA 6/12/2013 Correspondence from the CFTC to Congressional Committees CY 2012 and 2013 Granted in Full 

13-00086-FOIA 

13-00087-FOIA 

6/14/2013 

6/26/2013 

"The CME Group deals With the CommIss1on, both OMO and DOE on virtually a daily basis The CFTC staff directory Is very useful to us , but our version Granted/Denied in Part . " 

Video or any 1nformat1on about a video of Commissioner Scott O'Mal1a talking about the Bloomberg swap execution facility that Bloomberg later posted Granted ,n Full 

13-00088-FOIA 6/24/2013 Any minutes, transcripts, staff memos or other documentation ,n connection with the CFTC staff meeting with the Coalition for Denvat,ves End-Users 

. " 

Granted/Denied in Part 

13-00005-AP 6/27/2013 Appeal of 12 00128-FO!A Completely Affirmed 

13-00089-FOIA 6/27/2013 A copy of RJ OBrien Associates LLC financial "CFTC Form 1-FR-FCM" filed with the commission under the FO]A, Dec '07, Dec '08, Dec '09, Dec 'JO, Dec ,.. Granted/Denied in Part 

13-00090-FOIA 7(1/2013 Request for the attachments to the TJGTA March 2012 report on Judge Levine's complaint Granted/Denied in Part 

13-00003-REF 7/5/2013 Referral from SEC for any letters, emails, or other correspondence from any { 1) government and/or (2) FINRA off1c1als Granted ,n Full 

13-00091-FOIA 7/10/2013 Records regarding the Annual Report of the Chief Compliance Officer, prepared and furnished to the CFTC. .,.including any schedules, attachments or Granted/Denied in Part 

cxh1b1ts thereto, for the following Commission registered Futures Commission Merchants ("FCMs"), and In respect of the stated report dates: Credit 

Suisse Securities USA LLC (NFA ID: 0002397) CCO Annual Report for FY ending 12/2012; UBS SccuntIcs LLC (NFA ID 0223988) CCO Annual Report for 

FY ending 12/2012; Barclays Capital Inc. (NFA ID: 0228758) CCO Annual Report for FY ending 12/2012; Macquarie Futures USA LLC (NFA ID: 0366355) 

CCO Annual Report for FY ending 3/2013; and Nomura Securities International Inc. (NFA ID: 0089946) CCO Annual Report for FY ending 3/2013. 

13-00092-FOIA 7/13/2013 A copy of the CFTC INTRAnet (employee internal internet) home page, a copy of each page connected to the CFTC lNTRAnet home page by one click Granted/Denied in Part 

13-00093-FOIA 7/13/2013 A copy of the agendas for all meetings of the CFTC Information Governance Team. Granted/Denied in Part 

13-00094-FOIA 7/13/2013 A copy of the CFTC invcstIgatIon report concern, ng use of Section 8 data and other conf1dent1a I information for academic research papers by CFTC staff, 

related to the matter descnbed In this correspondence: 

Other Reasons - No records 

13-00095-FOIA 7/13/2013 A list of whistleblower awards issued by the CFTC Wh,stleblower Office during Fiscal Year 2012 and Fiscal Year 2013. You may omit the names of the Granted ,n Full 

13-00096-FOIA 7/18/2013 Request for a copy of BPA CFIT08BP0080 and all mod1f1cat1ons 1nclud1ng a copy of all BPA calls and delivery/task orders awarded under that contract. Granted/Denied ,n Part 

13-00097-FOIA 

13-00098-FOIA 

7/19/2013 

7/19/2013 

Trading actIvIty undertaken by Barclays Capital Inc in ICE electricity trading markets 

Comm1ss1on records regarding B1tco1n 

Other Reasons - No records 

other Reasons - No records 

13-00099-FOIA 7/19/2013 Motley Rice FOIA requests to the CFTC other Reasons • No records 

13-00100-FOIA 7/26/2013 Request for correspondence relating to any violations of the CEA involving Michael McFadden and affiliated entities Other Reasons - No records 

13-00101-FOIA 7/29/2013 Correspondence from the Commission addressed to Mark Jacobs and associated entities other Reasons - Request withdrawn 

13-00102-FOIA 8/6/2013 CFTC Staff Directory Granted/Denied in Part 

13-00103-FOIA 8/9/2013 (1) Access to records refiect1ng the trading records and positions held in NYMEX crude oil futures contracts; ICE Crude oil futures contracts, and ICE 

West Texas Jntermediate (WT]) swaps and crude 011 during the time period August 15, 2008 to September 29, 2008. (2) The positions of each of the 4 

largest shorts or longs in the September and October NYMEX crude 011 futures contracts; ICE Crude oil futures contracts; and ICE West Texas 

Denied in Full 

13-00104-FOIA 8/20/2013 Record of monetary fines adminsitered by the Commission Granted In Full 

13-00105-FOIA 8/19/2013 The contact 1nformat1on (email, mailing addresses and/or telephone numbers) of your organization's HR Director, Assistant HR Director, and HR 

Off1cer{s) and/or Branch Ch1ef(s), 1f applicable. The request ,s for headquarters, regional and/or field offices, not IncludIng U.S. Territories or foreign 

Granted ,n Full 

13-00106-FOIA 8/27/2013 NFA reg1strat1on forms for Gregory Louis Summe Granted/Denied in Part 
13-00107-FOIA 8/28/2013 Any notices filed, and any records reflecting notices filed, by a Commission registrant relating to violations of customer segregation and/or minimum net 

"" 

Granted/Denied in Part 

13-00108-FOIA 8130/2013 Transrnpt of August 29 phone call between MFA and CFTC officials Other Reasons - No records 

13-00109-FOIA 8/29/2013 Regarding CFTC Job Announcement - DOE 2013 0012 closing date of 3/22/2013 for Futures Investigator. Provide the following information. Date 

pos1t1on was filled; Age of all applicants that were formally interviewed; Age of 1nd1v1dua1 offered pos1t1on; Background experience of 1nd1v1dua1 offered 

pos1t1on; Age of last 50 1nd1v1duals hired by CFTC at time of hire; Reasons why Human Resources did not respond to multiple calls and emails regarding 

Granted in Full 

13-00110-FOIA 8/31/2013 Relevant to CFFM10BP0096 - SOW, List of Respondents, Slides from Oral Presentation, Video from Oral Presentation; Tanscript from Oral Presentation Granted/Denied 1n Part 

13-00111-FOIA 9/4/2013 Accession Number: 20130904-0005. 8/29/2013 Letter to Commodity Futures Trading Commission re the f1nal1zation of the Memoranda of 

Understanding RECJPIENT· GENSLER, G - COMMODITY FUTURES TRADING COMMJSSION. AUTHOR· WELLINGHOFF J - FERC CHAIR AND IMMEDIATE 

Granted ,n Full 

13-00112-FOIA 9/9/2013 "A copy of the log of FOIA requests to the CFTC between January J, 2011 and Sept. 9, 2013, induding control numbers, name of requestor, details of .. Granted 1n Full 

13-00113-FOIA 9/18/2013 Contract spec1f1cations for Certificates of Deposit Futures Contracts listed ,n 1981/1 982 Granted 1n Full 

13-00114-FOIA 9/26/2013 Copies of reports submitted by ICE concerning day-ahead fixed price electricity transactions Other Reasons • No records 

13-00115-FOIA 9/27/2013 Records regarding Sonador Capital Management, Jnc. Granted in Full 

13-00116-FOIA 9/27/2013 Documents related to the most recent invest1gat1on conducted by the CFTC concerning silver markets. Other Reasons • Fee-related reason 

13-00117-FOIA 9130/2013 Request for copies of requests for con/ldcnt,al treatment from January 1 - February I, 2012, where conf1dent1al treatment 1s also requested for the Granted/Denied in Part 

14-00001-FOIA 10/17/2013 Copies of any records pertaining to the CFTC's investigation into allegations of manipulation 1n the silver market. Other Reasons - Request withdrawn 

14-00002-FOIA 10/17/2013 FOIA Logs Granted/Denied in Part 

14-00003-FOIA 10/17/2013 Records relied on or considered by the CFTC ,n connection with ,ts 1nvest1gation into the COM EX silver market Granted/Denied in Part 

14-00004-FOIA 10/17/2013 Records referencing SWAT or special response teams Granted/Denied in Part 

14-00005-FOIA 10/17/2013 Copies of all reports submitted, or 1nformat1on made available, by the Intercont1nenta !Exchange, Inc. ("ICE") concerning day-ahead fixed price 

electricity transactions and/or f1nanc1ally-settled power swaps executed at any time during the period from July 1, 2006 through December 31, 2008 

other Reasons - No records 

14-00006-FOIA 10/18/2013 J. List of all Politcally-Appointed and Career Personnel that make more than $150K/yr 1n comt11ned salary & bonuses. As of J0/15/2013, current annual 

salary information, name & title; and relevant bonuses going back to January I, 2012 (amount of the bonus and date paid), 2. The total number of 

employees that make between $100,000 & $149,999 per year. I am not seeking the names, titles or other details for t~ose employees, but instead am 

Granted/Denied in Part 

14-00007-FOIA 10/19/2013 A d1g1tal copy of the current CFTC Library Catalogue {formerly called LION), preferably output into a flat Ille such as Excel or a CSV file. Granted ,n Full 

14-00008-FOIA 10/19/2013 The l1st1ng of CFTC forms, including internal forms found on t~e CFTC employees only Intranet website under TOOLS/Forms. Granted/Denied in Part 

14-00001-REF 10/21/2013 WTO f1nanical service negotiations Granted/Denied in Part 

14-00009-FOIA 10/26/2013 List of bank names from the Bank Partic1pat1on Report. Oenied 1n Full 

14-00010-FOIA 10/30/2013 Agency Record FOIA log for the period January J, 2013 to present. lndude control number, identity of requester, subJect matter, status and final Granted in Full 

14-00011-FOIA 10/29/2013 All investigative records concerning any Commodity Futures Trading Commission 1nvest1gation of Goldman Sachs Group, Inc., GS Power Holdings LLC, 

Metro International Trade Services LLC. London Metal Exchange L1m1ted, JP Morgan Chase & Co., Glencore Xstrata pie, or Trafigura Beheer BV regarding 

Denied in Full 

14-00012-FOIA 1111/2013 Alphabetical l1st1ng of all current CFTC employees (no contractors), Granted/Denied in Part 

14-00013-FOIA 11/1/2013 Non-Public Document Request. Andrew Ellingson Beck Ill responded "yes" to Question E of the Regulatory Disdosure section of his NFA registration. Granted/Denied in Part 

14-00014-FOIA 11/4/2013 Letters (1nclud1ng emails) from memberS of Congress to the CFTC, Written since July 21, 2010 regarding the "push-out rule" for swaps dealers; the 

treatment of international swaps transactions by companies with significant business in the US or US companies; and new regulatory proposals required 

Granted/Denied in Part 

14-00015-FOIA 11/1/2013 J. NFA Policies and PRocedures for compliance with 17 CFR section l.52(a)(3); 2. Copies of all NFA audits of Peregrine Financial Group conducted from 

1/1/07 through 12/31/12; 3. All documents that refiect whether NFA ever class1f1ed Peregrine Financial Group as a "High-risk firm" within the meaning 

Granted/Denied in Part 

14-00016-FOIA 1114/2013 FIT INTERNATIONAL GROUP CORP. Any and all documents w~ic~ you do have in your possession regarding FIT INTERNATIONAL GROUP CORP. Granted/Denied in Part 

14-00017-FOIA 11/5/2013 Any and all records referencing, relating to, or concerning Kottke Associates, LLC. Last known business address· 141 West Jackson Blvd, Suite 1220, 

Chicago, IL 60604. Re~ords should include, from l'.,90 through present date: 1. All company manuals 2. Document retention policy 3. All business 

other Reasons - No records 

14-00018-FOIA 11/6/2013 The Names, CUSIPs of the US Treasury bonds/notes which can be delivered for neart>y quarters on the CBT Treasury contracts, along with the amount Granted in Full 

14-00019-FOIA 11/7/2013 (b)(6) Granted/Denied in Part 

14-00020-FOIA 11/25/2013 Subpoenas and Invest1gat1ons Granted ,n Full 

14-00021-FOIA 1118/2013 Records re (b)(6) ct al. Granted/Denied in Part 

14-00022-FOIA 11/25/2013 Charges against C1t1group Inc., et al. Granted/Denied in Part 
14-00023-FOIA 11/13/2013 Investigative records re Barclays, et al. {foreign currency exchange market) Denied In Full 

14-00001-AP 11/11/2013 Appeal of 12-00115-FDJA Completely Affirmed 

14-00002-AP 11/8/2013 Appeal of 13-00109-FOIA Completely Reversed/Remanded 

14-00024-FOIA 11/15/2013 Silver pncc man1pulat1on InvcstIgatIon Other Reasons - Request withdrawn 

14-00025-FOIA 11/15/2013 Statements of(b)(6) et al. Other Reasons - Request withdrawn 

14-00026-FOIA 11/16/2013 No FEAR Act Annual Reports Granted/Denied in Part 

14-00027-FOIA 1118/2013 Guarantee Agreement or Agreements Other Reasons - Fee-related reason 

14-00028-FOIA 11/22/2013 List of CFTC employees, titles and salaries. Granted In Full 

14-00029-FOIA 11/26/2013 Lead Commodity Markets .. records dated 2009 through present. other Reasons • No records 

14-00030-FOIA 11/27/2013 JP Morgan Chase correspondence re metals warehousing businesses Denied In Full 

14-00031-FOIA 12/2/2013 Investigation re silver market and price manIpulatIon Granted/Denied in Part 

14-00032-FOIA 12/3/2013 CFTC Inspector General's investIgatIons of other agencies. other Reasons • No records 

14-00033-FOIA 12/4/2013 Notices re 10/15/2012 JCE transition of cleared swap products to futures. Granted/Denied rn Part 

14-00034-FOIA 1214/2013 Identities of Commission registrants being InvestIgated In connection with ICE transition. other Reasons • No records 

14-00035-FOIA 1216/2013 CFTC Docket No. 84-24 Granted In Full 

14-00036-FOIA 12/11/2013 Bargaining Unit Eligible Employees Granted in Full 

14-00037-FOIA 12/19/2013 Copy of a the inspector general's InvestIgatIve report into CME's complaints concerning the CFTC's research program for vIsItIng academics Denied In Full 

14-00003-AP 12/19/2013 Appeal of FOJA Request Numbers 13-001114 and 14-0005 Partially Affirmed & Partially 

14-00038-FOIA 12/26/2013 Unnegot1ated checks Other Reasons - No records 

14-00039-FOIA 12/26/2013 Copy of politic asyllum case other Reasons • No records 

14-00040-FOIA 12/27/2013 Employment Request and request for tax 1nformat1on re capital gains tax, interest earned, d1v1dends paid on bonds .. Sec request DescnptIon for details. Other Reasons - No records 

14-00041-FOIA 116/2014 Correspondence between the Senate Banking Committee or House FInancIal Services Committee dated between Jan. 2009 and the present Granted/Denied rn Part 

14-00042-FOIA 1/10/2014 Copy of emails In the lnspector General's FOIA Office that contain the word '(b)(6) Granted/Denied in Part 

14-00043-FOIA 1/10/2014 Correspondence to or from the Central Intelligence Agency Other Reasons - No records 

14-00044-FOIA 1/10/2014 Request for Agency Operation Manual and System of Records Other Reasons - Fee-related reason 

14-00045-FOIA 1/10/2014 CommIssIon records that pertain to WIkILeaks other Reasons • No records 

14-00046-FOIA 1/15/2014 GFMA Report Granted In Full 

14-00047-FOIA 1/15/2014 FOIA log between 1/1/2013 and 1/15/2014 Granted in Full 

14-00048-FOIA 1/18/2014 Emails containing (b)(6) Granted In Full 

14-00049-FOIA 1/29/2014 Recusal or non-participation forms since January L 2013 Denied in Full 

14-00050-FOIA 1/29/2014 Access to BASIC database other Reasons - Not a proper FOIA 

14-00051-FOIA 1/30/2014 Records re Contract CFDED12BP0128TD001 Granted/Denied in Part 

14-00052-FOIA 212/2014 Contract CFIT-08-BP-0119 Granted/Denied rn Part 

14-00053-FOIA 2/6/2014 Inspector General's Final Jnvestigat1ve Report Granted/Denied rn Part 

14-00054-FOIA 217/2014 2013 and 2014 Correspondence re nomination of Blythe Masters to GMAC. other Reasons • No records 

14-00055-FOIA 2/6/2014 Cert1f1ed copies of public land records - Commonwealth of VA.. Other Reasons - No records 

14-00056-FOIA 2/7/2014 Communications With Brookings Inst1tutIon, the Center for American Progress, etc. Granted In Full 

14-00057-FOIA 2113/2014 All 1nformat1on re CFENF14C00080 Granted/Denied rn Part 

14-00058-FOIA 2/2/2014 Task Order Granted/Denied rn Part 

14-00059-FOIA 2/17/2014 CFTC Conference Room Mod1f1cations other Reasons - No records 

14-00060-FOIA 2/19/2014 Action Plans by Swap Data Repositories Denied In Full 

14-00061-FOIA 2/24/2014 Letters from members of Congress to any CFTC commissioners, the CFTC chair and CFTC staff since Jan 1, 2013 regarding regulatory proposals under Granted/Denied in Part 

14-00062-FOIA 2/25/2014 Documents riled by London Metal Exchange, CFTC or Third Parties other Reasons - Public Records 

14-00063-FOIA 2127/2014 Request for copies of all correspondence between U.S. Senator Mitch McConnell and the CommIssIoners, the Director of Legislative Affairs, and Deputy Granted/Denied rn Part 

14-00064-FOIA 2/28/2014 All In Documents Comment File 92-10 re New York Mercantile Exchange Proposal to Implement NYMEX ACCES Electronic Trading System. Granted/Denied In Part 

14-00065-FOIA 3/4/2014 Nov 2013 FISMA Report from lndependent Contractor/CPA Firm other Reasons - Request withdrawn 
14-00066-FOIA 2/28/2014 1 FR forms, NFA ID#:0358241 ....from 8/4/2005. to 2/13/2008. For Hamilton WIllIams LLC, NFA ID:0358241.. 1 FRs and all supporting documents Granted/Denied in Part

14-00067-FOIA 2111/2014 For the time period 7/1/2006 to 12131/2008, pursuant to Commission Ruic 36.3, copies of ICE subm1ss1ons, reports re f1nanc1ally settled power swaps Denied In Full 

14-00068-FOIA 

14-00069-FOIA 

14-00070-FOIA 

14-00071-FOIA 

14-00072-FOIA 

3/12/2014 

3/12/2014 

3/12/2014 

3/13/2014 

3/13/2014 

Records re data security at CFTC's economist office, 

JG report concerning chief economist. 

Last 3 years' FISMA audits by OIG. 

Barclays reports 

CFENF14COOIOO 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

14-00073-FOIA 

14-00074-FOIA 

14-00075-FOIA 

14-00076-FOIA 

14-00077-FOIA 

14-00078-FOIA 

14-00079-FOIA 

14-00080-FOIA 

14-00081-FOIA 

3/14/2014 

3/14/2014 

3/17/2014 

3/17/2014 

3/18/2014 

3/20/2014 

3/20/2014 

3/24/2014 

3/24/2014 

CFTC inspector general's report on the chief economists office, 1nclud1ng all attachments and appendices. 

Letter dated Septemt>er 18, 2013 from ASX Group to the D1v1s1on of Clearing and Risk 

Housing/Apartment records. 

All Documents re InvcstIgatIon of man1pulat1on of silver market between January 2007 and December 2013. 

[FTC Renovations and Ast>estos Abatement 

JG review KC office. 

JG rev1ew/informat1on submitted by FCMs and RFEDs 

Correspondence between Christopher James Chris Christie and the Office of the Chairman of the Commodity Futures Trading Comm1ss1on (1nclud1ng the ,, Any and all 1nformat1on on Investment advisor Dawn Bennett and Bennett group financial services between the dates of January 2009 and present date 

Granted/Denied in Part 

Granted/Denied in Part 

other Reasons • No records 

Granted/Denied In Part 

Other Reasons - No records 

other Reasons • No records 

Other Reasons - No records 

Granted/Denied in Part 

Other Reasons • Fee-related reason 

14-00082-FOIA 3/26/2014 1. May 1, 2013 Request for Interpretation of CFTC regulations applicable to Registered DCOs by North American Derivatives Exchange, Inc.; and 2. 

May!, 2013 Request for Exemption from Certain CFTC Regulations applicable to Registered DCOs by North American Derivatives Exchange 

Granted In Full 

14-00083-FOIA 3/27/2014 Binary Options - complaints, losses, fradulent schemes other Reasons - No records 

14-00084-FOIA 

14-00085-FOIA 

411/2014 

411/2014 

Request for a copy of any written opinions submitted by your Designated Agency Ethics Off1c1al {DAEO) or the ADAEO, which was submitted or 

'" Re the COT Report for S&P500 - Which posItIons arc summarized; List of enterprises that arc considered as producers; Dcf1nit1on of "producers" 

other Reasons • No records 

Other Reasons - No records 

14-00086-FOIA 

14-00087-FOIA 

14-00088-FOIA 

14-00089-FOIA 

14-00090-FOIA 

4/2/2014 

4/7/2014 

4/8/2014 

4/10/2014 

4/11/2014 

Oocuments re Loeb Partners Corporation - NFA ID 46 

Information re 1 FR-FCMs/SORN CFTC-20 re AMP entIt1es 

CFTC Docket R 80-566-80·723 re Schor v. CFTC 

Records relating to the Eighth Annual Capital Markets Summit 

Request for a copy of all CFTC documents regarding charges against and investIgat1ons of Farr F1nanc1al during the time period of 2003 through 2013 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons - No records 

Granted/Denied In Part 

14-00091-FOIA 

14-00092-FOIA 

4111/2014 

4/17/2014 

Request for nonpublic records of DE Shaw & Co., and QVT FInancIal LP 

Copies of FR-1-FCMs filed t,y Farr Financial from 2007 through 2010 

Granted In Full 

Granted/Denied in Part 

14-00004-AP 

14-00093-FOIA 

14-00094-FOIA 

14-00095-FOIA 

14-00096-FOIA 

4/18/2014 

4/22/2014 

5/2/2014 

5/8/2014 

5/8/2014 

Freedom of Information Act Appeal - 14-00067-FOIA ICE day-ahead electricity transactions and f1nancIally-settled power swaps 

Comm1ss1on's InvcstIgatIon records re us CFTC v. MBF Clearing Corp (12 CV 1830 (SDNY 2012)) 

TJGTA Report Delivered in 2011 or 2012, re 2010 Levine complaint 

Records regarding financial statements of CFTC registrants 

Communications between the Office of the White House Counsel and the CFTC Compliance Office and the Office of General Counsel Regarding the 

Completely Affirmed 

Granted/Denied In Part 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons - No records 

14-00097-FOIA 

14-00098-FOIA 

14-00099-FOIA 

14-00100-FOIA 

14-00101-FOIA 

14-00005-AP 

5/9/2014 

5/9/2014 

5114/2014 

5/15/2014 

5/15/2014 

5/23/2014 

Alphabetical listing of all current (FTC employees (no contractors) 

The TEPPCO propane market 

Records re(b)(6) Complaints, InvestIgatIons, Prcl1m1nary Inquiries. 

V1s1tor Logs 

FOIA Log 

Craig Linder, Assistant General Counsel, Counsel to Dow Jones & Company, publisher of The Wall Street Journal, appeals on behalf of Journal reporter 

Rob Barry - "seeking access to and copies of the data base underlying the Background Aff1I IatIon Status Information Center ( 'BASIC") system.. 

Granted in Full 

other Reasons - No records 

Granted/Denied In Part 

Granted/Denied in Part 

Granted In Full 

Completely Affirmed 

14-00102-FOIA 

14-00103-FOIA 

14-00104-FOIA 

6/6/2014 

6/4/2014 

6/4/2014 

Copy of current contracts, purchase and delivery orders for onlIne legal research services with Accurint 

Records from FOJA Request File "J0-0091" 

Records in CFTC FOIA Request File 09-0158 

Other Reasons • No records 

Granted/Denied in Part 

Granted In Full 

14-00105-FOIA 6/11/2014 Copy of all FOIA Requests from 1992 through June 4, 2014 {Date Range for Record Search: from 01/01/1992 To 06/11/2014) Granted/Denied in Part 
14-00106-FOIA 

14-00107-FOIA 

14-00108-FOIA 

14-00109-FOIA 

14-00110-FOIA 

14-00111-FOIA 

14-00112-FOIA 

14-00113-FOIA 

14-00114-FOIA 

14-00115-FOIA 

14-00116-FOIA 

14-00117-FOIA 

14-00118-FOIA 

14-00119-FOIA 

14-00120-FOIA 

14-00121-FOIA 

14-00122-FOIA 

14-00123-FOIA 

14-00124-FOIA 

14-00125-FOIA 

14-00126-FOIA 

14-00127-FOIA 

14-00128-FOIA 

14-00129-FOIA 

14-00130-FOIA 

14-00006-AP 

14-00131-FOIA 

14-00132-FOIA 

14-00133-FOIA 

14-00134-FOIA 

14-00135-FOIA 

14-00136-FOIA 

14-00137-FOIA 

14-00138-FOIA 

14-00139-FOIA 

14-00140-FOIA 

14-00141-FOIA 

14-00142-FOIA 

14-00143-FOIA 

14-00144-FOIA 

14-00145-FOIA 

6/4/2014 

6/4/2014 

6/4/2014 

6/10/2014 

6/4/2014 

6/10/2014 

614/2014 

6/11/2014 

6/12/2014 

6/18/2014 

6/23/2014 

6/24/2014 

6/24/2014 

7/9/2014 

7/11/2014 

7/11/2014 

7111/2014 

7/11/2014 

7/11/2014 

7111/2014 

7/11/2014 

7111/2014 

7/11/2014 

7/11/2014 

7111/2014 

7/21/2014 

7/21/2014 

7/23/2014 

7/23/2014 

7/25/2014 

7/25/2014 

7/25/2014 

7/29/2014 

7/29/2014 

8/14/2014 

7/28/2014 

7/28/2014 

7/31/2014 

814/2014 

814/2014 

8/14/2014 

Request for records In response to FOIA Request No. 11-00151 

Files re RCTs t,y New York Mercantile Exchange (NYMEX) re January 23, J992 proposed rules, 

FOIA Requests re New York Mercantile Exchange (NYMEX) January 23, 1992 proposed rules 

Questions and Answers re Questions for the Record, from January 1, 2014 to present 

Request for production of all records in CFTC FOJA Request File 06-0128 

Investigation of Vision Capital FX/Adam Cargill 

Request for Records In CFTC FOIA Request File No. 10-0078 

List of Settlement Agreements Entered in Calendar Year 2013 

Request copies of all IncomIng-and-outgoIng correspondence between the Commissioners, the Office of Legislative Affairs, and Michael Frederick Mike ,, ' Minutes of a meeting held on 1112/2010 between Gary Gensler, Rosemary Hollinger and Jump Trading LLC executives Bill DISomma, Paul Gurinas and 

Copies of all requests filed under the FOIA from 1/1/2000 to 3/29/2014 submitted by entItIes and their legal representatives (sec request description for 

Non-public registration information for various registrants 

Non-public registration records of Rieden, Misra, and Solsv1g Ill 

Transcripts of Conversations passed to the CFTC by Barclays ... CommunicatIons between CFTC and their counterparts at DOJ, U.K. 's Financial Services 

Authority/FCS re CFTC investIgatIon In Llbor and Euribor marnpulatIon ... Transrnpts of Interviews· Mirhat Alykulov, Mark Dearlove, Peter Johnson, Jerry 

Del MissIer, Philippe Moryoussef, Jay Merchant and Bob Diamond..CFTC emails..Steve Obie, Anne TermIne, Gretchen Lowe, Vince McGonagle, et 

Form 1-FR-FCM filed for companies: Advantage, McVean, Rand, Rosenthal, Interactive, RJ O'Brien and TD Ameritrade 

Letters between Jeb Hensarling and CFTC, sent by US mail, email and other methods of delivery. 

Letters between Maxine Waters and CFTC, sent by US mail, email and other methods of delivery, 

Letters between Patrick McHenry and CFTC. sent t,y US mail, email and other methods of delivery, 

Letters between Tim Johnson and CFTC, sent by US mail, email and other methods of delivery 

Letters between Mike Crapo and CFTC, sent by US mail, email and other methods of delivery. 

Letters between Sherrod Brown and CFTC, sent by US mail, email and other methods of delivery. 

Letters between Mark Warner and CFTC, sent by US mail, email and other methods of delivery. 

Letters between David V1tter and (FTC, sent by US mail, email and other methods of delivery, 

Letters between Bob Corker and CFTC, sent by US mail, email and other methods of delivery. 

Letters between Elizabeth Warren and CFTC, sent by US mail, email and other methods of delivery. 

Appeal of 14-00049-FO]A 

Any and all statements filed with the General Counsel between January 1, 2012, and June 30, 2014, pursuant to 17 CFR 140 735-6(e) and the 

Request for any and all notices, filings or waivers by Commissioner Scott O'MalIa (or his staff on behalf of O'Mal1a) concerning discussions with outside 

00 ' ' .. Forms· see request description. 

All 1nformat1on, 1nclud1ng contract description, Just1f1cat1on and work (or description of work) rendered, under federal contract ID: CFHRB14D00091 

An electronic/d1g1tal copy of the CFTC FO!A Case Log for the time period January 2008 to the present. 

CFTC 2014 Chief FOIA Officer Report 

Various O!G Reports 

In Re, CFTC v. Capital Siu, Middle District of Florida Case No. 6.09-cv-508-0RL-29-DAB 

CFTC v. Capital Blu; Middle District of Florida Case No. 6:09-cv-508-orl-28-DAB Deposition Transcript for Marsha L. Lyons 

Interactive Brokers Complaints and InvestIgatIons, etc.. 

Request for a mapping table of (FTC contract market codes to Exchange, Exchange Commod1t1es Code. This is stored in the Exchange Commodity Tat>le 

Request for forms to start a new commodities exchange. 

All communications and records of communications (including letters, e-mails, appointment calendars and phone conversations) between the CFTC .. Communications between Commissioner O'Mal1a, or members of his office, and ISDA In the period starting Jan. 1, 2014. I am also requesting any logs 

A copy of any and all reports filed since 2012 by the Chief Compliance Officers for various registered swap dealers. These are public documents as 

' ' 

Denied In Full 

Granted/Denied In Part 

Granted/Denied In Part 

Granted/Denied in Part 

Granted/Denied in Part 

other Reasons • Fee-related reason 

Granted In Full 

other Reasons - Public Records 

other Reasons • No records 

other Reasons • No records 

Granted In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Denied In Full 

Granted/Denied in Part 

Granted in Full 

Granted in Full 

Other Reasons - No records 

Granted in Full 

Granted in Full 

Granted in Full 

Other Reasons • No records 

Other Reasons - No records 

Granted in Full 

Granted/Denied In Part 

Partially Affirmed & Partially 

Granted In Full 

Granted/Denied in Part 

other Reasons • Not an agency record 

Granted/Denied In Part 

Granted in Full 

Granted In Full 

Granted/Denied in Part 

Other Reasons - No records 

other Reasons· Request withdrawn 

Granted/Denied in Part 

Other Reasons - Public Records 

other Reasons - Not an agency record 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

Denied in Full 
14-00146-FOIA 

14-00147-FOIA 

14-00148-FOIA 

8/18/2014 

8/18/2014 

8/18/2014 

Net Capital Deficiency Reports and Notices Transmitted by Interactive Brokers During January and August of the Year 2011: other Reasons • No records 

A copy of the CFTC inspector general's: Audit of CFTC s Resource Allocation on Information Technology for Achieving its Strategic Regulatory Goals of Other Reasons - No records 

. A copy of, An Jnvestigat1on of Allegations of Wrongdoing Jn Connection with the Release of the Interim Report on Crude Oil Prepared by the lnteragency Granted/Denied ,n Part ... 14-00149-FOIA 

14-00150-FOIA 

14-00151-FOIA 

8/20/2014 

8/20/2014 

8/22/2014 

All quarterly risk disclosure reports filed since 2012 to the (FTC by various registered swap dealers pursuant to the CFTC's final Dodd-Frank Denied in Full 

.. " 

Request to the Securities and Exchange Comm1ss1on for correspondence between members of the U.S. Congress and the SEC Chairman's office since other Reasons - No records 

Request for copies of IncomIng and outgoing correspondence between the Chairperson, the E~ecutIve Director, the Board CommIssIoners, the Director of Granted/Denied in Part 

14-00152-FOIA 8/22/2014 Information Concerning Mone~ Deposit Company, Mone~ Credit Company, Newport Service Corporation, Pacific Coast Coin Exchange, Monex Granted/Denied in Part 

14-00153-FOIA 

14-00154-FOIA 

8/28/2014 

9/4/2014 

Information relevant to CFTC Job announcement FSOL-2014-0006, posItIon title: Attorney - Advisor, CFTC-DCR-2014-0002 

Request access to any written communications over recusals t>etween a (FTC designated ethics officer and Commissioner). Christopher Giancarlo. 

Granted/Denied in Part 

Granted/Denied ,n Part 

14-00155-FOIA 9/8/2014 A copy of any all letters from agency's 0510 in July 2014 to Goldman Sachs, JPMorgan, Morgan Stanley, Bank of America and Citigroup on overseas 

trading and parent de-guarantee issues, Any any all responses to CFTC to date from aforementioned banks pursuant to the division's letter. 

Granted/Denied ,n Part 

14-00007-AP 

14-00156-FOIA 

9/8/2014 

9/5/2014 

Appeal of FO!A Number 14-00064 

CFTC letters to and from Deutsche Bank and internal CFTC memoranda and other relevant materials from 2012 - present dealing With Deutsche Bank's 

trade reports and calculations of borrowing levels relative to client collateral, as well as general compliance, trade reporting and risk management 

Completely Affirmed 

other Reasons - Records not reasonably 

described 

14-00157-FOIA 9/9/2014 A copy of all records submittedon or after January 1, 2014, by or on behalf of any derivatives clearing organization, designated contract market or swap 

execution facility and relating to a request for a determ1nat1on by the Commission that non-deliverable foreign exchange forward contracts be made 

Granted/Denied ,n Part 

14-00158-FOIA 9/10/2014 See~Ing the email address of NFA CTA and CPOs members for the purpose of communIcatIng with them to support petItIon as a representative In their Other Reasons - No records 

14-00159-FOIA 

14-00160-FOIA 

14-00161-FOIA 

14-00162-FOIA 

HQ-Cong-14-00001 

9/12/2014 

9/12/2014 

9/15/2014 

9/17/2014 

9/26/2014 

Requesting a copy of the Head Start grant appl1cat1on submitted by Community Action Agency of Columbiana County (Lisbon, Ohio) 

Alphabetical l1stIng of all current CFTC employees (no contractors) showing Last Name, First Name, Title, Div1s1on, Telephone Number and City 

Responsive records to 10-00099-FOIA and 12-00017-FOIA 

Request for a copy of the records labeled as "nonrespons1ve" in FOJA case 14-00042-FOIA. 

United States Senate Permanent Subcommittee on Investigations (the "Subcommittee") Invest19ation into bank involvement with physical commod1t1es 

Other Reasons - No records 

Granted In Full 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

HQ-Cong-14-00002 

14-00008-AP 

14-00163-FOIA 

15-00001-FOIA 

15-00002-FOIA 

9/26/2014 

9/29/2014 

9/29/2014 

1011/2014 

10/2/2014 

aluminum 

Appeal of 14 00158-FOIA 

All registered 1ndIv1duals at Hamilton Williams LLC ID No# 0358241 from August 4,2005 through February 13,2008 

Request for emails, text messages and audio /lies relating to the CFTC case against JP Morgan Chase Bank, N.A. 

Request for information or records regarding all Freedom of Information Act requests received by the Commodity Futures Trading Commission (CFTC) 

Granted/Denied in Part 

Completely Affirmed 

Granted/Denied in Part 

Other Reasons - Request withdrawn 

Granted in Full 

15-00003-FOIA 

15-00004-FOIA 

15-00005-FOIA 

15-00001-AP 

15-00006-FOIA 

10/7/2014 

10/8/2014 

10/14/2014 

10/16/2014 

10/17/2014 

Records regarding the departure/resignation of Bart Chilton 

Request for 2013 Annual Report and Off1c1al Sponsored Publications, Books and Magazines 

I am seeking a list of correspondences between the CFTC and members of Congress and their offices from January 2007 and January 2014. 

Appeal of 14-00145-FOIA 

Correspondence between CFTC CommIssIoner Mark WetJen and any employee or representative of Koch Industries, between the dates of January 1, 

" "" " 

Granted/Denied in Part 

Other Reasons • Public Records 

Granted/Denied In Part 

Completely Affirmed 

Other Reasons - No records 

15-00007-FOIA 

15-00008-FOIA 

15-00009-FOIA 

15-00010-FOIA 

10/17/2014 

10/17/2014 

10/20/2014 

10/23/2014 

Records of any meetings between CFTC Commissioner Mark WetJen and any employee or representative of Koch Industries, between the dates of 

. All correspondence including emails, records of phone calls and letters between former CFTC chairman Gary Gensler and CFTC commIssIoners, 

"" "" .. Request a copy of all FOIA requests submitted to the (FTC, regardless of their final disposition from January 2011 to Octot>er 2014, 

Deposition transcript of James Traynor, taken on behalf of the Plaintiff, United States Attorney's Office, on January 13, 2012 in CIvII Action No. 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

15-00011-FOIA 

15-00012-FOIA 

15-00013-FOIA 

15-00014-FOIA 

15-00015-FOIA 

10/24/2014 

10/28/2014 

10/31/2014 

1116/2014 

1117/2014 

Michael Paul Dever ,NFA t48768 Granted/Denied in Part 

Request for information and compliance dec1s1ons regarding the CME/NYMEX exchange for Light Sweet Crude Oil (WT!} futures, Granted/Denied in Part 

General information on commodity trading Granted In Full 

Records relating to the CFTC Adm1n1strat1ve Action: George V, Zinck, Complainant v. Thomson, McKinnon Securities, Inc, B1ll1e Schachner and Crawford Granted In Full 

· "~ D 70. 

A listing of all current CFTC staff, 1nclud1ng name, title, pay plan, series, grade, base salary, total salary, SCD leave date, CFTC start date, date In grade, Granted/Denied in Part 

"' "" 
15-00016-FOIA 11/13/2014 

15-00017-FOIA 11/13/2014 

15-00018-FOIA 11/18/2014 

15-00019-FOIA 11/18/2014 

15-00020-FOIA 11/20/2014 

15-00021-FOIA 11/24/2014 

15-00022-FOIA 11/24/2014 

15-00023-FOIA 11/25/2014 

15-00024-FOIA 12/4/2014 

15-00025-FOIA 12/4/2014 

15-00001-CONS 1214/2014 

15-00001-REF 1214/2014 

15-00026-FOIA 12/9/2014 

15-00027-FOIA 12/10/2014 

15-00028-FOIA 12/10/2014 

15-00029-FOIA 12/10/2014 

15-00030-FOIA 12/19/2014 

15-00031-FOIA 12/19/2014 

15-00032-FOIA 12/29/2014 

15-00033-FOIA 12/29/2014 

15-00034-FOIA 12/29/2014 

15-00035-FOIA 12/29/2014 

15-00036-FOIA 12/29/2014 

15-00037-FOIA 12131/2014 

15-00038-FOIA 1/5/2015 

15-00039-FOIA 116/2015 

15-00040-FOIA 1/13/2015 

15-00041-FOIA 1/13/2015 

15-00042-FOIA 1/15/2015 

15-00043-FOIA 1/16/2015 

15-00044-FOIA 1/20/2015 

15-00045-FOIA 1/21/2015 

15-00046-FOIA 1/23/2015 

15-00047-FOIA 1/23/2015 

15-00048-FOIA 1/26/2015 

15-00049-FOIA 1127/2015 

15-00050-FOIA 1/27/2015 

15-00051-FOIA 1/30/2015 

From NFA; non-public NFA RegIstratIon Information 

Non-public NFA Registration Information 

Various records concerning the Commission's InvestIgatIon and prosecution of Eric Moncada, BES Capital LLC, or SerdIka LLC; information or records 

RegIstrat1on documents for NYBX Inc, LedgerX LLC, and NYBX Management LLC; all appl1cat1ons of ent1tIes that propose to create or trade BitcoInTelephone conversation passed to CFTC In or about April 2010 relating to the LIBOR InvestIgation at Barclays; conversation between Mark Dearlove and 

FOIA logs from January 1, 2011 through present. (Date Range for Record Search: From 01/01/2011 To 11/24/2014) 

[FTC Record Retention Schedule 

Documents, memos, communIcatIons, correspondence, emails, reports, affidavits, declarations, transcripts, witness statements, or any other documents 

that mention or reference(b)(6) from 1980 to present (Date Range for Record Search: From 01/01/1980 To 11/25/2014) 

Information or records concerning Matter of JPMorgan Chase Bank, CFTC Docket No. 12-37: information or records concerning trading (in Sept. and Oct. 

,m o, ' 00 

Information concerning the Matter of We1dong Ge and Sheenson Investments LTD , CFTC Docket No 12-35; 1nformatIon about trading and expiration of 

futures contract on ICE,~•· ,~. r ,~ '• -• ' 

Consultation -(b)(6) requested records on himself from the FBI. FBI records contain 1nformat1on concerning CFTC. 

Referral from FBI - requester Is seeking 1nformat1on about self and being on a White Collar Criminals List; the records include letters to the FBI about 

·" ~, h1/R1 Information from COMEX or similar - High Grade Copper Future closing prices for all of November 2004 through March 2005, 1nclud1ng future prices 

Information referred to or relied upon In the CFTC's order against Merrill Lynch Commodities, [FTC Docket No. 12-05, ICE March 2011 Cotton No. 

' 

' Information referred or relied on in the [FTC Order against Australia and New Zealand Banking Group, Ltd., [FTC Docket No. 12-36; information 

,o . ,,,, "· ." 

OIG reports, etc., about closed investIgat1ons involving pornography or misuse of government computers for 2011, 2012, 2013, and 2014. 

All documents received or produced In any and all investIgatIons and lItIgatIons adverse to (b)(6) and Paron Capital Management, LLC. 

Letter dated November 26, 2014, from DCR to The Clearing Corporation of India Ltd. 

Pending or current regulatory or criminal Investigat1on of(b)/6) oersonally and In his capacity as officer of FOO Partners, LLC, for the last ten 

Tn 1?ncinn,41 

Pend Ing or current regulatory or crimI nal Investigat1on of (b)(6) personally and In his capacity as employee of Typhon Capital

• So 

Pend Ing or current regulatory or crimI nal Investigat1on of /b)/61 personally and In his capacity as an ofr.cer of 201 Capital, LLC, for past ten .. ' 

Pending or current regulator, or cnmInal InvestigatIon of (b)(6) personally and In his capamy as an officer of ROW Asset Management, LLC, 

" Pend Ing or current regulator, or cnmI nal InvestIgatIon of (b)(6) personally and In his capacity as an officer of Gamma Q, LLC, for past ten years. 

''° For 2010, 2011, 2012, 2013, & 2014 - Number of Matters Under Inquiry opened & closed; number of InvestIgatIons opened & closed. 

Statements filed with OGC between 1/1/10 through 12(31/14 - former CFTC members/employees who, w/In 2 yrs of leaving CFTC, were employed or 

retained by outside parties on matters which they expected to appear t>efore the Commission. (Date Range for Record Search, From 01/01/2010 To 

Foreign exchange chatroom logs from 2009-2012 that CFTC based dec1s1on to levy fines on CItI, UBS, HSBC, JPM, & RBS. 

Correspondence between CFTC and Elise J. (Josan) Bean, an employee of the US Senate 

Documents and communIcatIons relating to Barclays PLC and L1bor 

Non-public registration documents for Jay Steven W1ntrob (NFA #454497) 

Reports prepared by the "monitor" required by October 2011 settlement between Forex Capital Markets and CFTC 

License 1nformat1on -(b)/6) 

Information and records regarding [FTC Letter No. 14-134 

CFTC Staff Private Guidance Letter that describes the CFTC exemptive approach including application procedures, elIgIbllIty requirements and lImItation ..• 

Alphabetical l1st1ng of all current CFTC employees (no contractors) showing Last Name, First Name, Title, DIvIsIon, Telephone Number and City, 

Farr Financial Inc. v, Lundquist & Associates LLP 

Trades that were clear port and/or ICE entered for OTC nat gas desk for the firm of McNamara Options aka, dba, McNamara Options LLC 

Any and all correspondence between off1c1als and/or staff of the CFTC and Koch Industries Supply and Trading 

Information referred or relied on in the [FTC Order against Diam Jnternational, Ltd. and Diam Americas, Jnc., [FTC Docket No. 15-13, information 

concerning their trading of ICE Cocoa futures in Fet>ruary 2011, Fet>ruary 2012, and April 2012; reports provided t,y Diam . (Date Range for Record 

.. ' 

Granted/Denied in Part 

Granted/Denied In Part 

other Reasons - Request withdrawn 

other Reasons - Request withdrawn 

Denied In Full 

Granted/Denied in Part 

Granted in Full 

Denied In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Granted In Full 

Granted/Denied in Part 

Other Reasons - Not an agency record 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

other Reasons - No records 

Granted/Denied In Part 

Granted In Full 

other Reasons - No records 

other Reasons - No records 

other Reasons - No records 

other Reasons • No records 

Other Reasons - Request withdrawn 

Granted In Full 

Granted/Denied in Part 

Denied In Full 

Granted/Denied in Part 

Denied In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Granted in Full 

Granted In Full 

Granted In Full 

Other Reasons - Not an agency record 

other Reasons· Request withdrawn 

Granted/Denied in Part 

Other Reasons - Request withdrawn 
15-00052-FOIA 1/30/2015 CommIssIon papers concerning high-frequency trading & automated trading for 1998 through present. (Date Range for Record Search: From other Reasons· Request withdrawn

15-00053-FOIA 

15-00054-FOIA 

15-00055-FOIA 

1/30/2015 

1/30/2015 

2/2/2015 

CommIssIon information about spoofing for 2010 through present (Date Range for Record 5earch: From 01/01/2010 To 01/30/2015) 

Underlying datat>ase for NFA's BASIC 

Data enumerating the total number of special calls issued annually for each of the years 2008 through 2014, and the total annual number of recipients 

15-00056-FOIA 

15-00057-FOIA 

212/2015 

212/2015 

A copy of the off1c1al bu1ld1ng vIsItor log to the CFTC, IncludIng the name of vIsItor, date of vIsIt, time In, time out, and person or office to whom the 

" A copy of CommIssIoner Chris GIancarlo's personal meeting schedule, from the time he took office as a commIssIoner on June 16, 2014 through present. 

15-00058-FOIA 2/2/2015 A copy of all emails between CFTC CommIssIoner Chris Giancarlo, his staff and any company o/flc1als, lobbyists, attorneys, public affairs representatives, 

or trade associations who are representing the interests of the swap execution fac1l1ty (SEF) industry from June 16, 2014 through present. 

15-00059-FOIA 

15-00060-FOIA 

2/3/2015 

2/4/2015 

Daily data for options on Eurodollar futures from 2008 to the present. 

A list or schedule of all external meetings held by Chairman Timothy Massad during the year 2014, 1nclud1ng the date, time, location and partIcIpants In 

15-00061-FOIA 2/3/2015 A 11st or schedule of all external meetings held by Chairman Gary Gensler during the year 2014, induding the date, time, location and participants in the 

15-00062-FOIA 2/4/2015 A 11st or schedule of all external meetings held by Commissioner Mark Wetjen during the year 2014, including the date, time, location and participants In 

15-00063-FOIA 2/4/2015 A list or schedule of all external meetings held by Comm1ssIoner Bart Chilton during the year 2014, including the date, time, location and part1c1pants In 

15-00064-FOIA 214/2015 A list or schedule of all external meetings held by Commissioner Sharon Bowen during the year 2014, IncludIng the date, time, location and participants 

15-00065-FOIA 

15-00066-FOIA 

214/2015 

214/2015 

A list or schedule of all external meetings held by Commissioner J. Christopher Giancarlo during the year 2014, including the date, time, location and 

'" A list or schedule of all external meetings held by Commissioner Scott O'Mal1a during the year 2014, 1nclud1ng the date, time, location and partIcIpants i 

15-00067-FOIA 2/4/2015 A list or schedule of all external meetings held by Commissioner Jill Sommers during the year 2013, 1nclud1ng the date, time, location and partIcIpants In 

15-00075-FOIA 

15-00076-FOIA 

2/18/2015 

2/18/2015 

List of all direct examInatIons of FCMs and RFEDs conducted between January 1, 2012 and February 16, 2015 

The number of referrals to the Department of Justice for alleged obstruction of JUStIce and/or periury relating to an CFTC invest1gat1on for fiscal years 

'" 

15-00077-FOIA 

15-00078-FOIA 

15-00079-FOIA 

15-00080-FOIA 

2/19/2015 

2/26/2015 

2/26/2015 

2/26/2015 

Any and all records that pertain to the InvestIgatIon and pending enforcement action set to be taken against BP PLC 

Current list of firms and registered brokers that deal In In commod1t1es and futures. 

Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against(b)(6) 

/h1/R1 ,,... ,. "'· "C • 

IAny and all records wIth1n the last ten years pertaInIng to a prior, pending or current, regulatory or criminal invest1gation(s) or actIon(s) against omcers 

15-00081-FOIA 

15-00082-FOIA 

2/26/2015 

2/26/2015 

\~ny and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against (b)(6) 

(b)(6) 

Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers 

15-00083-FOIA 

15-00084-FOIA 

15-00085-FOIA 

15-00086-FOIA 

15-00087-FOIA 

2/26/2015 

2/26/2015 

2/26/2015 

2/26/2015 

2/26/2015 

Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers 

C 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or act1on(s) against officers . Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against officers 

. Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against officers 

"C 

Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against officers 

15-00088-FOIA 

15-00089-FOIA 

15-00090-FOIA 

2/26/2015 

2/26/2015 

2/26/2015 

Any and all records wIth1n the last ten years pertaInIng to a prior, pending or current, regulatory or criminal invest1gation(s) or actIon(s) against omcers . Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers ,c 

Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers 

15-00091-FOIA 

15-00092-FOIA 

15-00093-FOIA 

2/26/2015 

2/26/2015 

2/26/2015 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or act1on(s) against officers . ·" 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or act1on(s) against officers ,. 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or act1on(s) against officers 

,c 

Granted In Full 

Other Reasons - Not an agency record 

other Reasons - No records 

Granted/Denied in Part 

Granted In Full 

Granted/Denied in Part 

Denied In Full 

Granted In Full 

Other Reasons - No records 

Granted in Full 

other Reasons - No records 

other Reasons • No records 

Granted In Full 

other Reasons • No records 

Other Reasons - No records 

Denied in Full 

other Reasons - No records 

Denied In Full 

Granted In Full 

Other Reasons - No records 

other Reasons - No records 

other Reasons • No records 

other Reasons • No records 

other Reasons • No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons - No records 

other Reasons • No records 

other Reasons • No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 
15-00094-FOIA 2/26/2015 Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers other Reasons • No records

15-00095-FOIA 2/26/2015 

15-00096-FOIA 2/26/2015 

15-00097-FOIA 2/26/2015 

15-00098-FOIA 2/26/2015 

15-00099-FOIA 2/26/2015 

15-00100-FOIA 2/26/2015 

15-00101-FOIA 2/26/2015 

15-00102-FOIA 2/26/2015 

15-00002-FPA 3/27/2015 

15-00103-FOIA 314/2015 

15-00104-FOIA 3/4/2015 

15-00105-FOIA 314/2015 

15-00106-FOIA 314/2015 

15-00107-FOIA 314/2015 

15-00108-FOIA 3/4/2015 

15-00109-FOIA 3/4/2015 

15-00110-FOIA 3/4/2015 

15-00111-FOIA 3/11/2015 

15-00112-FOIA 3/11/2015 

15-00113-FOIA 3/12/2015 

15-00114-FOIA 3/12/2015 

15-00115-FOIA 3/12/2015 

15-00116-FOIA 3/12/2015 

15-00117-FOIA 3/12/2015 

15-00118-FOIA 3/12/2015 

15-00119-FOIA 3/13/2015 

15-00120-FOIA 3/18/2015 

15-00121-FOIA 3/18/2015 

15-00122-FOIA 3/18/2015 

15-00123-FOIA 3/18/2015 

15-00124-FOIA 3/23/2015 

15-00125-FOIA 3/27/2015 

15-00002-AP 3/27/2015 

15-00126-FOIA 3/31/2015 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal 1nvest1gat1on(s) or act1on(s) aga1nst(b)(6

. h1/R1 

Any and all records w1th1n the last ten years pertaining to a prior, pending or current, regulatory or criminal 1nvest1gat1on(s) or act1on(s) against officers ,. Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against officers 

Any and all records within the last ten years pertaining to a prior, pending or current, regulatory or criminal invest1gat1on(s) or action(s) against officers C 

Any and all records wIth1n the last ten years pertaInIng to a prior, pending or current, regulatory or criminal invest1gation(s) or actIon(s) against omcers 

". ". 

Any and all records wIth1n the last ten years pertaInIng to a prior, pending or current, regulatory or criminal invest1gation(s) or actIon(s) against omcers 

Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers 

Any and all records wIthIn the last ten years pertaining to a prior, pending or current, regulatory or criminal investIgation{s) or act1on(s) against officers ,. 

Information from 1992 through present (sec clarif1cat1on email - 1nformat1on about herself and/or(b)(6) from 1992 until present) 

'"" All communications between the CFTC Office of Public Affairs and David Evans, Bloomberg; Silla Brush, Bloomberg; Robert Schmidt, Bloomberg; and 

All credit chat logs released to the public domain t,y public affairs or as exh1b1ts in enforcement orders and settlements during 2012-2013 related to the 

CFTC's decision to levy penalties on UBS, Raboban~, Barclays, RBS, Lloyds Ban~, ICAP, Deutchebank, JP Morgan and CItI for LIBOR rate man1pulat1on 

All foreign exchange chats released to the public domain by public affairs or as exh1b1ts In enforcement orders and settlements during 2014-2015 related 

'" All foreign exchange chatroom logs related to the enforcement order and settlement between the CFTC and UBS (CFTC Docket No. 15 06) dated 

All foreign exchange chatroom logs related to the enforcement order and settlement between the CFTC and CItI CFTC Docket No. 15 03) dated .. All foreign exchange chatroom logs related to the enforcement order and settlement t>etween the CFTC and RBS (CFTC Docket No. 15 05) dated 

.. All foreign exchange chatroom logs related to the enforcement order and settlement between the CFTC and HSBC (CFTC Docket No. 15 07) dated 

.. All foreign exchange chatroom logs related to the enforcement order and settlement between the CFTC and JP Morgan (CFTC Docket No. 15 04) dated .. May 1, 2013, letter from North American Derivatives Exchange (Nadex) to DCR 

NFA 8-R forms - Edward Patrick Garden (NFA 1'0346850) 

Copies of (or access to) any communIcatIons between agency staff or ofr.cials and any staff or officials representing the office of Florida Senator Rand 

Copies of (or access to) any communIcatIons between agency staff or ofr.cials and any staff or officials representing the office of Texas Senator Ted Cruz 

Copies of {or access to) any communIcatIons between agency staff or officials and any staff or officials representing the office of Florida Senator Marco 

Copies of {or access to) any communIcatIons between agency staff or officials and any staff or officials representing the office of Florida Governor Jeb 

information: Pursuant to the Freedom of Informat1on Act, 5 U.S. C. et seq ("FOIA"), I request copies of (or access to) any communications between 

agency staff or off1c1als and any staff or off1c1als representing the office of Louisiana Governor Bobby Jindal, 1nclud1ng but not lImIted to: electronic 

communications, written communIcatIons and/or scheduled meetings on calendars and Freedom of Information Act requests from the dates Feb. 1, 208-

Copies of (or access to} any communications between agency staff or officials and any staff or officials representing the office of New Jersey Governor 

How many NFA members have reported incidents to the (FTC relating to cyber-crime and cyber-security in a) 2014 and b} 2013> 

E-mails, appointment log records, calendar entries and/or telephone records from the Office of CommIss1oner Giancarlo that reference Richard Painter 

'" '" 

Correspondence and Emails In CommIssIoner Giancarlo's Office Regarding Bloomberg 

Appointment calendar entries, appointment logs or telephone records that show meetings and/or the daily schedule of Commissioner J, Christopher 

Information Regarding Paralegal Specialist Vacancy Ann, '" CFTC-DOE-2015-0009 

All documentation related to the CFTC database In which registration records for 1ndiv1duals registered with the Commission are held 

Request for prospectus 

Appeal of decision to deny expedited processing of 15-00121 FOJA 

Publicly available registration documents and related information on file with NFA for Farr FInancIal and OmId Farr from 2003 though 2013 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons - No records 

other Reasons - No records 

other Reasons • No records 

other Reasons • No records 

Other Reasons - Fee-related reason 

Granted/Denied In Part 

Other Reasons - Public Records 

Other Reasons - Public Records 

Denied In Full 

Denied In Full 

Denied in Full 

Denied In Full 

Denied In Full 

Granted In Full 

Other Reasons - Request withdrawn 

other Reasons - No records 

Granted/Denied in Part 

other Reasons • No records 

other Reasons • No records 

other Reasons • No records 

Granted/Denied in Part 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons - Fee-related reason 

Granted In Full 

Other Reasons - No records 

Completely Affirmed 

Granted/Denied In Part 
15-00127-FOIA 

15-00128-FOIA 

15-00129-FOIA 

15-00130-FOIA 

15-00131-FOIA 

15-00132-FOIA 

15-00133-FOIA 

15-00134-FOIA 

15-00135-FOIA 

15-00136-FOIA 

15-00137-FOIA 

15-00138-FOIA 

15-00139-FOIA 

15-00140-FOIA 

15-00141-FOIA 

15-00142-FOIA 

15-00003-AP 

15-00143-FOIA 

15-00144-FOIA 

15-00145-FOIA 

15-00146-FOIA 

15-00002-CONS 

15-00147-FOIA 

15-00148-FOIA 

15-00149-FOIA 

15-00004-AP 

15-00005-AP 

15-00151-FOIA 

15-00152-FOIA 

15-00153-FOIA 

15-00154-FOIA 

15-00155-FOIA 

15-00156-FOIA 

15-00157-FOIA 

15-00158-FOIA 

15-00159-FOIA 

15-00160-FOIA 

15-00161-FOIA 

15-00162-FOIA 

15-00163-FOIA 

15-00164-FOIA 

412/2015 

4/7/2015 

4/7/2015 

418/2015 

4/15/2015 

4/16/2015 

4/23/2015 

4/24/2015 

4/24/2015 

4/24/2015 

4/24/2015 

4/24/2015 

514/2015 

5/4/2015 

5/4/2015 

5/4/2015 

5/4/2015 

5/5/2015 

515/2015 

5/11/2015 

5/11/2015 

5/12/2015 

Documents Related to AU Services 

Periodic exam of the Nat1ona I Futures Association. 

Rev,ew of CME Group's arbitration process 

A copy of the log of requests to the CFTC made under the Freedom of Information Act (FOIA) since Jan. 1, 2015 

In re CFTC v. kraft Foods Group and Mondelez Global LLC 

Alphabetical l1st1ng of all current CFTC employees (no contractors) 

Records, 1nclud1ng e-mails and letters, to Bloomberg LP and/or any of its representatives that request any reproductions, of chat logs and e malls sent 

- ' -- Public and Non-Put>lic Records of Marc Furstern 

Cop,es of all e-mails between Andrei kirllenko, former CFTF economist, and employees of the Chicago Mercantile Exchange (aka CME Group) between 

"'" Copies of all e-mails between Harold Hild, senior economist ,n the d1v1s1on of market oversight, and employees of the Chicago Mercantile Exchange 

0, '"- " ' - Copies of all e-mails between John Polise, associate director ,n the d1v1s1on of market oversight, and employees of the Chicago Mercantile Exchange 

Copies of all e-mails between Richard Shilts, former director of the d1v1s1on of market oversight, and employees of the Chicago Mercantile Exchange 

A copy of the CFTC O!G Audit of the Dodd-Frank Wh1stleblower Program 

A copy of the Final Report of the 2008-2009 Jnvestigat1on regarding the lnteragency Task Force on Commodity Markets Interim Report on Crude 011. 

A copy of the following CFTC Office of Inspector General Review· the Review of Agency Use of Contractors. 

A copy of the CFTC OIG Peer Review of the Ex-Im Bank Office of Inspector General Program. 

Appeal of 15-00043-FOIA 

Complaints received by the CFTC Office of Inspector General from 2010 through 2015 

Copy of the complaints received by the CFTC Office of Inspector General during calendar years 2013 and 2014. 

Complaints rec'd by the CFTC DIG from 2005 through 2014 (Date Range for Record Search From 01/01/2005 To 12/31/2014) 

Each complaint received by the CFTC OIG during 2014. (Date Range for Record Search: From 01/01/2014 To 12/31/2014) 

SEC Request No. 15-01163-FOJA 

4/11/2014 (b)(6) 

811/2014 

5/26/2015 

2/13/2015 Appeal of 14-00092-FOIA 

417/2014 Apppeal of 14·00081-FOIA 

6/3/2015 All communications, including letters and e-mails, between the offices of Representative K, Michael Conaway and/or the House Agriculture Committee 

6/4/2015 Records and emails and data sent to and received from various domain names 

6/5/2015 Records provided in response to FOIA Request No. 13 00046, requested on March 1, 2013, concerning "data reflecting the total volume ,n NYSE L1ffe 

EURJBOR futures contracts '; and all information and records regarding the total number of US -based NYSE LlFFE Euribor futures contracts traded ,.. ,, ,, " ' 

6/8/2015 Rule enforcement reviews t,y OCR for clearinghouses since January I, 2010. (Date Range for Record Search From 01/01/2010 To 06/08/2015) 

6/8/2015 OIG Report Information 

6/8/2015 Records regard 1ng the London Metal Exchange's (LME's) appl1cat1on for reg1strat1on as a Foreign Board of Trade; LM E-11censed aluminum warehouses; 

6/8/2015 All records 1n CFTC FOIA Request File 10-0094 regarding the 1992 NYMEX ACCESS Report 

6/9/2015 Membership information of (b)(6) 

6/11/2015 Copies of all e-mails between Gary Gensler, former CFTC commissioner, and employees of the Chicago Mercantile Exchange (a.k.a. CME Group) between 

6/15/2015 The number of complaints submitted to the CFTC by investors related to the CFTC or CME arb1trat1on schemes 1n each of the following years: 2010, 

" 6/15/2015 The number of arb1trat1on claims hied 1n the CME Group scheme (http://www.cmegroup.com/market-regulat1on/dispute-resolut1on/arb1trat1on- .. 6/17/2015 Data refiect1ng the total volume in NYSE LlFFE three month Euro Swiss Franc Interest Rate futures Contracts 

6/18/2015 Any commun1cat1on with the London Metal Exchange related to ,ts application to be registered as a "foreign board of trade"' from January 2012 to 

6/18/2015 Any commun1cat1on with Novelis related to aluminum and warehousing from January 2010 to present day 

Granted/Denied in Part 

Other Reasons - No records 

other Reasons - No records 

Granted rn Full 

Denied in Full 

Granted ,n Full 

Other Reasons - No records 

Granted in Full 

other Reasons - No records 

Granted/Denied in Part 

other Reasons • No records 

Other Reasons - No records 

Other Reasons - Public Records 

Granted/Denied 1n Part 

Granted in Full 

Granted in Full 

Completely Affirmed 

Granted/Denied in Part 

Granted/Denied rn Part 

Granted/Denied rn Part 

Granted/Denied in Part 

Denied in Full 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - Not a proper FOJA 

Completely Affirmed 

other Reasons • Fee-related reason 

Granted in Full 

Other Reasons - No records 

Granted ,n Full 

Other Reasons - No records 

other Reasons - Public Records 

Granted/Denied rn Part 

Granted ,n Full 

Granted/Denied rn Part 

other Reasons • No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons - Request withdrawn 

other Reasons - Request Withdrawn 
15-00165-FOIA 6/18/2015 Any communIcatIon with Traf1gura related to North European Marine Services Ltd, also known as NEMS, and now part of Traf1gura·s logistics unit, Impala other Reasons· Request withdrawn

15-00166-FOIA 

15-00167-FOIA 

15-00168-FOIA 

15-00169-FOIA 

15-00170-FOIA 

15-00171-FOIA 

15-00172-FOIA 

15-00173-FOIA 

15-00174-FOIA 

15-00175-FOIA 

15-00176-FOIA 

15-00177-FOIA 

15-00006-AP 

15-00007-AP 

15-00178-FOIA 

15-00179-FOIA 

15-00180-FOIA 

15-00008-AP 

15-00181-FOIA 

15-00182-FOIA 

15-00183-FOIA 

15-00184-FOIA 

15-00009-AP 

15-00185-FOIA 

15-00186-FOIA 

15-00187-FOIA 

15-00188-FOIA 

15-00189-FOIA 

15-00190-FOIA 

15-00003-CONS 

15-00191-FOIA 

15-00192-FOIA 

15-00193-FOIA 

15-00194-FOIA 

15-00195-FOIA 

15-00196-FOIA 

6/18/2015 

6/18/2015 

6/18/2015 

6/18/2015 

6/18/2015 

6/19/2015 

6/23/2015 

6/23/2015 

6/24/2015 

6/26/2015 

6/26/2015 

6/30/2015 

6/29/2015 

7/1/2015 

7/6/2015 

7/8/2015 

7/9/2015 

7/9/2015 

7/10/2015 

7/15/2015 

7/15/2015 

7/15/2015 

7/17/2015 

7/20/2015 

7/21/2015 

7121/2015 

7122/2015 

7/23/2015 

7/28/2015 

7/28/2015 

7130/2015 

7130/2015 

7/30/2015 

7/30/2015 

7/30/2015 

7/30/2015 

Any communIcatIon with Glencore related to PacorinI, ,ts warehousing subs1d1ary, from January 2010 to present day 

Any communication with Alcoa related to warehousing and aluminum from January 2010 to present day 

Any commun1catIon with MillerCoors related to warehousing from January 2010 to present day 

Any communIcatIon with the London Metal Exchange related to warehousing from January 2010 to present day 

( 1) The letter from CFTC Chairman William Rainer to Congress (apparently dated February 8, 2000); and (2) 2. For the period 1999-2001, 

correspondence related to item J including, but not limited to, letters from members of Congress, the House Agriculture Committee, or Senate 

InvestIgatIve file of (b)(6) 

Records related to the CFTC's Investigat1on into the Commission's website go,ng down on March 18, 2015 

Records related to categories of CFTC registrants and registrant demographics 

Agency enforcement action for the period of 1975 to present 

Enforcement Data that will show Date of Enforcement, Reason for enforcement (Fraud, Man,pulat,on, etc.), Civil Penalty dollars, settlement dollars, 

Direct correspondence, IncludIng electronic correspondence, from emailaddresses@blunt.senate.gov related to the following issues, between January 

Correspondence between CFTC staff and Commissioners and any representative of Koch (Date Range for Record Search: From 01/01/2007 To 

15-00163-FOIA to 15-00169-FOIA - Appeal of Fee Waiver Denial 

Appeal of 14-00152-FOIA 

I request to see any Narrative or Case Documents summary relating to the CFTC action taken as to GEORGE DANIEL FLYNN LAMBORN, Case tr 02-14; 

Effective Date 06/06/2003; Case Outcome - FINE $25,000 - CEASE AND DESJST ORDER - COMMISSJON ORDER - DISMISSED - OTHER (SEE 

Records regarding No-Act,on requestsseek,ng relief from Anti-Money Laundering ("AML ") regulations 

Records regarding Rosland Capital, LLC 

Appeal the CFTC FO]A Office's response to 15-00173 FOIA 

Incoming and Outgoing Emails between Agency Email Accounts from 2007 to May 19 to or from various email accounts referencing Jeb Bush 

Communications to foreign government off1c1als regarding NAFTA and any free trade agreement 

Data rdlect1ng the total volume In NYSE LIFFE three month Sterling Interest Rate futures contracts origInatIng from LIFFE CONNECT Appl1cat1on 

(FTC Docket No. 15-25, In the Matter of: Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc 

Appeal of 14-00159-FOIA 

Printout listing Office of Inspector General InvestIgatIons closed during calendar year 2014 and 2015 up to July 20, 2015. 

Gro Intelligence is seeking a complete 11st of firms registered with the CFTC, ,nclud,ng their most recent reported net capital level 

A request for any of the daily calendars of Timothy Massad, chairman, between June 15, 2014 and July 15, 2015. (Date Range for Record Search: From 

Request for daily data on futures posItIons from the Large Trader Reporting System (LTRS) • the longest data series available, and for all futures 

Request for all white papers, Power Point presentations, policy summaries, talking points and e-mails on "spoofing" from the period January 29, 2015, 

July 22, 2015. A similar request for the period of 2010 to January 2015 was previously made, but there has since been several large discussions and ' cases related to spoofing. This request Is meant to be a follow-up on the previous request. (Date Range for Record Search: From 01/29/2015 To 

(FTC Enforcement Actions: Civil Monetary Penalties from October 1, 2004 to the Present 

Consultation to SEC on Request for Interagency Agreements between the SEC Office of AU and other Federal Agencies 

I am requesting 1nformat1on or records regarding this request to seek access to an electronic/d1g1tal copy of the CFTC FOIA case log from the time

.. .. "' ." 

Request for all memos and emails written by Lawranne Stewart to any employee or agent of CItIgroup referencing "swaps pushout" or the "pushout

• .. Request for copies of all memos and emails written by Lawranne Stewart to any employee or agent of J.P. Morgan Chase & Co. referencing "swaps . . .. " 

Request for copies of all memos and emails written by Lawranne Stewart to any off,c,al in the United States Department of the Treasury referencing

.. .'" 

Request for copies all memos and emails written by Lawranne Stewart to any official ,n the Executive Office of the President referencing "swaps 

."' • .. Request for copies of all memos and emails written by Lawranne Stewart to any member of the United States Senate, or to any Senate staff, referencing . .. 

Other Reasons - Request withdrawn 

Other Reasons - Request withdrawn 

Other Reasons - Request withdrawn 

Other Reasons - Request withdrawn 

Granted in Full 

Granted/Denied ,n Part 

Other Reasons - No records 

Granted In Full 

Other Reasons - Public Records 

Granted ,n Full 

other Reasons • No records 

Granted/Denied in Part 

Other Reasons - Fee-related reason 

Completely Affirmed 

Granted In Full 

Granted in Full 

Denied In Full 

Completely Affirmed 

other Reasons· Records not reasonably 

Other Reasons • No records 

Other Reasons - No records 

Denied in Full 

Completely Reversed/Remanded 

Other Reasons - No records 

other Reasons - Request withdrawn 

Granted/Denied in Part 

other Reasons • Public Records 

Granted/Denied ,n Part 

Granted in Full 

Granted In Full 

Granted In Full 

Other Reasons - No records 

Other Reasons - No records 

other Reasons - No records 

other Reasons - No records 

other Reasons • No records 
15-00197-FOIA 7/30/2015 Request for all memos and emails written by Lawranne Stewart to any member of the United States House of Representatives, or their staff, referencing .. other Reasons • No records 

15-00198-FOIA 813/2015 (1) The December 18 memo to the CommIssIoners mentioned In this article: http://www.reuters.com/art1cle/2012/11120/us-11bor-/lx1ng-or1g1nsIdUSBRE8AJOMH20121120 '"After studying the comment letters and interviewing banks that partIcIpated ,n the CME and BBA surveys, the CFTC's 

Division of Economic Analysis decided in favor of the BBA survey, according to a person familiar with the analysis at the time. In a December 18. 1996, 

memo to CFTC commissioners, the analysis unit said BBA L1bor "does not appear to be readily susceptible to man1pulat1on "" (2) Any other documents. 

such as other internal memos, related to the 1996 transition of CME contracts toward the use of a BBA survey. 

Granted/Denied in Part 

15-00199-FOIA 8/5/2015 Description of Information Requested Requesting an alphabetical listing of all current CFTC employees (no contractors) showing Last Name, First Name, Granted in Full 

15-00200-FOIA 8/7/2015 Seeking a copy of each response to a Question for the Record (QFR) provided to Congress by the CFTC (Date Range for Record Search: From Granted/Denied in Part 

15-00201-FOIA 8/7/2015 Seeking a d1gital/electronIc copy of the most recent CFTC Public Affa1cs Communications Plan (1 e a press/external relations plan) Granted In Full 

15-00202-FOIA 8/11/2015 The "report" prepared by the CFTC's Inspector General, circulated internally on or about June 16 -19, 2015, concerning the General Law Section of the Denied ,n Full 

15-00203-FOIA 

15-00204-FOIA 

8/13/2015 

8/13/2015 

request a copy of the contents of the admI nistratIve tracking/processing folder/file associated with • the 5 oldest pend Ing FO!A ad mInistratIve appeals

. . Any and all emails to/from, including attachments, anyone with the domain@b1part1sanpolicy.org; ae1.org; coincenter.org; ourf1nancialsecurity.org and 

the CommIssIoners, the Chair, their staff members, and any person working wIthIn the Office of the Chief Economist between January 1, 2013 and the 

date upon which you retrieve the records. Any and all emails to/from, 1nclud1ng attachments, the Commissioners, the Chair, their staff members, and 

the following IndIvIduals: Martin Neil Baily, Phillip L. Swagel, Annette L. Nazareth, James C. s,von, Gregory P. Wilson, Aaron Klein, Justin SchardIn, 

Kristofer ReadlIng and Olivia Weiss between January 1, 2013 and the date upon which you retrieve the records. 

Granted ,n Full 

Other Reasons - Records not reasonably 

described 

15-00205-FOIA 8/14/2015 How many employees attended the Annual Black Hat USA Information Conference in Las Vegas from 2000 through 2015 Other Reasons - No records 

15-00206-FOIA 8/17/2015 Request an electronic copy (e.g. pdfs on a CD-ROM or v,a email) of all memos and emails written to Lawranne Stewart by Paul Thornell, or by Lawranne Granted/Denied in Part 

15-00207-FOIA 

15-00208-FOIA 

15-00209-FOIA 

8/17/2015 

8/17/2015 

8/20/2015 

Request an electronic copy (e.g. pdfs on a CD ROM or via email) of all memos and emails written to Lawranne Stewart by Hillary West, or by Lawranne 

Cc .. . .. Request an electronic copy (e.g. pdfs on a CD ROM or via email) of all memos and emails written to Lawranne Stewart by Tim Coote, or by Lawranne 

•• " Copies of the CFTC's current lease or occupancy agreements and any amendments related to the (FTC offices at 1155 21st St NW, 525 West Monroe St 

Other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

15-00210-FOIA 

15-00211-FOIA 

15-00212-FOIA 

9/9/2015 

8/20/2015 

8/21/2015 

seek access to emails. articles. and correspondence between the CFTC and CME regarding what constitutes anti-spooring v1olat1ons, from July 21. 2010 Denied In Full 

to the present. This search Is to also indude records between (FTC staff that reflect any discussions or correspondence with CME regarding ant, spoofing .. seeking records among the CFTC and between the CFTC and Mexican entItIes regarding swap data reporting and post trade transparency (including Granted ,n Full 

' 1-, Tn I~\ 

an electronic copy (e.g. pdfs on a CD-ROM or via email} of all memos and emails written to or by Lawranne Stewart January 1, 2015 and August 12th, Granted/Denied in Part 

20 15 concerning : ( a) a "swap dealer" or "swap dealers, 'or (b) 1nclud1ng the word "relief'" in the same document as "non US" or "transaction -level 

requirements," or "swap," or (c) 1nclud1ng the words "delay" and "derivatives" or "swap," (Date Range for Record Search: From 01/01/2015 To 

15-00213-FOIA 8/21/2015 an electronic copy (e.g. pdfs on a CD-ROM or via email) of all memos and emails written to or by Clark OgIlv1e or Timothy Massad between June 15, 

2014 and August 19th, 2015 concerning: (a) a "swap dealer" or "swap dealers,"' or (b) 1nclud1ng the word "relief" ,n the same document as "non-US" o, 

"transaction-level requirements, 'or "swap,"' or (c) including the words "delay"' and "derivatives"' or "swap, '(Date Range for Record Search: From 

Granted/Denied in Part 

15-00214-FOIA 

15-00215-FOIA 

8/21/2015 

8/21/2015 

an electronic copy {e.g. pdfs on a CD-ROM or v,a email) of all memos, letters and emails (a) from John White to either Clark Ogilvie or Timothy Massad 

between June 15, 2014 and August 19th, 2015; or (b) from either Clark Ogilvie or Timothy Massad to John White between June 15. 2014 and August .. . ... an electronic copy (e.g. pdfs on a CD-ROM or via email) of all memos. letters and emails (a) from the law firm of Cravath, Swaine & Moore to either 

Clark Ogilvie or Timothy Massad between June 15, 2014 and August 19th, 2015; or (b) from either Clark OgIlv1e or Timothy Massad to the law firm of 

the law firm of Cravath, Swaine & Moore t>etween June 15, 2014 and August 19th, 2015. To reduce the scope of work this entails, the search can be 

other Reasons • No records 

other Reasons - No records 

15-00216-FOIA 8/26/2015 Request an electronic copy of all memos and emails written to or by Lawranne Stewart: (a) With any representative of the Futures Industry Association, . .. Granted/Denied in Part 

15-00217-FOIA 

15-00218-FOIA 

15-00219-FOIA 

15-00220-FOIA 

15-00221-FOIA 

8/26/2015 

8131/2015 

9/10/2015 

9/16/2015 

9/16/2015 

Request an electronic copy (e.g. pdfs on a CD-ROM or v,a email) of all memos and emails written to or by Timothy Massad contaInIng the phrase (a) Granted/Denied in Part • oc . .. l request the following document under the Freedom of Information Act: > > Management Advisory issued June19, 2015 regarding the Office of General Denied ,n Full 

. CFTC Interpretive Letter 86-8, which is dated April 4, J986 (Date Range for Record Search: From 04/04/1986 To 04/04/1986) Granted in Full 

Copy of all memos and emails written to Timothy Massad or Clark Ogilvie from Chris (or Christopher) Brummer. or from Timothy Massad or Clark Ogilvie other Reasons - No records

.. Records associated With the following specified CFTC FO!A Cases: 14-00001-FO!A 14-00003-FO!A 14-00016-FO!A 14-00031-FO!A 14-00076-FO!A Granted ,n Full 

15-00222-FOIA 9/17/2015 requesting 1nformat1on or records regarding the No-Action Letters Concerning the UnIversIty of Iowa's Iowa Electronic Markets under file number RFOS· Granted ,n Full 

15-00004-CONS 9/17/2015 Request for Consultation on FDIC FO!A Request Log No. 15-0478 Granted ,n Full
15-00223-FOIA 9/18/2015 InvestigatIve documents or records concerning (b)(6) Medley Global Advisors from Jan. 1, 201415-0022 to the present Other Reasons • No records

15-00124-FOIA 9/21/2015 requesting all communications regarding the practice and regulation of the retail foreign exchange market between the CFTC, CME, NFA, and FXCM Granted In Full

15-00125-FOIA 9/23/2015 all memos and emails written by Mark Wc!Jen or Scott Reinhart to any employee or agent of Depository Trust & Clearing Corp (which is also known as Granted/Denied in Part

" " 

15-00126-FOIA 9/24/2015 a copy of all bonds created in case lD #9415 12, NYSlD# 09031893M, FBI# 2987 IA05, criminal justice tracking #65554546N, DIN# 13-A-1113. Other Reasons - No records

15-00010-AP 7/20/2015 Appeal of 15-00149 Completely Reversed/Remanded

15-00227-FOIA 9/29/2015 a copy of any report or response to Senator Johnson's 6/23/15 letter to the OIG regarding agency compliance with the FOIA and polItIcal appointee Granted In Full ,, 15-00128-FOIA 9/29/2015 1. A copy of the original FOIA request 15-00103, and 2. A copy of all responsive documents pursuant to CFTC FOIA request 15-00103 Granted/Denied In Part

16-00001-FOIA 1011/2015 Copies of all written correspondence and calendar appointments between all CFTC staff and all CFTC Commissioners and any representative of Koch Other Reasons - No records

" 

16-00002-FOIA 10/2/2015 All records of communications t>etween any Commission employee and any CME employee concerning applicable standards utilized t,y the Commission Granted/Denied in Part

or CME In evaluating how spoofing Is defined and what constitutes a v1olat1on of the ant1-"spoof1ng" provision of the Commodity Exchange Act, Section 

16-00003-FOIA 10/5/2015 A copy of the CFTC letter dated June 16, 1986 from Case No. 86-23 regarding Savings and Loan Assoc1at1on's ActIvItIcs Not Excluded from CTA Granted In Full

16-00004-FOIA 10/5/2015 Copies of any InvcstIgatIve documents or records concerning (b)(6) Other Reasons - No records ',, "" 

16-00005-FOIA 10/5/2015 Copies of any investigative documents or records concerning (b)(6) (Date Range for Record Search. From Denied in Full

16-00006-FOIA 10/5/2015 copies of any investigative documents or records concerning(b)(6) (Date Range for Record Search: From Denied in Full

10/5/2015 Copies of any 1nvest1gatIve documents or records concerning (b)(6) (Date Range for Record Search· From other Reasons - No records 16-00007-FOIA 

16-00008-FOIA 10/6/2015 Request for Copy of Exhibits A, B and C attached to IGDL's September 23, 2015 Request for Conf1dent1al Treatment Denied In Full

16-00009-FOIA 10/6/2015 United States futures Exchange, L.L.C. Granted/Denied in Part

16-00010-FOIA 10/7/2015 Copies of a report by the CFTC D1v1s1on of Market Oversight analyzing "wash trading" and including data on the numt>er of "wash sale" transactions Other Reasons - No records . "·' .. "" 

10/8/2015 The data set of the E-m1n1 S&P 500 futures contract used In the working paper "The Trading Profits of High Frequency Traders " by Matthew Baron, other Reasons - No records 16-00011-FOIA 

16-00012-FOIA 10/13/2015 Copies of the IncIdent reports processed by the CFTC's staff responsible for handling computer security IncIdent responses as well as cyber incident and Granted/Denied in Part

16-00013-FOIA 10/15/2015 Letter from file regarding the dIsmIssal of the case CFTC V KLITIN ASSOCIATES II, other Reasons • No records

16-00014-FOIA 10/16/2015 Records and documents produced to the CFTC regarding trading In Platinum and Palladium futures Contracts on the NYMEX Exchange from 2007 to Other Reasons - Records not reasonably

16-00015-FOIA 10/26/2015 All MOUs, and contracts t>etween the CFTC and the Blockchain Alliance Other Reasons - No records

16-00016-FOIA 10/29/2015 All reports of InvestIgatIon from the U.S. CFTC Office of Inspector General, which have not been posted publicly on the website of the Office of the Oenied In Full

" 

16-00017-FOIA 11/5/2015 Intraday transaction records of all WT! Crude 011 futures on the New York Mercantile Exchange (NYMEX) from three different time periods: January and other Reasons • No records

16-00018-FOIA 11/5/2015 Transactions data for CME E·MINI S&P 500 STOCK INDEX FUTURES DATA, CME NASDAQ-100 STOCK INDEX FUTURES DATA, and CME NASDAQ-JOO other Reasons • No records

,.. .. 16-00019-FOIA 1116/2015 A list of all Judgments referred to the Justice Department or the U.S. Department of the Treasury from October 1 2006 November 6, 2015. for each Granted In Full

16-00020-FOIA 11/9/2015 Records involving the 1nvest1gation of metals warehousing from August 2013, the London Metals Exchange application, and the Alcoa FO]A request Granted/Denied in Part

'" 

16-00021-FOIA 11/13/2015 All communications between CFTC and U.S. EPA; CFTC and memt>ers of industry - financial institutions and commercial parties - regarding the trading Granted/Denied in Part

' ' 

16-00022-FOIA 11/13/2015 Timothy Christopher Parrott Granted/Denied in Part

16-00023-FOIA 11/9/2015 1. Division of Trading report on Project A, dated October 15, 1992 2. Division of Trading report on ProJect A dated September 15, 1994 Granted In Full

16-00024-FOIA 11/19/2015 Letter sent In June 2012 to FCMs (Futures CommIssIon Merchants) regarding d1scont1nuance/ceasing use of the "Alternative Method," Other Reasons - No records

16-00025-FOIA 11/19/2015 A copy of the 1) Div1s1on of Trading and Market's Report on Project A, dated October 15, 1992. and 2) DIvIs1on of Trading and Market's Report on Project Granted In Full

16-00026-FOIA 11/20/2015 All records relied upon by(b)(6) as a basis for facts he stated in his Declaration that was signed by him on or about May Granted In Full

5, 2011, which declaration purportedly authenticated and dated the public accessIbil1ty of documents purportedly contained w1th1n CFTC Comment File 

16-00027-FOIA 11/23/2015 All records related to the NYMEX ACCESS computer trading system In the "Seriatim" rile of the Secretary or Secretariat of the CFTC. (Date Range for Granted In Full

" 

16-00028-FOIA 11/23/2015 All documents In the CFTC's possession regarding or related to Timothy D. Lyons and Lone Eagle Capital, LLC, 1nclud1ng but not l1mIted to any allegation Denied In Full
16-00029-FOIA 

16-00030-FOIA 

16-00031-FOIA 

16-00032-FOIA 

16-00033-FOIA 

16-00034-FOIA 

16-00035-FOIA 

16-00036-FOIA 

16-00037-FOIA 

16-00038-FOIA 

16-00039-FOIA 

16-00040-FOIA 

16-00041-FOIA 

16-00042-FOIA 

16-00043-FOIA 

16-00044-FOIA 

16-00045-FOIA 

16-00046-FOIA 

16-00047-FOIA 

16-00001-AP 

16-00002-AP 

16-00048-FOIA 

16-00049-FOIA 

16-00050-FOIA 

16-00051-FOIA 

16-00052-FOIA 

16-00053-FOIA 

16-00054-FOIA 

16-00055-FOIA 

16-00056-FOIA 

1212/2015 

1212/2015 

12/2/2015 

12/2/2015 

1214/2015 

12/11/2015 

12/11/2015 

12/11/2015 

12/14/2015 

12/18/2015 

12/22/2015 

12/21/2015 

116/2016 

1/5/2016 

1/12/2016 

1114/2016 

1/14/2016 

1/15/2016 

1/21/2016 

2/5/2016 

2/5/2016 

215/2016 

2/10/2016 

2111/2016 

2/11/2016 

2/16/2016 

2/16/2016 

2/18/2016 

2122/2016 

2122/2016 

All records stating or defining the "duties" or '"respons1b1l1t1es"' of "(b)(6) at the CFTC that were applicable to describe 

(b)(6) - All declarations and att1dav1ts signed by(b)(6) as the dcclarant or afflant at any time during his employment at the CFTC. 

All records of cert1ficat1on, authentication, or dating of any CFTC document by (b)(6) whereupon(b)(6) affixed the Official Seal of 

the CFTC to any document or ccrt1f1cat1on. This request spec1f1cally includes any logbook entry or other record relating to (b)(6) May 5, 2011 

Occlarat1on regarding NYMEX documents, but It docs not include a request for a copy of the May 5, 2011 OeclaratIon itself. 

Investigative files regarding CFTC Docket NO 11-15, In the Matter of Trendy Systems, LLC 

InstItutIonal Advisor, Service Group, Inc. financ1a I documents (Date Range for Record Search : From 01/01/2013 To 06/30/2015) 

I request a copy of the letter of request and each interim and final response letter associated with the following requests. 14-00001 FOIA 14-00003-

'" '"- '" Copy of any records already/previously released during Calendar Year 2015 concerning the CFTC investigation into alleged man1pulat1on of the COMEX 

Copy of the Investigation Report by the CFTC Office of Inspector General concerning stolen or mishandled agency computers. 

Any documentation from the Division of Enforcement that explains or references Its final decIsIon to close or dIscontInue the InvestigatIon concerning the 

silver markets, as referenced In CFTC press release PR6709·13, found at http://www.cftc.gov/PressRoom/PressReleases/pr6709·l3. I am also 

requesting any supporting attachments that would accompany that final decIsIon documentation. 

All records of correspondence between the CFTC and anyone related to the service, scheduling, content, request, response, and/or sat1sfact1on of a 

Subpoena for the deposition of(b)(6) (Date Range for Record Search: From 07/01/2015 To 12/18/2015) 

Requesting an alphabetical l1st1ng of all current CFTC employees (no contractors) showing Last Name, First Name, Title, DIvIsIon, Telephone Number and 

Emails sent or received between March 2 through March 6, 2015, by Designated Agency Ethics Official Jonathan Marcus that mentions Hillary Clinton's 

All dcpos1t1ons and discover, related to Docket No. 09-03 In the matter of Frank Otis & Glenn Millar and Docket No. 09-02, In the matter of DFA, Garv 

Request for 8R/3R Filings 

Outs,de expert testimony from 2007 2014, complied in the Silver Market Investigation 

Records Reflecting the Number of Whistlcblowcr Tips 

New York Cotton Exchange proposal ,n support of ,ts proposed amendment regarding the Cotton No. 2 futures contract 

Meeting Minutes 

Daily Open Interest of "CRUDE OIL, LIGHT SWEET- NEW YORK MERCANTILE EXCHANGE" by each entity and total. The time period Is from beg1n(thc 

·- Appeal of 15-00224-FO]A 

Appeal of 15-00030-FOIA 

Documents containing or provIdIng the aggregate or summary 1nformat1on described below regarding hedge exemptions from speculative posItIons 

l1m1ts, granted either by the CFTC or by a designated contract market, for the three most recent years for which such information Is available: 1) The 

number and nature of exemptions granted, either by the CFTC or by an exchange, for each agricultural and energy commodity futures contract 

l. Copies of any and all correspondence sent from the CFTC, or sent from any staff employed t,y the CFTC, to Hallam Group LLC during the time period 

Jan 1 1997 through Dec 31 2006. 2. Copies of any and all correspondence sent from the CFTC, or sent from any staff employed by the CFTC, to 

Marylebone Holdings during the time period Jan 1 1997 through Dec 31 2006. 3, Copies of any and all correspondence sent from the CFTC, or sent from 

any staff employed by the CFTC, to Brien Roche of Johnson & Roche during the time period Jan 1 1997 through Dec 31 2006. 

(1) CFTC monetary sanctions, which arc composed of (2) rcstItutIons and disgorgemcnts, and (3) cIvII monetary penalties. From 1974 to 2000. Also, I 

m th0 ~nn, ,al r0no 

Registration records in connection to (b)(6) 1nclud1ng disciplinary and appeal matters 

Copy of the CFTC Congress,onal Budget Just,r,catIon document for each of the F,scal Years 2008 through 2017 

CFTC Office of Inspector General documents: Inspector General's Risk Assessment of CFTC's Purchase Card and Convenience Check Program The OIG 

" Any and all records, correspondence, e-mails, attachments, and memos, In any format, that were sent to, or received from, any Senior State 

Department Off1c1als and any Senior U.S. Commodity Futures Trading Commission (CFTC) off1c1als. The time frame of this request is from January 21, 

Any and all records, correspondence, emails, and memos, In any format, that were sent to, sent by, or otherwise exchanged between any DESIGNATED 

INDIVIDUALS and any individual utIlIzIng an email address from any DESIGNATED DOMAINS, which also mention, refer, or otherwise relate to HSBC 

Holdings Pie, Barclays Pie, Deutsche Bank AG. Goldman Sachs Group lnc, JP Morgan Chase & Co, Standard Bank Group Lid .• and/or UBS Group AG. 

Any and all correspondence, emails, and memos, sent by or on the behalf of the Designated Agency Ethics Off1c1al, Jonathan Marcus, or the Assistant 

Designated Agency Ethics Official, John Dolan, that include any of the following terms: Hillary Clinton; Clinton; Secretary of State; 7 Homebrew; 

Granted In Full 

Granted/Denied In Part 

Other Reasons - No records 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

Other Reasons - Duplicate Request 

Granted/Denied in Part 

Granted ,n Full 

Granted/Denied in Part 

Granted/Denied in Part 

Granted In Full 

Other Reasons - No records 

Denied In Full 

Other Reasons - Request withdrawn 

Granted/Denied in Part 

Granted In Full 

Granted ,n Full 

other Reasons • No records 

Other Reasons - No records 

Completely Affirmed 

Completely Affirmed 

Other Reasons - No records 

Other Reasons - No records 

Granted In Full 

Granted/Denied ,n Part 

Granted/Denied in Part 

Granted In Full 

Other Reasons - No records 

Granted In Full 

Other Reasons - No records 
16-00057-FOIA 2122/2016 Any and all emails sent to or sent by Gary Gensler Chairman of the CFTC. This includes both Mr. Gensler's off1c1al CFTC accounts and all private mail other Reasons· Request withdrawn 

accounts that Mr Gensler used to conduct CFTC business, 1nclud1ng all attachments that were transmitted with any responsive emails. The time frame 1s 

16-00058-FOIA 2/24/2016 Gresham Hedge Ventures LP annual f1nanc1al reports and Gresham's written response to Mr. Dixon's January 5, 2004 letter to Michelle Laxov1ch Granted/Denied 1n Part 

16-00059-FOIA 2/24/2016 12-00142-FOIA documents in regard to the previously submitted request referenced above Granted in Full 

16-00060-FOIA 317/2016 For pre-employment purposes I am sending the name of, (b)(6) to sec 1f their 1nformat1on matches with the one found on the website Other Reasons - Records not reasonably 

16-00061-FOIA 

16-00062-FOIA 

16-00063-FOIA 

2/25/2016 

2/26/2016 

3/2/2016 

Documents related to the following reparations claims: 11-R007; 10-R028; 01-R105; 01-R070; 01-ROlJ; OO-R084; OO-R066; 99-R025; 96-Ri39; 94- ,o, , o,_o,on 

Request for an electronic copy (e.g. pdfs on a CD-ROM or via email) of all memos and emails written (a) to Timothy Massad or Clark Ogilvie from Paul 

" " 1 d 1 ctNo Action Letters dated Decemt>er 5, 1992, March 16, 1993, and August 26, 2014 

Granted ,n Full 

Granted/Denied in Part 

Granted/Denied in Part 

16-00064-FOIA 3/2/2016 Any data and documents related to invest1gat1ons the CFTC has earned out regarding the Singapore Interbank Offered Rate ("'SIBOR'") from January 1, 

2006 through December 31, 2012. •Any documents relating to the 1nvestigat1on of The Royal Bank of Scotland (1nclud1ng parent companies, 

Denied 1n Full 

16-00065-FOIA 

16-00066-FOIA 

3/7/2016 

3/8/2016 

A listing of all current CFTC staff For each individual include: Name Title Pay Plan Series Grade Base Salary Total Salary SCD Leave Date CFTC Start C 'C 

Records relating to CME's Proposed Demutualizat1on Plan 

Granted/Denied in Part 

Granted/Denied in Part 

16-00003-AP 3/14/2016 Appeal of 15-00190-FO!A Completely Reversed/Remanded 

16-00067-FOIA 3/24/2016 Copies of any and all correspondence (hard copy or email) sent from the CFTC and or sent from any staff employed by the CFTC, to TurtleTrader and or 

' 

other Reasons - Request withdrawn 

16-00068-FOIA 3/31/2016 Documents concerning the man1pulat1on or attempted man1pulat1on of the ISDAfix benchmark for the following currencies· 1) EUR Euribor, 2) EUR Euro , '" ·••~• "\ r, ,~ r " 

Denied 1n Full 

16-00069-FOIA 

16-00070-FOIA 

4/1/2016 

4/1/2016 

Any and all records of communication between any employee(s) of the Commodity Futures Trading Comm1ss1on (the "Comm1ss1on") and any institution, 

organ,zat1on, company, law firm, or individual, concerning applicable standards util,zed by the Comm1ss1on in evaluating what constitutes a v1olat1on of 

-

Records circulated by the Commission regarding reference to last look or hold timer from January 1, 2010 through April I, 2016 

Granted 1n Full 

Other Reasons - No records 

16-00071-FOIA 414/2016 Copy of FOIA request logs (1nclud1ng all sub-agencies and offices) for FY 2014 and FY 2015 Granted in Full 

16-00004-AP 4/5/2016 Appeal of 16-00002 Completely Affirmed 

16-00072-FOIA 4/12/2016 A copy of all correspondence and documents related to the CFTC decision to issue No-Action Letter 14 130. Granted/Denied in Part 

16-00073-FOIA 4/15/2016 Records prepared 1n connection with the Comm1ss1on's meeting with State Street on April 24, 2013 and the TAC Committee Meeting on June 3, 2014 Granted ,n Full 

16-00074-FOIA 4/22/2016 Request for Emails between Senior Comm1ss1on Officials and Specified Congressional Staffers Other Reasons - No records 

16-00075-FOIA 4/22/2016 Request for Emails between Senior Commission Officials and Spec1f1ed Congressional Staffers Other Reasons - No records 

16-00076-FOIA 4122/2016 Request for emails between senior CFTC off1c1als ident1f1ed and specific congressional staffers Other Reasons • No records 

16-00077-FOIA 4/29/2016 All CFTC Rule Enforcement Reviews prior to 1998. Granted in Full 

16-00078-FOIA 

16-00079-FOIA 

5/2/2016 

5/3/2016 

Request for an email sent to the offices of Comm1ss1oners Bowen and Giancarlo from the CFTC's general counsel's office between March 30, 2016 and ,,_

All records -- related to the creation, revision, authority to sign, s1gn1ng, and transmittal to anyone of the Declaration signed on or about May 5, 2011, by 

(b)(6) purportedly authent1cat1ng and dating public access1b1l1ty of documents purportedly contained within CFTC 

Granted/Denied in Part 

Granted ,n Full 

16-00080-FOIA 

16-00005-AP 

5/3/2016 

5/5/2016 

All records related to the creation of microfilm or microfiche images of records of the D1v1s1on of Trading and Markets, and records of the Office of the 

' " Appeal of 15-00127-FOIA 

Granted in Full 

Completely Affirmed 

16-00081-FOIA 515/2016 Records from OMO regarding exchange appl1cat1ons related to legal manJuana or cannabis or hemp industries Other Reasons - No records 

16-00082-FOIA 

16-00083-FOIA 

5/6/2016 

5/16/2016 

Documents generated or obtained by the (FTC regarding Chairman Gensler's dec1s1on to issue a statement of non partidpat1on in MF Global; and 

"' tn tn '" , m - Information or records regarding (FTC application software source code developed and maintained t,y the Office of Data & Technology (DDT). 

Granted/Denied in Part 

Denied in Full 

16-00084-FOIA 

16-00085-FOIA 

5/18/2016 

5/20/2016 

Non-1dent1fying 1nformat1on for the 1nd1v1dual who was hired, and the 1ndiv1duals who were 1nterv1ewed for the Job Title: Deputy Director, Customer 

' All off1c1al correspondence exchanged between the CFTC chairman and Senator Mark Warner from January 3, 2013 through May 20, 2016 

Granted/Denied in Part 

Granted ,n Full 

16-00086-FOIA 5/20/2016 Copy of Barker v. Commodity Management Systems, Inc. (FTC Docket No. R77-96 Granted in Full 

16-00087-FOIA 5/20/2016 OIG Closed Invest1gat1ons between January 1, 2015 and December 31, 2015 other Reasons • No records 

16-00088-FOIA 5/25/2016 A copy of the conclusory document (such as the final report, report of 1nvest1gat1on, closing memo, referral memo, referral letter, closing letter) for each Other Reasons - No records 

Inspector General 1nvcst1gat1on or 1nspect1on addressing computer usage by employees that was closed during calendar years 2014, 2015 and 2016. 

16-00089-FOIA 6/3/2016 Request for full and complete copies of all U.S. Commodity Futures Trading Comm1ss1on's files {1nclud1ng rulings/ orders, etc.) as concerns the above- Granted/Denied in Part 

16-00090-FOIA 6/8/2016 A copy of the 1981 Commodity Futures Trading Comm1ss1on report to Congress on issues 1nvolv1ng futures contracts on f1nanc1al instruments. Granted ,n Full 
16-00091-FOIA 6/13/2016 Type and dates of all actions issued or managed by CFTC contracting offices between October 1, 2005 through January 31, 2016 {Oate Range for Record 

C '" 

Granted/Denied in Part 

16-00092-FOIA 6/13/2016 DIscIplInar, History for(b)(6) Granted/Denied in Part 

16-00093-FOIA 6/15/2016 Report conducted by the CFTC Office of the Chief Economist titled "Analysis of the Vanous Economic Studies Cited in Comment Letters in the Position Denied in Full 

16-00094-FOIA 6/15/2016 Any and all documents pertaining to the (FTC ]G's review of the Chief Economist Office forming the basis of the report on research published this year, 

_c 

Denied in Full 

16-00095-FOIA 6/22/2016 In re L,bor-Based Financial Instruments Antitrust L,tigat,on, MDL No 2262, FTC Capital GMBH, et al., Civil Action No 11-CV-02613 Den,ed ,n Full 

16-00096-FOIA 6/24/2016 Any direct correspondence between your agency and NetonIs (Tonnie) WybensInger (Staff Director- Senate Banking Subcommittee on FInancIal . other Reasons • No records 

16-00097-FOIA 6/24/2016 Correspondence between your agency and Dina Ellis RochkInd (Senior F1nanc1al Services Counsel and Republican Staff Director of Senate Banking, 

Housing and Urban Affairs Committee, Financial InstItutIons and Consumer Protection Subcommittee) between April 2011 - June 2013. Direct 

Granted/Denied in Part 

16-00098-FOIA 6/27/2016 Copies of all records relating to data breaches and/or ident1f1ed hacking incidents for the last five years. Granted/Denied in Part 

16-00099-FOIA 6/28/2016 Request for a copy of the minutes of meetings and any memos produced from these meetings, for the last 26 meetings, Other Reasons - No records 

16-00100-FOIA 6/28/2016 8R/3R Filings for Various Individuals and 7R/3R filings for the Organ,zat,ons Granted/Denied in Part 

16-00101-FOIA 715/2016 Any freedom of Information Act requests and the responsive materials thereof filed January 2011 to present regarding Senator Pat Toomey or the staff Other Reasons - No records 

16-00102-FOIA 716/2016 All 1nformat1on concerning (b)(6) All the removed 1nformat1on from OCR report 01/01/2013-

6/6/2016 IG Markets limited trading COUNTER party risk account(b)(6) All above information from Ol/Ol/2004-06/06/2016 GmeI account 

h\fC:\ 

Other Reasons - No records 

16-00103-FOIA 7/8/2016 CFTC Office of the Chief Economist Records In re CFTC v. Donald R. Wilson, k. & DRW Investments, LLC Denied in Full 

16-00104-FOIA 718/2016 Non-Public Records of Richard Andrew Gashler Granted/Denied in Part 

16-00105-FOIA 7/13/2016 Records regarding Los Angeles Trading Grouip, lnc v Peregrine F,nanc,al Group, lnc Empire Futures LLC, Reuben SHushman, James Frances Kelly and 

~<-~-

Granted/Denied in Part 

16-00106-FOIA 7/18/2016 Request a copy of any and all documents related to a riling by the Italian Stock Exchange Mercato Italiano de, Deriva (IDEM) referring to a product !,tied Granted ,n Full 

16-00107-FOIA 7/19/2016 Records relating to meetings between CFTC Commissioners and National Gran and Feed Association fro 2013 to the present Granted/Denied in Part 

16-00108-FOIA 7/21/2016 Records regarding the CFTC contract currently held by FPMI Solutions, Inc. The contract number Is CFHRB13BP0093. We would like to obtain all 

C 

Granted In Full 

16-00109-FOIA 7/29/2016 CFTC Budgets Granted in Full 

16-00110-FOIA 8/2/2016 CFTC Response to March 26, 2015 Letter from House Committee on Oversight Regarding the Use of Fines and Penalties Granted/Denied in Part 

16-00111-FOIA 813/2016 Electronic correspondence to or from CommIssIoner Fred W. Hatfield to the Board of Directors of Intercontinental Exchange Regarding his Appointment C 

Other Reasons - No records 

16-00112-FOIA 8/8/2016 CFTC guidance to clearinghouses to further the development of Recover, Plans and Wind-down Plans Other Reasons - Public Records 

16-00113-FOIA 8/9/2016 Reports on cybersecurity maJOr incidents sent between December 18, 2014 and July 31, 2016 by the Commodity Futures Trading Commission to the 

House of Representatives Committee on Science, Space and Technology. J request all communications from the CFTC to the House committee regarding 

these 1nc1dents, including the 1nit1al not1ficat1on and additional information sent sut>sequently as mandated by the Federal Information Security 

other Reasons - No records 

16-00114-FOIA 8/15/2016 Records relating to the proceeding captioned In the Matter of BFXNA INC. d/b/a BITFINEX, CFTC Docket No. 16-19, 1nclud1ng, without lImItatIon, Denied In Full 

16-00115-FOIA 8/15/2016 All written correspondence between the CFTC and the VIctona University of Wellington's Request for a No-Action Letter regarding the Operation of a Granted/Denied in Part 

16-00116-FOIA 8/22/2016 Press release #1081-83 In docket 'r83-29 regarding a CFTC v1olat1on of CEA 4e by Robert Ehrenspeck. Granted In Full 

16-00006-AP 8/22/2016 Appeal of 16-00083-FOIA Completely Affirmed 

16-00117-FOIA 8/26/2016 Any decIsIons of enforcement actions {or regulator/legal actions on parties whom the CFTC Is regulating) of any kind that are not published via the Granted In Full 

16-00118-FOIA 8/29/2016 Cpy of the !nforma Economics report that was done which conducted a study In or around 2010 on making Dallas, Texas a deliver, point on the ICE No. Other Reasons - Not an agency record 

16-00119-FOIA 8131/2016 Records relating to the State of Florida v. Stephen August Haff Other Reasons - No records 

16-00120-FOIA 9/1/2016 Complaints and Pleadings regarding llya LevItIs Granted/Denied in Part 

16-00121-FOIA 9/6/2016 Relevant to CFHRB13S00145 COTS LEGAL EDUCATION SERVICES RELEVANT TO FINANCIAL MARKETS we seek a copy of contract and mod1f1cations Granted In Full 

16-00122-FOIA 9/13/2016 Complete electronic copy of any database or other 1nformat1on system used to track cIvII monetary sanctions, 1nclud1ng any 1nformat1on about the Granted In Full 

16-00123-FOIA 9/15/2016 DeposItIon of Patrick O'Malley Granted/Denied in Part 

16-00124-FOIA 9/19/2016 Request for a copy of the OIG ,nvestigat,on report and the invest,gat,on notes for the potential incident related to an IT security incident from March of 

• C 

Den,ed ,n Full 
17-00028-FOIA 1212/2016 Any and all 1nformat1on collected by the CFTC or voluntarily provided by WeIdong Ge ("Ge") and/or Sheenson Investments Ltd. ("Sheenson"), Chaos 

Investment Co. Ltd (British Virgin Islands) ("Chaos BVI") and Chaos Investment Ltd. (Hong Kong) ("Chaos HK") regarding violations or potential 

violations of Section 4a(b)(2) of the Commodity Exchange Act ("Act"), 7 U SC. § 6a(b)(2) (2006), and Comm1ss1on Regulation ("Regulation") 150.2, 

C.F .R, § 150.2 (2011), between February 26, 2009 and July 18,201 I. (Date Range for Record Search, From 02/01/2009 To 07/31/2011) "

Granted In Full 

17-00029-FOIA 12/5/2016 All emails sent to and from the email address "Jcg1ancarlo@cftc gov" and any email addresses ending1n@·senate.gov or @mail.house gov; from 15 ,, " '" 

Granted In Full 

17-00030-FOIA 12/5/2016 Information related to the regulator, disclosure of David Pfeffer (NFA ID: 0454020) on the NFA 8 R. Granted/Denied In Part 

17-00031-FOIA 1216/2016 A copy of the CFTC agency briefing materials related to the Pres1dent1al transItIon for Agency Review Teams or Agency Landing Teams (Date Range for ,, ,,, Granted In Full 

17-00032-FOIA 12/8/2016 A copy of the meeting agendas and meeting minutes, since January 1, 2013, for the Small Agency Administrative Services Committee, chaired by Wes 

French, Manager, Programs and Planning LogIstIcs and Operations at CFTC. (Date Range for Record Search: From 01/01/2013 To 12/07/2016) 

Granted/Denied in Part 

17-00033-FOIA 1218/2016 All emails sent to or from the Office of the Secretary (1nclud1ng the Deputy Secretary) and the Office of General Counsel In which the Internet domains 

"trump.com", "trumporg.com", "pit.gov", "donaldjtrump.com" or "donaldtrump.com" are In the email addresses In the To, From, CC, BCC, SubJect or 

"' 

Granted In Full 

17-00039-FOIA 1/10/2017 A copy of CFTC Form 1-FR-FCM for a former IllInoIs Business called ALARON TRAOING CORPORATION, 822 W Washington Blvd Chicago, lL 60607 

m , " "" "" 

Granted/Denied in Part 

17-00040-FOIA 1/13/2017 An alphabetical lIstIng of all current CFTC employees (no contractors) showing Last Name First Name, Title, Division, Telephone Number and City. Granted In Full 

17-00041-FOIA 1/25/2017 A d1g1tal/electron1c copy of the 10 (ten) most recent edItIons of the CFTC Quarterly Performance Review. Granted/Denied in Part 

17-00042-FOIA 1/25/2017 A digital/electronic copy of the CFTC Employee Code of Conduct. Granted in Full 

17-00043-FOIA 1/25/2017 A copy of the home page of the CFTCNet Intranet employees-only internal web site. A copy of each page linked directly by one click to the above home 

' 

Granted/Denied in Part 

17-00044-FOIA 1/30/2017 Access to and copies of any and all electronic correspondence (1.e., email) received by or ongInatIng from Timothy Massad regarding corporate board of 

director posItIons. The requested correspondence would likely have been received by Mr. Massad or originate from Mr. Massad between June 5, 2014 

and January 20. 2017. Relevant correspondence includes messages sent to gauge interest In becoming a director or inv1tatIons to J0In boards of 

directors. Relevant correspondence may contain the following terms, or derivations of the terms, in the sul>Ject line or body of the message: "corporate 

board"' "board of directors"', "director", "elect"', "nominate" Relevant correspondence may originate from employees of the company (e.g., senior 

executives, adm1n1strat1ve assistants) or from others operating on behalf of the company (e.g., executive search firms, members of the board of 

other Reasons • No records 

17-00045-FOIA 211/2017 Data on all the claims of (request for) exemptIve relief, pursuant to the exemptIve letter DSIO issued on September 8, 2014 providing an opportunity 

for relief from certain CFTC provIsIons restricting marketing to the public For each claim I would like to know 1) the name of the CPO cla1m1ng the relief 

2) the name of the pool(s) for which the claim Is being filed 3) the day when the email was sent From September 8. 2014 until December 31. 2016. 

Granted/Denied in Part 

17-00046-FOIA 211/2017 Data on all the CPOs and CTAs claiming exemptions under Regulation 4.7 and 4.13. For each claim I would like to know 1) the name of the CPO claiming 

the exemption 2) the name of the pool(s) for which the claim is being filed 3) the day when the f1l1ng was done. The time-frame I'm interested In is from 

" " 

Granted In Full 

17-00047-FOIA 2/1/2017 

,, 

All experts reports regarding hedging or analyses regarding hedging submitted In any proceeding other Reasons - Public Records 

17-00048-FOIA 211/2017 All documents reflecting instances or allegations of v1olat1ons of Regulation 1 . 3 (z) ( bona fide hedg1 ng). For example, all complaints, briefs, trial 

documents, admInistratIve dec1s1ons, adm1n1strat1ve guidance, etc. reflecting cases, instances, decIsIons, or allegations concerning bona fide hedging 

Other Reasons - Public Records 

17-00049-FOIA 2/8/2017 All emails and other records of communication sent or received by any employees of the Commodity Futures Trading CommIssIon, to or from employees 

In the office of U S Senator Charles Schumer, IncludIng but not limited to, the email domain "@·Schumer.senate.gov" (Date Range for Record Search· 

"' 

Granted/Denied in Part 

17-00050-FOIA 2/8/2017 RegIstrat1on records for Boussard & Gavaudan Investment Management LLP (NFA #478654) Granted/Denied In Part 

17-00051-FOIA 219/2017 A list of all InvestIgatIons closed during 2016 calendar year by the Office of the Inspector General Other Reasons - Public Records 

17-00052-FOIA 2/13/2017 Copies of 1) the trial transcript; 2) the statement expert Hedrick Bessembinder, 3) Affidavit of Joseph 5. Rosenthal related to the DiPlac1do Case, docket 

0 I -2 3, available at http .//www.die.gov/1dc/groups/public/@lropinionsa ndadJud 1caryorders/documents/legal plead 1ng/ogcdiplac1do 11 0508, pdf/ 

Granted/Denied in Part 

17-00053-FOIA 2/13/2017 A copy of the CFTC legal memo In the Office of General Counsel discussing the legal ImplIcatIons of the agency being under one subcommittee's 

Jurisdiction in House Appropriations and another subcommittee's 1unsdictIon In Senate AppropnatIons. I lImIt this request to and agree to accept In 

Other Reasons - No records 

17-00054-FOIA 2/13/2017 A copy of the most recent "'Hill briefing material" (materials provided to Hill offices when questions arise, for example the most recent times the issue 

was discussed with a Hill office In each case) on each of these issues: De mIrnmIs threshold level Harmonization - International and Domestic 

Extraterritorial appl1cat1on of rules Cost-Benefit Analysis Electronic Communications Privacy Act (ECPA) Wh1stleblower Office - general operations and 

use of resources "Bad Actor" Waivers Source Code and Regulation Automated Trading (RegAT) Data and Transparency related mattecs Automated/HighFrequency/Electronic Trading Position Limits and Bona Fide Hedge Exemptions Credit Risk Transfers End-User related concerns Live Cattle Futures And a 

copy of the briefing sent to the staff of Senators Warren, Warner and Rep. Cummings on the Derivatives Oversight and Taxpayer Protection Act, 

Granted/Denied in Part 

17-00055-FOIA 2/13/2017 A copy of each email sent between the White House {domain EDP.gov) and senior managers at the CFTC from January 20, 2017 until the present 

" " 

Granted In Full 
17-00056-FOIA 

17-00057-FOIA 

17-00058-FOIA 

17-00003-AP 

17-00002-CONS 

17-00059-FOIA 

17-00060-FOIA 

17-00061-FOIA 

17-00062-FOIA 

17-00063-FOIA 

17-00064-FOIA 

17-00065-FOIA 

17-00066-FOIA 

17-00067-FOIA 

17-00068-FOIA 

17-00069-FOIA 

17-00070-FOIA 

17-00071-FOIA 

17-00072-FOIA 

17-00073-FOIA 

17-00074-FOIA 

2/13/2017 

2114/2017 

2/13/2017 

2/15/2017 

2/16/2017 

2/21/2017 

2/22/2017 

2/24/2017 

2124/2017 

2/15/2017 

2127/2017 

2/28/2017 

3/1/2017 

313/2017 

3/3/2017 

3/6/2017 

3/9/2017 

3/9/2017 

3/15/2017 

3/15/2017 

3/20/2017 

3/21/2017 

A copy of the most recent "'Hill briefing material" (materials provided to Hill offices when questions arise, for example the most recent times the issue 

was discussed with a Hill office In each case) on each of these Issuesc De mIn,mIs threshold level Harmonization - International and Domestic 

Extraterritorial appl1cat1on of rules Cost-Benefit Analysis Electronic Communications Privacy Act (ECPA) Wh1stleblower Office - general operations and 

use of resources "Bad Actor" Waivers Source Code and Regulation Automated Trading (RegAT) Data and Transparency related matters Automated/HighFrequency/Electronic Trading Position Limits and Bona Fide Hedge Exemptions Credit Risk Transfers End-User related concerns Live Cattle Futures. And 

a copy of the briefing sent to the staff of Senators Warren, Warner and Rep. Cummings on the Derivatives Oversight and Taxpayer Protection Act, 

Request for a Copy of Recent Hill Briefing Material and a Copy of Briefing Sent to the Staff of Senators Warren, Warner, and Rep. Cummongs on the 

Records Regarding the Market for Soft Red Winter Wheat (SRW) Wheat from January 2008 through June 30, 2012 

Appeal of request *16-00082 

Document consult In the FCC's response to FCC FOIA 201 7-066 filed by Todd Shepherd, now with The Examiner, seeking all emails for certain senior , , , 

A dIgItal/electron1c copy of the CFTC spec1r.c Recusal Policy for CFTC employees This policy would be In the omce of the Designated Agency Ethics 

Any records of prel1m1nary InquirIes, investIgat1ons, examinations, audits, consumer complaints (civil InJunctIon proceedings). adm1nIstrat1ve 

0 

A copy of the document: CFTC Policy: Responding to Incidents Involving CFTC Confidential Information 

A d1g1tal/electron1c copy of each of the two recent CFTC policies relating to retal1at1on proh1b1t1on. I l1m1t this request to the two pol1c1es developed In late 

2016 or early 201 7. I also request a dig ital/electronic copy of the recently updated Contracting Officer's Representative ( COR) training programs. 

Interagency agreements between CFTC and other federal entities regarding the use of admInistratIve judges or administrative law judges. {Date Range , ,, 

Any complaints filed through the Commodity Futures Trading CommIssIon's DivIsIon of Enforcement against Enterprise Products Partners for the period ,, 

Granted/Denied in Part 

other Reasons • No records 

Denied in Full 

Other Reasons - Not a proper FOJA , 

Granted in Full 

other Reasons - No records 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied in Part 

Granted In Full 

other Reasons • No records 

Open interest posItIons, both long and short, of index traders In the 12 agricultural commodItIy futures contracts of: Cocoa, Coffee, Corn, Cotton, feeder Other Reasons - No records 

Cattle, Lean Hogs, Live Cattle, Soybean Oil, Soybean, Sugar, Wheat (CBOT), and Wheat (KCBOT) in the years 2004 and 2005 (weekly data). My top , 

Records from Jan. 1, 2010 to present day related to nomInatIon procedures on Enbridge Inc.'s Mainline system and TransCanada Corp's Keystone ,o, ,, 

Copies of any and all non-published "no-action" and other Commodity Futures Trading Commission ("Comm1ss1on") staff letters issued since January 1, 

2010, In which the CommIssIon opines or declines to opine as to whether a person or entity is a "commodity pool" or a "commodity pool operator" within 

the meaning or intent of the Commodity Exchange Act ("CEA") or Commission regulations, IncludIng without lImItation that certain no-action letter 

issued to an unknown entity in December 2012 declining to opine as to whether the Company at issue in said letter was a pool w1th1n the meaning and 

intent of Section la(lO) of the CEA or Commission Regulation 4.lO(d)( 1) (Date Range for Record Search From 01/01/2010 To 03/02/2017) 

The title, numt>er, issuance date, and classification/sensit1v1ty level of each report produced t,y the Commodity Futures Trading Commission ((FTC) 

Office of the Inspector General (DIG) and not posted on the OIG's public-facing web page at 

http://www.cftc.gov/About/Off1ceoftheinspectorGeneral/1ndex.htm. The date range for this request Is calendar years 2012 through 2016. (Date Range 

A dIgItal/electron1c copy of the FY2018 Congressional Budget Just1r.catIon for CFTC 

Data related to: 1) daily settlement prices of the d1amon1um of phosphate (OAP) futures contract, 2) daily trading volume split into two sub groups (cas 

settled contracts and physical delivered ones), 3) for cash settled contracts, the index used for the settlement procedure, 4) for physical delivered 

contracts, the delIevery location. Time frame Is for OAP CBOT futures contract which started trading in 1991 and was del1sted In 1997. (Date Range for 

Records regarding any and all documents received from foreign regulatory agencies, 1nclud1ng without l1m1tat1on Australian agencies, regarding an 

InvestIgatIon into, or enforcement action against the company, Your Trading Room; any and all documents regarding enforcement actions the CFTC has 

taken against Your Trading Room; and any and all memoranda from CFTC staff to the Commission recommending an enforcement action against Your 

All documents reflecting, for cotton, deliverable supply estimates, deliverable supply analyses, deliverable supply opinions, and deliverable supply 

All briefing and hearing/court submissions made In Volkart Brothers, Inc v. Freeman (Docket No 82). 

Records related to the c1v1I case number 3:11-cv-023-RJC·DCK In the Western District of North Carolina. Particularly, 1nformat1on related to the 

InvestIgation of the Black Diamond ponzi scheme by the Commodity Futures Trading CommIssIon {CFTC). The type of document to serach for should be 

for all correspondence 1nclud1ng, but not limited to, Written letters, emails, text messages, phone records, Inter-offIce memos, inter-agency memos, and 

any other eletronIcally stored media of all employees. omcers, agents, and representatives of the CFTC to or from the following 1ndIv1duals. officers, 

agents, employees or representatives of the sixteen entities listed t>elow, l} The CFTC 2) Community One Bank 3) National City Bank 4) Fifth Third Bank 

5) JPMorgan Chase Bank 6) Deanna Salazar 7) Bryan Coats 8) Jeffrey Toft 9) Don Winkler 10) Michael Murphy II) Stephen Lacy 12) Chad Sloat 13) Any 

individual affliated, related, or employed by Jonathan Davey 14) Any correspondence mentioning Divine Circulation Services Ltd., Divine Circulation 

Services LLC, or DCS 15) Any correspondence mentioning Safe Harbor Wealth Inc. or Safe Harbor Wealth Investments Inc. 16) The Internal Revenue 

Service (Date Range for Record Search: From 11/01/2008 To 12/31/2010) 

In the cftc complaint numt>er 85-12, In the Matter of Nelson Bunker Hunt et. al. starting page 36 there Is a summary of witness testimony extending 

through page 59. J would like to receive copies of any or all of these testimonials In full, lam pleased to accept either hard copy or electronic versions. 

other Reasons • No records 

Denied In Full 

Other Reasons - No records 

other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

other Reasons - No records 

Other Reasons - No records 

Denied In Full 

17-00075-FOIA Other Reasons - No records 
17-00076-FOIA 3/22/2017 Any complaints filed to the Commodity Futures Trading CommIssIon (CFTC) against VItol, or any units of VItol including trading and marketing arms, 

from January 2015 to present I seek detailed copies of complaints filed to the CFTC or any of its un,ts, including enforcement and 1nvestigatIons (Date 

Denied In Full 

17-00077-FOIA 3/22/2017 Any complaints filed to the Commodity Futures Trading Comm,ss,on (CFTC) against BP, or any un,ts of BP ,nclud,ng trading and marketing arms, from 

January 2015 to present. I seek detailed copies of complaints filed to the CFTC or any of ,ts units. (Date Range for Record Search: From 01/01/2015 To 

Den,ed ,n Full 

17-00078-FOIA 3/24/2017 A digital/electronic copy of the following CFTC DIG Semi-Annual Reposts for the time period covering March 1996 through September 1999. (Date 

"" 

Granted in Full 

17-00079-FOIA 3/24/2017 All email correspondence sent or received by the following officials ( or acting offIc,als, ,f appropriate) in the ten busines days prior to the date you 

commence your search: Chair of the (FTC and Chief of Staff; Inspector General and Deputy Inspector General, Beachhead team member Sharon Brown 

other Reasons - Records not reasonably 

described 

17-00080-FOIA 3/24/2017 All records documenting or memorialIzIng traInIng given to staff of the Office of the Chair since January 1, 2016 about records management or retention Granted/Denied In Part 

17-00081-FOIA 3/24/2017 Copies of all email correspondence exchanged between Lloyd Beers and any CFTC email address since January l, 2016 Granted in Full 

17-00082-FOIA 3/29/2017 All documents related in whole or in part to any matter related to energy market surveillance worked on by Mr Jeremy Cusimano during Mr Jeremy 

Cus,mano's employment With CFTC from July 2009 through December 2012, IncludIng but not limited to, all documents relating to market surveillance 

that were prepared by, reviewed by, and/or prepared or reviewed under the direction of, Mr. Jeremy Cusimano during his term of employment with 

" 

Granted/Denied in Part 

17-00083-FOIA 4/3/2017 Information with respect to the case the CFTC filed vs. Parnon In May 2011. I request briefs and economist expert witness statements from both the other Reasons • Public Records 

17-00084-FOIA 3130/2017 A copy of all ethics waivers and recusal agreements/records issued by CFTC from January 1, 2017 to the present. In the case of waivers issued under Granted/Denied in Part 

Executive Order 13770, I am requesting copies of the waivers that have been provided to the head of the agency, pursuant to Section 3(c), (Date Range 

'" 

17-00085-FOIA 417/2017 Copies of 1) documents at the Commodity Futures Trading Commission (CFTC) 1dent1fy1ng the designation of the Regulatory Reform Officer required by 

Executive Order 13777. 2) documents at the Commodity Futures Trading Comm,ss,on (CFTC) 1dent1fy1ng the des,gnatIon of the members of the 

Regulatory Reform Task Force, as required by Executive Order 13777. You may l,m,t th,s request to documents dated since February 22, 2017 (Date 

other Reasons • Public Records 

17-00086-FOIA 4113/2017 Requesting a copy of the following documents, or documents containing the following information, be provided to me: I would l1~e to obtain data on all 

Commodity Futures Trading Commission direct leased properties e~clud1ng leases negotiated through the General Services AdmInistratIon (GSA) as 

follows: Location Code, Lease Effective Date, Property Name, Lease E~piration Date, Property Address, Current Annual Rent, Property City, Renewal 

Options, Property State, Renewal Notice Date, Property Z,p Code, Renewal Option Type, Property Rentable SF, Owner Contact Name, Property Usable 

SF, Owner Address, Lease Number, Owner City, Agency Name, Owner State, Agency Rentable SF, Owner Zip, Agency Usable SF, Owner Phone Number, 

Granted/Denied in Part 

17-00087-FOIA 4/18/2017 Any emails, communications, memos, presentations, documents or otherwise pertaining to President Donald Trump's executive order on regulatory 

reform (https://www, whitehouse.gov/the-press-offlce/20 1 7 /02/24/pres1dential-execut1ve-order-enforcing-regulatory-reform-agenda), Spec1f1cally, I am 

looking for documents and communIcatIons regarding the selection of regulatory reform officers and establishment of regulatory reform las~ forces in 

other Reasons - Public Records 

17-00088-FOIA 4/20/2017 Cop,es of your comprehensive record disposition schedule. This includes schedules for all electronic, paper, and non-electronic records, as well as any 

schedules used by employees for internal use If a comprehensive and final schedule are not available, we request the latest drafts of these schedules, 

Den,ed ,n Full 

17-00089-FOIA 4/21/2017 Cop,es of all records documenting or memorial,z,ng documenting agency actions and correspondence regarding Executive Order 13777. These records 

include, but are not limited to, the creation of a Regulatory Reform Task Force, the membership of that taskforce, the appointment of any Regulatory 

Reform Officer, as well as any correspondence, attachments, memorandum, legal opinions, policy paper, or any other records created or received by 

members of that tas~ force, the Office of Chair, Regulatory Reform Officer Mike Gill or any other employee of the CFTC. Furthermore, we request all 

records documenting or memorializing any agency actions, correspondence, attachments, memorandum, legal opinions, policy paper, or any other 

records created or received about the regulatory reform effort '"ProJect KISS"', as discussed by Acting Chairman Giancarlo In his speech on March 15, 

2017 to the 42nd Annual InternatIonal Futures Industry Conference In Boca Raton, FL. 

Granted/Denied in Part 

17-00090-FOIA 4/24/2017 The CFTC In 1976 and 1985 issued studies or reports on the question of whether the futures industry should benefit from a customer insurance regime 

sImIlarto those In place for the banking industry (In the form of the Federal Deposit Insurance Corporation) and the secuntIes industry {In the form of . 

Granted In Full 

17-00091-FOIA 

17-00092-FOIA 

4/25/2017 

4/26/2017 

Data on index trader positions for 2004 and 2005, as those years are not currently publicly available. This data was collected by your agency and used other Reasons - No records 

by the Permanent 5ubcomm,ttee on Investigations of the US Senate Committee on Homeland Security and Government Affairs for a report, but the data

. All documents regarding "Effex Capital, LLC" or "John D1ttam1'" received by the Comm1ss1on from any third party regarding foreign currency execution, Other Reasons - No records 

foreign currency pncI ng or the rendering or prov1d1 ng of foreign currency IIq uIdIty to InstItutIonal counterparts, or counterparts maInta InIng rcgIstratIon 

as a registered Forex Dealer Member or registered Futures Commission Merchant, 1ndud1ng but not l1m1ted to Forcx Capital Markets, LLC; NFA ID No, 

17-00093-FOIA 4/28/2017 All emails rec,eved by your agency between January 20, 2017, and April 28, 2017, from any Republican National Committee doma,n, including but not other Reasons - No records 
17-00094-FOIA 5/8/2017 Copies of the following materials: 1. All information or records referenced, relied on or considered by the Commodity Futures Trading CommIssIon 

("CFTC") ,n connection w,th its 1nvest1gatIon conducted by the CFTC's Division of Enforcement into TOTAL Gas & Power, North America, Inc. ("TGPNA"), 

Therese Tran (a/k/a Therese Nguyen), and Aaron Hall ,n respect of the price of natural gas in the southwest Un,ted States between 2009 and 2012 

Compare Order Instituting Proceedings Pursuant to Sections 6(c) and 6(d) of the Commodity Exchange Act, Making Findings and Jmpos1ng Remedial 

Sanctions, In the Matter of TOTAL Gas & Power, North America, Inc. and Therese Tran, CFTC Docket No. 16-03 (CFTC, filed Dec. 7, 2015) with 

Complaint for Declaratory Relief, TOTAL Gas & Power, North America, Inc., ct al. v. Federal Energy Regulatory CommIssIon, ct al., 16-cv-28 (RAJ)(W.D. 

Tx) (hied Jan. 27, 2016), 2. Information, documents, data and/or records (1nclud1ng, without l1m1tat1on, trading records and/or posItIon reports) 

concerning trading ,n CME Group, Inc. and/or NYMEX natural gas futures contracts ("NYMEX natural gas futures contracts"); lntercont,nental Exchange, 

Inc. ("'ICE") natural gas futures contracts and f1nanc1al products corresponding to contracts based upon prices at trading hubs ,n the southwest United 

States, IncludIng El Paso Natural Gas Co, Permian Bas,n ("Permian Bas,n"), El Paso San Juan Bas,n ("San Juan"), Southern Cal,forn,a Gas Co. ("SoCal") 

and West Texas, Waha ("Waha") ("ICE natural gas futures contracts and fInanc,al products"); and/or trading ,n natural gas during the time period June 

2009 to June 2012. 3. Information, documents, data and/or records concerning the prices of NYMEX natural gas futures contracts, ICE natural gas 

futures contracts and financial products, and/or the prices of natural gas during the time period June 2009 to June 2012. 4. Information, documents, 

data and/or records concern Ing communIcatIons ( 1 nclud1 ng, without l1m ItatIon, 1nstant messages or "!Ms") concerning the trad1 ng of NYM EX natura I gas 

futures contracts, ICE natural gas futures contracts and f1nanc1al products, and/or the trading of natural gas during the time period June 2009 to June 

other Reasons· Request withdrawn 

17-00095-FOIA 519/2017 Documents regarding the CFTC's InvcstIgatIon, prosecution and settlement of charges against Forcx Capital Markets, LLC, its parent company, FXCM 

Holdings, LLC, two founding partners, Dror NIv and W1ll1am Ahdout, as described in the CFTC's press release dated February 6, 2017. 

Granted/Denied in Part 

17-00096-FOIA 5/11/2017 1. A list of names/Job titles of alll polItIcal appointees hired since January 20, 2012. 2. Copies of the signed ethics pledge required under the Executive 

Order issued by President Trump on January 28, 2017. 3. Copies of any waivers relating to the ethics pledge required under the Executive Order issued 

'° 

Granted ,n Full 

17-00097-FOIA 5/11/2017 (1) All email correspondence involving any of the following IndIvIduals, from January 20, 2017 to the present: Mike Gill. (2) All electronic calendars or 

calendar entries for Mike Gill, ,nclud,ng any calendars maInta1ned on behalf of these individuals (for example, by an admIn,strat1ve assistant) from 

January 20, 2017 to the present. For any calendar entries ,n Outlook or similar programs, the documents should be produced In "memo" form to include 

all invitees, any notes and all attachments. Please do not limit your search to Outlook calendars. J request all electronic calendars, whether on 

government-issued or personal devices, used to track, coordinate or otherwise schedule how these individuals allocate their time on agency-related 

business, (3) All logs or other records tracking IncomIng and outgoing telephone calls made or received by any of the following 1nd1v1duals: Mike Gill, 

from January 20, 2017, to the present. (4) Any conflicts or ethics waivers or authorizations issued for Mike Gill pursuant to 5 C.F.R. § 2635.502. (5) 

Names of any other IndIvIduals on your agency's Regulatory Reform Task Force and their job titles. 

Granted/Denied in Part 

17-00098-FOIA 5/11/2017 A copy of the adm,n,strat,ve order ,ssued by the Commodity Futures Trading Commission from September 22, 1981 entitled In re Application of the 

C 

Granted ,n Full 

17-00099-FOIA 5/23/2017 1. All records responsive to the OGE data call sent on April 28, 2017. American Oversight seeks the production of those records regardless of whether or 

not they have been-or will be-provided to OGE. 2. If, at the time of your search, your agency has made a determInatIon not to comply with the OGE 

data call, whether ,n whole or ,n part, American Oversight seeks all records reflecting the bas,s for the dec,s,on not to comply With the data call Please 

include as responsive any records reflecting any legal or policy bas,s for not complying w,th the data call as well as any records reflecting any guidance, 

Granted/Denied in Part 

17-00100-FOIA 5/24/2017 1) Memorandum from the D1vIsIon of Trading and Markets on the Chicago Mercantile Exchange's Proposed New rule 575 and Cross-Exchange Access 

Program (Sept, 18, 1992) (The Office of Secretariat has a copy of this document, per Mr. John Wheeler) 2) Commission's approval on September 25, 

1992 of Chicago Mercantile Exchange ("CME") Rule 575 permIttIng the CME to implement a cross-exchange access program with the Marche a Terme 

Granted ,n Full 

17-00101-FOIA 5/25/2017 Copies of all ethics waivers granted pursuant to Executive Order 13770 (Jan. 28, 2017) for officials wIthIn the Commodity Futures Trading Commission 

., '" "' 

other Reasons • No records 

17-00102-FOIA 5130/2017 Copies of the following records on an expedited basis: Waivers issued or approved under Executive Order 13770, and/or under 18 U.S.C. § 208(b)(l), 

and/or under 5 C.F.R. § 2635.503(c), and authonzat,ons issued or approved under 5 C.F.R. § 2635.502(d), to 1ndiv1duals who met the def1n1t1on of 

"appointee" under Execut,ve Order 13770 at any t,me during the period from January 20, 2017, to this date, for off1cIals ,n the Commodity Futures 

Trading Commission. Disclosure of the requested 1nformatIon ,s ,n the public interest because ,l's likely to contribute significantly to public understanding 

of the operations or activities of the government and is not primarily in my commercial interest. (Date Range for Record Search: From 01/20/2017 To 

Grantcd/Dcn1cd in Part 

17-00103-FOIA 5/30/2017 l. A 11st of any and all pol1t1cal appointments at the agency appointed from January 20, 2017 until the date of your final response to this request. 2. 

Copies of resumes for any and all political appointees hired since January 20, 2017 until the date of your final response to this request. (Date Range for 

Granted/Denied in Part 

17-00104-FOIA 5131/2017 Copies of (or access to) documents, pertaining to the progress of your agency's Regulatory Reform Task Force, spec1f1cally: (1) The report and any 

related documents that the regulatory reform task force has provided to the head of the agency to meet the requirements of section 3(g) of Executive 

Order 13777, detailing the progress of the task force. On February 24, 2017, President Trump signed Executive Order 13777, "'Enforcing the Regulatory 

Reform Agenda," which esta bl,shed a federal policy "to alleviate unnecessary regulatory burdens" on the American people Section 3(a) of the EO directs 

federal agencies to establish a Regulatory Reform Task Force Section 3(g) directs federal agencies to, within 90 days of the date of the order, and on a 

schedule determined by the agency head thereafter, have each Regulatory Reform Task Force provide a report to the agency head detailing the 

Grantcd/Dcn1cd in Part 

17-00105-FOIA 611/2017 A list of all companies that arc exceeding the maximum amount of contracts of contracts allowed by rule In the 011 markets. for instance, USO Is an 

<S "' "' 

Other Reasons - No records 

17-00106-FOIA 615/2017 Copies of five of your most recent futures contracts on /lie. r simply want to sec what a futures contract actually looks like. Other Reasons - Public Records 

17-00107-FOIA 6/5/2017 Emails between CFTC Act,ng Chairman Giancarlo and Chairman Jay Clayton of the US Securities and Exchange Commission between May 1, 2017, and 

.o 

other Reasons - No records 
17-00108-FOIA 6/9/2017 All ethics waiver requests received by the U.S. Commodity Futures Trading Commission from Jan. 1, 2016, to June 9, 2017, along with any other Reasons • No records 

17-00109-FOIA 619/2017 Request for copy of 8R application of Emily Hope Portney NFA #277661 Granted/Denied in Part 

17-00110-FOIA 6/16/2017 Copies of the complaint (or complaints) filed in case CFTC 97-13 (in which Ilya Lev,tis was a defendant} as well as the final order/ disposition and/or

~· Granted/Denied in Part "' , ., 

17-00111-FOIA 6/19/2017 Access to and copies of all logs of congressional correspondence regarding correspondence to or from any officials at the Commodity Futures Trading other Reasons - No records 

Commission and Representative Mimi Walters t>etween January I, 2015 to the date of my request's receipt. ]n the event formal congressional logs are 

not ma1nta1ned between the Commodity Futures Trading Commission and members of Congress, l request access to and copies of all records of or 

reflecting commun1cat1ons to or from any off1c1als at the Commodity Futures Trading Comm1ss1on and Representative M1m1 Walters between January 1, 

2015 to the date of my request's receipt. (Date Range for Record Search: From 01/01/2015 To 06/19/2017) 

17-00112-FOIA 6/28/2017 Request One: Copies of records - from the CFTC invest1gat1on{s) of possible man1pulat1on and collusion with respect to various benchmark rates, Denied 1n Full 

,nclud1ng the London Interbank Offered Rate ("LlBOR"') and the Euro Interbank Offered Rate ("EURIBOR") - that would 1nd,cate the scope, or number, 

or amount of pages, of documents received from C1t1bank or Citigroup affiliates or entities; ,nclud,ng but not l,m,ted to, production letters, emails 

indicating submission or receipt of a production, any documents received in accordance to the CFTC Data Delivery Standards, or data/printouts from the 

CFTC document review system reflecting the number of documents or number of pages uploaded onto the platform Request Two, Copies of records -

from the CFTC 1nvest1gat1on(s) of possible man1pulat1on and collusion with respect to various benchmark rates, 1nclud1ng the London Interbank Offered 

Rate ("LlBOR") and the Euro Interbank Offered Rate ("EURI60R'") - that would 1nd1cate the scope, or number, or amount of pages, of documents 

received from and JPMorgan Chase & Co. or JPMorgan Chase Bank, NA subs1d1aries, aff1l1ates or ent1t1es; including but not l1m1ted to, production letters, 

emails 1nd1cating submission or receipt of a production, any documents received in accordance to the CFTC Data Delivery Standards, or data/printouts 

from the CFTC document review S"Stem reflectin~ the number of documents or number of nanes u loaded onto the latform 

17-00113-FOIA 6130/2017 Information, documents or data concerning any man1pulat1on or any attempted manipulation of the Chicago Mercantile Exchange ("CME") nonfat dry Other Reasons - No records 

milk ("'NFDM") spot/cash or futures markets during the time period September-October 2015. This includes, without l1m1tation, any manipulation or 

attempted manipulation of the CME NFDM spot/cash price on or about September 25, 2015 when the NFDM spot price rose from appro~1mately 94 cents 

to approximately $1.10 apparently as the result of the subm1ss,on of b1d(s) that went unfilled. (Date Range for Record Search From 09/01/2015 To 

17-00114-FOIA 7/3/2017 A copy of each employee recusal letter or employee recusal determination at CFTC during Calendar Years 2013, 2014, 2015, 2016 and 2017 to date Granted/Denied ,n Part 

17-00115-FOIA 7/3/2017 A d1g1tal/electron1c copy of the monthly and/or quarterly recurring management reports for each of the Regional Offices, during the time period Calendar other Reasons· No records 

17-00116-FOIA 7/5/2017 A copy of each CFTC Views (or Views Letters), which are statements of the CFTC position, thoughts and comments on specific issues or legislation being Granted 1n Full 

considered by Congress. You may l1m1t this request to Views produced during the time period Fiscal Years 2015, 2016, and 2017 to date. (Date Range 

17-00117-FOIA 7/5/2017 I am requesting 1nformat1on or records regarding Comment for Proposed Rule 81 FR 85334, Comment No: 61244, dated 6/13/2017. A meeting was held other Reasons • No records 

on June 9, 2017 between the CFTC staff and outside part,es from the MFA, Bridgewater Associates, AQR Capital Management, Two Sigma Investments, 

Citadel, Kepos Capital and HBK Capital Management. I am requesting minutes of the meeting and other materials related to It 

17-00118-FOIA 7/6/2017 Request access to and copies of all congressional correspondence logs regarding correspondence between officials at the CFTC and Rep. Leonard Lance other Reasons • No records 

,a 

17-00119-FOIA 716/2017 Direct correspondence betweem CFTC and U.S. Rep, Evan Jen1ns between January 2015-present Other Reasons - No records 

17-00120-FOIA 7/11/2017 On August 22, 2008 the Chicago Mercantile Exchange closed on ,ts acqu,s1tion of NYMEX Holdings, Inc. Sometime shortly thereafter, potentially ,n 2009 other Reasons - No records 

or 2010, a competitor of CME and NYMEX (ICE - Intercontinental Exchange Group, Inc.} not1f1ed the (FTC at>out concerns they had with Natural Gas 

margins in the NYMEX markets (now owned by CME). In response, the CFTC sent a letter to the CME related to the matter of Initial Margin Rates for 

' 

17-00121-FOIA 7/12/2017 I would like to request an electronic l1st1ng of all CFTC employees, in the years 1996-2016. Spec1f1cally, I am seeking a spreadsheet, database or Granted/Denied in Part 

delimited text file(s) - not paper records or a PDF created from data - With the following fields for each employee, every year· name; occupation (e g 

attorney or accountant), position title (e.g., staff accountant}, d1v1s1on (e.g., Enforcement); location of duty, hire date; termination date, pay level (e.g. 

CT- 13), annual salary; overtime pay, incentive pay (t>onus); and prizes or awards accepted. Please indicate 1f an employee was promoted, or moved to 

a different location/ d1vis1on, during the year. If you cannot produce any of these fields, please let me know. (Date Range for Record Search: From 

17-00122-FOIA 7113/2017 (1) Copies of all 1ncoming-and-outgo1ng correspondence between Adam Putnam and the Chairman of the Commodity Futures Trading Comm1ss1on and Other Reasons - No records 

the Commissioners of the Commodity Futures Trading Comm1ss1on from 2001 to 2016. (2) Copies of all 1ncom1ng-and-outgo1ng correspondence between 

Adam Putnam (in his capacity as a US Congressman or the Florida Agriculture Commissioner) and the Commodity Futures Trading Comm1ss1on's Office 

17-00123-FOIA 7/13/2017 All communications between Mike Gill and Gary Cohn of the National Economic Council between Jan. 20 and present day, Other Reasons - No records 

17-00124-FOIA 7114/2017 Requesting copies of each semi-annual report that the CFTC published during 1995-2000 that provided selected FCM financial data pertaining to net other Reasons • No records 

capital and customer segregated funds. The reports that I am seeking are essentially identical to the monthly reports that can now be found on the 

" ' 

17-00125-FOIA 7/20/2017 Please provide a l1st,ng of all current CFTC staff as of July 21, 2017 For each 1nd1v1dual include: Name, Title, Pay Plan, Series, Grade, Base Salary, Total Granted/Denied in Part 

" '" '°'" 

17-00126-FOIA 7/24/2017 Cop,es of all documents and orders/determ,nations ,n regards to the Form WB APP (b)(6) Granted/Denied in Part 

17-00127-FOIA 7/24/2017 Peregrine Broadbent Regulatory Disclosure Granted/Denied in Part 
17-00128-FOIA 

17-00129-FOIA 

17-00130-FOIA 

17-00131-FOIA 

17-00004-AP 

17-00132-FOIA 

17-00133-FOIA 

17-00134-FOIA 

17-00135-FOIA 

17-00136-FOIA 

17-00005-AP 

17-00137-FOIA 

17-00138-FOIA 

17-00001-FPA 

17-00139-FOIA 

17-00140-FOIA 

17-00141-FOIA 

17-00002-FPA 

17-00003-FPA 

17-00004-FPA 

17-00005-FPA 

7/24/2017 

7/25/2017 

7/27/2017 

811/2017 

8/2/2017 

812/2017 

8/2/2017 

7127/2017 

8(7/2017 

8/8/2017 

8/11/2017 

8/14/2017 

8/17/2017 

8/24/2017 

8/25/2017 

8/30/2017 

8130/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

1. All guidance regarding using properties owned by the Trump Organization for government-sponsored conferences or meetings. 2. All emails regarding 

using properties owned by the Trump Organization for government-sponsored conferences or meetings. 3. All guidance regarding attending conferences 

or meetings at properties owned by the Trump Organ1zatIon. 4. All emails regarding attending conferences or meetings at properties owned by the 

Trump Organllation, 5. All guidance regarding reimt>ursement for meals, overnight stays, or other expenses incurred at properties owned by the Trump 

Organization. 6. All emails regarding reimbursement for meals, overnight stays, or other expenses incurred at properties owned by the Trump 

OrganIzatIon. 7, Records suff1c1cnt to demonstrate total costs reimbursed or paid directly by the agency for vIsIts to any property owned by the Trump 

Organization. Reimbursements include payments for the cost of ind1v1dual aufarc of government employees and their spouses, costs for government 

transportation, conference fees, rental fees, lodging, meals, rental vehicles, overtime payments, and any other reimbursable expenses. (Date Range for 

Record Search: From 01/20/2017 To 07/24/201 7\ 

All records regarding 2016 and 2015 employee compensation data held by the CFTC 

All documents related to the enforcement, and discovery of v1olat1ons against (b)(6) 

Copies of (or access to) all emails between agency employee Mike Gill and anyone with any of the following domain names: @Crowell.com, 

@managedfunds.org, ·:1l·aima.org or ·:1l·acsa-cotton.org. Please provide those emails for the period spanning January 20 to the date this FOIA Is 

'"· 

Appeal of FOIA Request 17-00124 

Waivers issued or approved under Executive Order 13770 to 1nd1v1duals who met the dcf1n1t1on of "appointee" under Executive Order 13770 at any time 

during the period from April 30, 2017, to this date, for off1c1als in the Commodity Futures Trading CommIssIon. (Date Range for Record Search: From 

Re: CIVIL ACTION NO. 16-CV-6734 United States CFTC v. Alvin Guy Wilkinson; Chicago Index Partners, L.P.; and Wilkinson FInancIal Opportunity Fund, 

L.P. May to November 2016 1nformat1on and documents including and related to: 1) The deposItIon of Patrick O'Malley before Attorney Michael Frisch at 

, 2) The depos1t1on of Alexandra (ChIpurnoI) before Attorney Michael Frisch at al, 3) The witness (WIlk1nson victim) declarations related to the SRO; "

4) The account Informat1on regarding the Wilkinson victims from Patrick O'Malley and O'Malley & Kwit; the corresponding Informat1on regarding the 

Chicago Index Partners, L.P. and Wilkinson Financial Opportunity Fund, L.P. (and any other funds containing Wilkinson victim funds} at Harris Bank (221 

E. Walton, Chicago or other branch), and 5) The depos1t1on of any Harris Bank official in this matter and/or any information ot>ta1ned from Harris Bank 

regarding Civil Action No. 16-CV-6734, Re: NFA Case No, 16-MRA-001 Apcrcu lnternat1onal PR L.L.C. & Alvin Guy W1lk1nson 1nformat1on and documents 

1nclud1ng and related to: Auditor and bank documents, from February 2015 to December 2015. 

All documents or informat,on related to In the Matter of Daniel Shak and SHK Management LLC 

Copies of all documents outlined in detail t>elow: • Any Freedom of ]nformat1on Act requests filed November 2012 to present regarding Senator Joe 

Manchin or the staff or representatives of Senator Joe Manch1n, In both his capacity as a United States Senator and as a private cItIzcn. • Any rcsponsIv 

With reference to the CFTC RcgIstratIon Deficient (RED) List of foreign cntItIcs that arc not appropriately registered with the Commission, please provide 

the following: a) the names of the cntItIcs that operate under companies with a registered address in the United Kingdom (1,c, those that use a shell 

company based ,n the UK), and, more spec1f1cally b) a breakdown of where ,n the United Kingdom these companies are registered· 1.e. Northern 

Ireland, England, Scotland and Wales. Please restrict your search to the most recently updated RED List, which at the time of the request consisted of 

Appeal of 17-00076-FOIA 

In 1997-1998 the CommIssIon investigated the "sharp rise" ,n silver prices (sec 1998 CFTC Annual Report, p. 58). Warren Buffett's Berkshire Hathaway 

reported It had accumulated 129 m1ll1on ounces of silver, Ph1bro said 11 was the broker. I would like to sec all communications between the CFTC and 

these companies and their officers. I would also like to see CFTC internal notes on this IncIdent. (Date Range for Record Search: From 07/01/1997 To 

Calendar and daily schedules of the Chairman whether Acting or Appointed and all Comm1ss1oners of the CFTC from January 20, 2017 through August 7, ., 

Full d1sclsoure and any and all pertinent Informat1on related to/concerning (b)(6) and any and all pertinent InformatIon of any secuIty, CUSIP 

Copies of any of the following documents produced since January 1, 2016 involving Carl lcahn or his companies· "Opening and Closing Reports, 

1ncludIng 'Case Closing Recommendation,' 'Matter Under Inquiry Summary,' 'Investigation Summary,' and/or similar documents and/or reports." (Date

"" ,. A copy of each record In the Secretariat Correspondence Locator System associated with the "Trump Organ,zat1on", 1ncludIng correspondence to or from 

the Trump Organization, during all years encompassed by the SCLS (approximately 1989 to present). (Date Range for Record Search: From 01/01/1989 

A copy of the internal CFTC Manual or Handbook or Guidance associated with the CFTC Reparations Program. 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)(6) that your agency have maintained records in various datat>ases, records, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to/bl/61 that your agency have maintained records In various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documcntat,on related to /h1/R1 that your agency have ma1nta1ncd records ,n various databases, records, 

Requesting all records, Illes, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentat,on related to /bl/61 that your agency have maintained records in various databases, records, 

other Reasons • No records 

Granted in Full 

Granted/Denied In Part 

Granted/Denied in Part 

other Reasons • No records 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied ,n Part 

Other Reasons - No records 

Other Reasons - No records 

Completely Affirmed 

Other Reasons - No records 

Granted/Denied in Part 

other Reasons - No records 

other Reasons - No records 

other Reasons - No records 

Other Reasons - Request withdrawn 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 
--

17-00006-FPA 8/28/2017 

17-00007-FPA 8/28/2017 

17-00008-FPA 8/28/2017 

17-00009-FPA 8/28/2017 

17-00010-FPA 8/28/2017 

17-00015-FPA 8/28/2017 

17-00016-FPA 8/28/2017 

17-00017-FPA 8/28/2017 

17-00023-FPA 8/28/2017 

17-00024-FPA 8/28/2017 

17-00025-FPA 8/28/2017 

17-00026-FPA 8/26/2017 

17-00027-FPA 8/28/2017 

17-00028-FPA 8/28/2017 

17-00029-FPA 8/28/2017 

17-00142-FOIA 9/6/2017 

17-00143-FOIA 9/13/2017 

17-00144-FOIA 9/12/2017 

17-00145-FOIA 9/13/2017 

17-00149-FOIA 9/18/2017 

17-00150-FOIA 9/18/2017 

17-00151-FOIA 9/18/2017 

Requesting all records, Illes, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records ,n various databases, records, 

Requesting all records, files, both hard and electronic cop,es, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)/6) that your agency have maintained records in various databases, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to/h1/R1 that your agency have maintained records in various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related tO(b)/6) that your agency have maintained records ,n various databases, records, 

Requesting all records, Illes, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to(b)/6) that your agency have ma1nta1ned records ,n various databases, records, 

Requesting all records, files, both hard and electronic cop,es, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records in various databases, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records 1n various databases, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to (b)/6) that your agency have ma1nta1ned records ,n various databases, records, 

Requesting all records, Illes, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to/bl/61 that your agency have maintained records in various databases, records, 

Requesting all records, files, both hard and electronic cop,es, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records in various databases, records, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records ,n various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to(b)/6) that your agency have ma1nta1ned records ,n various databases, 

Requesting all records, Illes, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to(b)/6) that your agency have ma1nta1ned records ,n various databases, 

Requesting all records, files, both hard and electronic cop,es, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have mainta,ned records ,n various databases, records, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to(b)/6) that your agency have maintained records 1n various databases, records, indexes, or 

Request for d1g1tal/electronic copy of the Comm1ss1on meeting minutes for each meeting during calendar year 2016 and 2017 to August 27, 2017 

Records related to the management and administration - as well as any investigation into--any 401(k) retirement savings plan sponsored by BlackRock, 

Inc., BlackRock Inst1tut1onal Trust Co., N.A. ("BTC"), or any of ,ts affiliates or subs1d1aries (collectively, "BlackRock"). In add1t1on, records related to the 

collective trust investments (also called "Collective Funds") of BTC. (Date Range for Record Search: From 10/01/2006 To 09/13/2017) 

A digital/electronic copy of the Jndex to Commission meeting recordings, 

A copy of the l1st1ng of "1mplementat1on proJect plans" 

Copies of all non-email messages (1.e. text messages, gChat, ,Message etc.) t>etween agency spokeswoman Erica Richardson and agency official Michael 

'" '-'" '" '" Copies of (I) all emails sent to or received by Christopher Giancarlo or Michael Gill since October 1, 2017 that include the word LedgerX, Please include 

emails from both their government email accounts and work-related emails on any personal accounts. (2) All emails between agency officials Michael Gil 

and Christopher Giancarlo on January 26, 2017. Please include emails from both their government email accounts and work-related emails on any 

Cop,es of· (1) all emails sent to or received by CFTC off,c,al Michael Gill (since October 1, 2016 to the date this FOIA ,s processed) that include any of 

the following terms: "Alliance Risk" "Banco de la Republica" "Independent Petroleum Producers Assoc1at1on" "]PPA" "FX SpotStream" "ICAP" "FCStone" 

"FC Stone" "Hess '"Kolmar" "L1qu1d Environmental Solutions" "L1qu1d1ty Match" "Siemens" "Pace Glot>al" "Energy Authority" "San Diego County 

Employees Retirement Association" "Spot Markets '; (2) all emails t>etween CFTC official Michael Gill (since October 1, 2016 to the date this FO]A 1s 

processed) and anyone who has an email address with any of the following domains:@theall1anceriskgroup.com @banrep.gov.co @1paa.org 

@fxspotstream.com @1cap.com @1ntlfcstone.com @hess.com @kolmargroup.com @kolmar.com @l1qu1denv1ro.com @siemens.com @tea1nc.org 

@sdcounty.ca.gov. For both parts of this request, please include emails from both his government email accounts and work-related emails on any 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

other Reasons· Request withdrawn 

Other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 
--

17-00030-FPA 

17-00152-FOIA 

17-00031-FPA 

17-00001-REF 

17-00153-FOIA 

17-00154-FOIA 

18-00001-FOIA 

18-00002-FOIA 

18-00003-FOIA 

18-00004-FOIA 

18-00005-FOIA 

18-00006-FOIA 

18-00007-FOIA 

18-00008-FOIA 

18-00009-FOIA 

18-00010-FOIA 

18-00011-FOIA 

18-00012-FOIA 

18-00013-FOIA 

18-00014-FOIA 

917/2017 

9/22/2017 

9/18/2017 

9/25/2017 

9/28/2017 

9/28/2017 

10/6/2017 

10/12/2017 

10/17/2017 

10/18/2017 

10/23/2017 

10/23/2017 

10/25/2017 

10/27/2017 

10/31/2017 

10/31/2017 

11/9/2017 

11/13/2017 

11/15/2017 

11/15/2017 

Requeste for all records, Illes, both hard and electronic copies, all emails, notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to named 1ndIv1duals that your agency have ma1ntaIned records ,n various databases, records, 

Any email sent by former Chairman Timothy Massad from December 20, 2016, to December 22, 2016, that mentions or refecs to CFPB Director Richard 

'" ,_ Request for all records, files, both hard and electronic copies, all emails, notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to named 1ndIv1duals that your agency have ma1ntaIned records ,n various databases, records, 

Referral from the U.S. Department of Justice regarding FOIA request of(b)(6) - Request Numberc FOIA-2016-01799 

All records, including letters, emails and other documents originated by the CFTC that describe how the agency determined the penalty In the matter of 

" "-" All documents and communciat1ons In connection with (b)(6) lnvestIgat1on, and/or the(b)(6) Case. 

Copies of all tweets deleted by the CFTC's Twitter feed from January 2011 to the present. 

Any and all records created or transmitted t,y or between White House staff, including t>ut not limited to their email addresses ending in "who.eop.gov," 

including t>ut not limited to Jared Kushner, Stephen (Steve) Bannon, Re1nce Priet>us, John F. Kelly, Justin Clark, George S1fakis, Andrew Giuliani, Bill 

Stepien, Stephen MunIstcri, Jennifer Korn, Sarah Makin, Ivanka Trump, Gary Cohn, Jeremy Katz, Ashley Hickey Marquis, and Dina Powell, and CFTC 

Copies of all documents outlined In detail belowc (1) Any direct correspondence With Louis ("Lou") Barletta or the staff or representatives of Louis 

Barletta, In his capacity as a United States Congressman, mayor, or as a private Citizen (January 3, 2011 - present). (2) Any Freedom of Information 

Act requests filed regarding Louis ("Lou") Barletta or the staff or representatives of Louis Barletta, in his capacity as a United States Congressman, 

mayor, or as a private citizen and their responsive documents (January 3, 2011 - present), Direct correspondence should include letters, emails, 

( 1) Any direct correspondence between [FTC and West Virginia attorney general Patrick Morrisey ("Patrick J_ Morrisey"), or the staff of West Virginia 

attorney general Patrick Morrisey between, January 2013- present, (2) Any direct correspondence between [FTC and Patrick Morrisey as a private 

cItIzcn between April 1990-present; (3) Any direct correspondence between CFTC and Patrick Morrisey In his capacity as a congressional staffer between 

1999 and 2004; (4) Any direct correspondence between CFTC and Patrick Morrisey In his capacity as a partner at Sidley Austin LLP between 2004 and 

2010; (5) Any direct correspondence between CFTC and Patrick Morrisey In his capacity as a partner at King & Spalding LLP between 2010 and 2013, 

A listing of all CFTC staff as of July 20, 2017. In other words, staff that received pay as of July 2017. For each staff person 11st the Name, Title, Pay Plan, 

Series, Grade, Base Salary, Total Salary, SCD Leave Date, CFTC Start Date, Date In Grade Please 11st staff by Div1s1on and In alphabetical order. 

A copy of each internal CFTC report regarding B1tcoin. A copy of each internal CFTC report regarding blockchaIn (also known as block chain) A copy of 

A copy of the FEVS (Federal Employee V1ewpo1nt Survey) Agency Management Report for CFTC, for the year 2016. I also request a copy of the 2016 

Information or records regarding CFTC letter 40.2 pertaining to a request for compliance with core principals sent from the CFTC to the Chicago 

Mercantile Exchange (CME) This request was sent In July 2016 I am also requesting the response from the CME pertaining to this 40.2 letter and any 

A copy of CFTC Docket 88-R252 (Involv1ng Garson). 

Information or records regarding: 1 Any CFTC staff correspondence, internal memos, reports, and/or opInIons that reflect the "'opinion" and 

"recommendation" referenced ,n the Concurring Statement of former CFTC Commissioner Sharon Brown-Hruska, which was appended to the CFTC's July 

15, 2003 approval of the Chicago Board of Trade's {"CBOT'"s) 17 C.F.R. § 40.5 rule amendment proposals (pertaining to the ImplementatIon of ,ts 

Clearing Link service) that were submitted under separate covers to the CFTC between June 13 through June 26, 2003 2 The "Memorandum to the 

(CFTC] by the D1vIsIon of Clearing and Intermediary Oversight dated September 5, 2003" which recommended that the CFTC register CBOT as a DCO, 

Please provide a copy of any filings or written requests by CME Group or the Chicago Board of Trade (CBOT}, made prior to January 1, 2009, seeking 

approval by the U.S. Commodity futures Trading Commission (CFTC) of CBOT Rules 523 (Acceptance of Bids and Offers) (currently designated as CBOT 

Ruic 522 pursuant to the CME rule harmonization plan) and CBOT Ruic 540 (Respons1b1l1ty for Customer Orders) and any amendments thereto. 

Additionally, please provide a copy of any order or notice from the CFTC approving any such filing or request by CME Group or CBOT relating to CBOT 

A copy of each internal CFTC report regarding BItcoIn. 

All documents, 1ndud1ng but not limited to notes, emails or other communications, memoranda, written analysis, summaries, or calendar entries, 

regarding the following meetings: A meeting on August 26, 2010 regarding Swap Execution Facility Registration Requirements and Core Principle 

Rulcmak1ng, Interpretation & Guidance; A meeting on October 15, 2010 regarding dcf1nt1t1ons required by the Dodd-frank Act; A meeting on March 10, 

2011 regarding governance and real-time reporting; A meeting on July 7, 2011 between Ananda Radhakrishnan and Richard Ribbentrop of USB AG; A 

meeting on March 27, 2012 regarding lIquIdIty aggregation services and SEF regIstratIon; A meeting on March 29, 2012 regarding, among other things, 

ImpartIal access to SEFs; Two meetings on June 8, 2012 (12 pm and 2 pm) regarding, among other things, swap dealer regIstratIon; A meeting on July 

30, 2012 regarding SEF registration and aggregator platforms; A meeting on October 23, 2012 regarding clearing; A meeting on November 14, 2012 

regarding SEFs; A meeting on December 5, 2012 regarding, among other things, SEF rules and SEF ownership l1m1tations; and A meeting on January 

15, 2013 renardin" SEFs. (Date Ran"e for Record Search: From 01/01/2010 To 12/31/20161 

All communications between the chairman's office and anyone with a White House email address (sent to or from emails ending@wh.cop.gov) For the 

following date range: January 20 2017 through November 14 2017 (Date Range for Record Search: From 01/20/2017 To 11/14/2017) 

other Reasons· Request withdrawn 

other Reasons - No records 

other Reasons - Request withdrawn 

Other Reasons - Not a proper FOIA 

Denied In Full 

other Reasons - Request withdrawn 

Other Reasons - No records 

Granted/Denied in Part 

other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied in Part 

other Reasons - Public Records 

Granted/Denied in Part 

Granted/Denied in Part 

Granted ,n Full 

Other Reasons - No records 

Granted/Denied In Part 

Granted/Denied in Part 

Other Reasons - Request withdrawn 
18-00015-FOIA 11/16/2017 A chart or list of each CFTC divIsIon and office with name, title, grade, and supervisory status for each employee. Granted ,n Full 

18-00016-FOIA 11/29/2017 Edward Laurence Fishman; NFA #284102 Granted in Full 

18-00017-FOIA 12/4/2017 Copies of the following CFTC Dockets· Docket 86-6 (1nvolv1ng Boston) dated around September 28, 1988 Docket 88-2 (involving SONNENBERG & SD) Granted/Denied in Part 

dated around May 17, 1988 Docket 78-1 (involving CARR} dated around January 22, 1988 Docket 83-R905 (involving Boring) dated around Novemt>er 

30, 1987 Docket R80-902-81-139 (involving CACCESE) dated around April 30, l 987 (Date Range for Record Search: From 04/20/1987 To 09/28/1988) 

18-00018-FOIA 1214/2017 All 1nformat1on regarding the case CFTC v Spencer Montgomery. Charges were filed March 13, 2012. Other Reasons· Request withdrawn 

18-00019-FOIA 12/5/2017 All put>l1cly-disdoseable information held t,y the CFTC In relation to the following exemptive relief filings made to the NFA by non-US firms under CFTC Granted in Full 

Ruic 30.10: Merrill Lynch Japan SccuntIcs Co Ltd, filed with NFA on April 28, 2017 and approved on May 15, 2017 Credit Suisse International, hied with 

NfA and approved on December 31, 2015 Soc,cte Gcneralc International LImIted, filed with NFA on August 23, 2011 and approved on August 25, 2011 

Deutsche Bank AG, filed with NFA on July 13, 2007 and approved on August 17, 2007 In particular, copies of the representations submitted by the nonUS firm, correspondence and supporting material filed by the firm, and approval issued by NFA/CFTC staff. 

18-00020-FOIA 12/5/2017 All publ1cly-dIsdoseable Informat1on held by the CFTC In relation to the following exemptIve orders granted under CFTC Rule 30.lOc Eurex Germany 

Order dated May 8, 2002, as described at 67 Fed. Reg. 30,785 F1nancIal Services Authority Order dated October 10, 2003, as described at 68 Fed. Reg. 

58,583 Tokyo Financial Exchange Order dated Octot>er 14, 2008, as descrit>ed at 73 Fed. Reg. 60,625 Korea Exchange Order dated February 11, 2016, 

as described at 81 Fed. Reg. 7,204 In add1t1on, all publ1cly-d1scloscablc 1nformat1on held by the CFTC in relation to the following pending pctItIon made 

with the CFTC under Ruic 30.10: Bombay Stock Exchange pctItIon dated February 26, 2016, as described at 

https ://s1rt.cftc.gov/sIrt/sIrt.aspx'TopIc= ForeIgnPart30E~emptIons For each of the precedI ng items, provide copies of the petition submitted by the 

applicant, correspondence and supporting material filed by the applicant, and recommendations made by CommIssIon staff ,n connection with the 

other Reasons - Request withdrawn 

1215/2017 All publ1cly-d1scloscablc 1nformat1on held by the CFTC In relation to the following cxcmptIvc order granted under CFTC Ruic 30.10: (1) Hong Kong Other Reasons - Request withdrawn 

Securities and Futures CommIssIon dated March 25, 2015, as described at 80 Fed. Reg. 15680. In addItIon, copies of the petition submitted by the 

applicant, correspondence and supporting material filed by the applicant, and recommendatIons/determInatIons made by CommIssIon staff ,n connection 

18-00021-FOIA 

18-00022-FOIA 12/5/2017 All put>l1cly-disdoseable information held t,y the CFTC In relation to the following exemptive orders granted under CFTC Rule 30.10: ( I) Uk Securities 

and Investments Board dated May 9, 1989, as described at 54 Fed, Reg, 21599, (2) Uk AssocIatIon of Futures Brokers and Dealers dated May 19, 1989, 

as described at 54 Fed. Reg. 21604 (3) UK SccuntIcs AssocIatIon dated May 19, 1989, as described at 54 fed. Reg. 21609 (4) UK Investment 

Management Regulatory Organisation Limited dated May 19, 1989, as described at 54 Fed. Reg. 21614 (5) Letter from Michael Folger, Director of 

Conduct of Business Standards, FSA, to Jane Kang Thorpe, Director for the DIvIs1on of Clearing and Intermediary Oversight, dated July 24, 2003 (6) 

Letter from John C. Lawton, Acting Director, DIv1s1on of Trading and Markets, to Alan Whiting, Executive Director for Regulation and Compliance, LME, 

dated April 3, 2000. (7) Letter from Andrea Corcoran, Director, D1v1s1on, to A.R,G, Frase, AFBD, dated June 19, 1990 (8) Letter from Andrea Corcoran, 

Director, Div1s1on of Trading and Markets, to the Hon. Christopher). Sharples, Chairman, AFBD, dated October 10, 1989 For each of the preceding 

,terns, I would like copies of the pctItIon submitted by the applicant, correspondence and supporting material filed by the applicant, and 

rccommcndat,ons detcrm1nat1ons made b CommIssIon staff In connection with the nctItIon. 

Granted ,n Full 

18-00023-FOIA 12/5/2017 Any information regarding identifiable with(b)/6) 

(b)/6) was fired from Salomon Brothers for mIspncIng trades, (Date Range for Record Search: from 01/01/1996 To 01/31/1998) 

Other Reasons - No records 

18-00024-FOIA 1217/2017 (1) Con/lrmat,on that the final orders and award determinations of the CFTC's Wh1stlcblower Office that arc 1dcnt1f1cd on the website 

https://www.whistleblower.gov/orders/ constitute a full listing of all final orders and award determInatIons as of the date of this request. To the e~tent 

that any final orders and award determInatIons of the CFTC's Whistleblower Office are not ident1f1ed on this website, we request that the Wh1stleblower 

Office update this website and/or produce copies of such documents In response to this FOIA request (2) Copies of any and all documents related to - - - -

Denied ,n Full 

(b)/6) 

18-00025-FOIA 

18-00026-FOIA 

18-00027-FOIA 

18-00028-FOIA 

12/8/2017 

12111/2017 

12/29/2017 

115/2018 

All orders, cover actions, awards, prelImInary info as well as any relevant documents submitted Concerning WB·APP 2016-06·14·01, related 

-~•~ ,n 1~ •• co 1~.I°'\ 

Visitor logs for Meetings with LabCFTC's office hours held for f1nTech Innovators: LabCFTC Staff on the following dates: July 24-26, 2017 held In New 

--- -- -- -- All availat>le communications and documents from the Office of the Inspector General on 1nvest1gations, probes or inquiries related to workplace sexual 

harassment and sexual assault claims at the Commodity Futures Trading Commission between November 2014 and November 2017. (Date Range for

- .. ·-· Memorandum dated June 20, 2003, from the DIvIsIon of Market Oversight ("DMD") (the "'Futures Rules Memo") concerning the Chicago Board of Trade's 

("CBOT"'s) June 16, 2003 request for the CFTC's determination of the materiality of amendments to spec1f1ed rules of CBOT's futures contracts on 

Granted/Denied in Part 

Other Reasons - Request withdrawn 

Other Reasons - No records 

Granted ,n Full 

18-00029-FOIA 118/2018 CFTC's FOIA request log covering 2017, which includes a field showing the subject of each request and a field for the final dIspositIon. Granted/Denied in Part 

18-00030-FOIA 118/2018 A list of the Office of Inspector General's InvcstIgatIons that were closed In 2017. I request that this 11st contain the subJcct matter of each invcstIgatIon. Other Reasons - No records 

18-00031-FOIA 1/11/2018 Any audio, notes, transcripts, documents, evidence of what was discussed at an August 9, 1956 hearing concerning proposed regulations applicable to 

hedging antIcIpatc requirements of processors and manufacturers as noticed In 21 Fed, Reg, 5771, 5780 (Aug, 2, 1956) available at, 

Other Reasons - No records 
18-00032-FOIA 1/16/2018 All Commodity Futures Trading CommIssIon Congressional Correspondence Logs, IncludIng logs maintained by component, regional or program offices, 

for correspondence received between January I, 2007, and January 16, 2018 To be clear, we are not requesting the correspondence texts We are 

requesting all fields of information recorded In logs or log databases about each congressional correspondence such as the Correspondent Name, 

Correspondent Type or Organization, Addressee, Sul>Ject, Date Received, Date of Reply, Document Type, Processing Codes and Jnstruct1ons, Reference 

or Control Numt>ers, Action, and Office to which the correspondence may have been assigned, (Date Range for Record Search: From 01/01/2007 To 

Granted/Denied in Part 

18-00033-FOIA 1/18/2018 I would like the following materials, which were gathered by the agency as laid out in the appendix to 'plaintiffs motion for a restraining order' filed 17th Denied in Full 

April 2015. (1) Account statements and documents produced to the Commission by MF Global for accounts held by Sarao for the period March 2008 to 

October 2011. (2) Account statements and documents produced to the Commission by Marex Spectron for accounts held by Sarao futures for the period 

November 2011 to April 2012. (3) Account statements and documents produced to the Commission by Knight Execution and Clearing Services for 

accounts held by Sarao Futures for the period July and August 2012 (4) Account statements and documents produced to the Comm1ss1on by RJ O'Brien 

Associates for accounts held by Sarao Futures for the periods August 2012 to June 2014, and by Sarao himself for the period October to December 

18-00034-FOIA 1/25/2018 Any direct correspondence with Martha McSally, or the staff or representatives of Martha McSally, In her capacity as a United States Congresswoman, 

and the CFTC Chairman, CommIssIoners, Office of the Executive Director, and Office of Leg1slat1ve Affairs. {Date Range for Record Search: From 

Other Reasons - No records 

18-00035-FOIA 1/30/2018 Any documents or emails wIthIn the CFTC's Office of Logistics and Operations mentIonIng '"climate change" AND "risk assessment'". Spec1f1cally, I am 

looking for the CFTC's "analysis of CFTC vulnerabIl1ty to climate change" that started In July 2014 as required by Executive Order 13514 "Federal 

other Reasons • No records 

18-00036-FOIA 2/1/2018 Copies of correspondence spec1fIcally those leading up to the issuance of a subpoena, 1nclud1ng any subpoenas themselves, cease and desist letters and 

formal requests for information sent to the following entities: Bitfinex lFINEX Inc, BFNXA Jnc, BFXWW Jnc and Tether Ltd, Tether Holdings Ltd. 

Denied In Full 

18-00037-FOIA 2/1/2018 Access to and copies of any materials produced In response to Senator Jeff Merkley's letter dated August 5, 2016 concerning implementation of the Granted in Full 

'"Volcker Rule." This should include, but not be limited to: (1) Communications sent by, sent to, or cart>on copying ("CC") Commodity Futures Trading 

CommIssIon (CFTC) staff about potential responses to, and how to proceed with, the request for details about the ImplementatIon of the VolcKer Ruic 

contained in the August 2016 letter. (2) Internal documents, reports, and/or data created or compiled to respond to the request for details about the 

ImplementatIon of the Volcker Rule contained ,n the August 2016 letter. (3) CommunIcatIons with entities and IndIvIduals outside CFTC about potential 

responses to, and how to proceed with, the request for details about the ImplementatIon of the Volcker Rule contained in the August 2016 letter. (4) 

Documents, reports, and/or data provided to or requested by the CFTC from entItIes and/or 1nd1v1duals outside CFTC concerning the request for details 

about the ImplementatIon of the Volcker Rule contained in the August 2016 letter (5) Any communIcatIons sent to Sen. Jeff Merkley or his staff 

responding to the request for details about the 1mplementat1on of the Volcker Rule contained in the August 2016 letter. (6) Any communications 

received b" CFTC staff from Sen, Jeff Merkle" or his staff concerninn the renuest for details at>out the im lementation of the Volcker Rule contained in 

18-00038-FOIA 2/6/2018 I am requesting any and all documents and communication mentioning or perta1n1ng to B1tfinex, Tether, or their principals: Jan Ludov1cus van der Velde Denied In Full 

18-00039-FOIA 2/7/2018

18-00040-FOIA 2/9/2018

(1) All documents, 1nclud1ng electronic correspondence, between September 1, 2017, and the date this request Is processed, that contain the words 

Kraken AND Tether or Kraken AND B1tfinex, (2) All documents, including electronic correspondence, between September I, 2017, and the date this 

request is processed, that contain the words Poloniex AND Tether or Polon1ex AND Bitf1nex. (3) All documents, including electronic correspondence, 

between September 1, 2017, and the date this request Is processed, that contain the words BIttrex AND Tether and/or BI1trex AND B1tf1nex. (4) All 

documents, 1nclud Ing electronic correspondence, between September 1, 20 17, and the date this request Is processed, that contain the words Bl nance 

AND Tether and/or BInance AND B1tfinex. (5) All documents, IncludIng electronic correspondence, between September 1, 2017, and the date this 

request Is processed, that contain the words OKEx AND Tether and/or OKEx AND B1tfinex. (6) All documents, IncludIng electronic correspondence, 

between September I, 2017, and the date this request IS processed, that contain the words Huob1 AND Tether and/or Huob1 AND BilfInex (Date Range 

A record of all employee and contractor expenses that include payment to the Trump lnternatIonal Hotel Washington DC since September 1, 2016, as 

well as all expenditures made by the Commodity Futures Trading Commission to the Trump International Hotel Washington D.C. since Septemt>er 1, 

2016. The expense records should include but not t>e limited to. the date of purchase at the hotel, the total amount paid, the good/service description of 

each line ,tern, and 1fthc expense Is due to an employee of a sub-agency incurring the charge, please note which sub-agency. In credit card 

transactions, expenditures made at the Trump International Hotel ,n Washington D.C. may be noted as payments to a business alias, so I am listing 

several aliases that I am aware of below. Any payment made to these business aliases should be included ,n the record we are seeking.• TRUMP INTL 

HOTEL DC REST• TRUMP INTL HOTEL• BLT PRIME - WASHINGTON• BENJAMIN BAR & LOUNGE· WASHINGTON• TRUMP INTL HOTEL· WASHINGTON 

• TRUMP OLD POST OFFICE - WASHJNGTON (Date Range for Record Search, From 09/01/2016 To 02/08/2018) 

Denied In Full 

other Reasons - No records 

18-00041-FOIA 2/9/2018 "The US Commodity Futures Trading Comm1ss1on sent subpoenas on Dec. 6 to virtual-currency venue Bitf1nex and Tether." I am requesting a copy of 

these subpoenas of Tether, Inc and Bitf1nex (iF1nex), as well as a copy of any additional correspondence, records and information related to this case. 

Denied In Full 

18-00042-FOIA 2/12/2018 Copies of sut>poenas issued to the following between December J, 2017 and the date this request Is processed, (1) BFXNA Inc., (2) BFXWW Jnc., (3) 

B1t/lnex; (4) Tether Limited; (5) The KraKen LLC; (6) The BIttrex Inc.; and (7) Polon,cx LLC. (Date Range for Record Search: From 12/01/2017 To 

Denied in Full 

18-00043-FOIA 

18-00044-FOIA 

18-00045-FOIA 

18-00046-FOIA 

2113/2018 

2/13/2018 

2/13/2018 

2/13/2018 

A copy of the FOIA log from October 1, 2016 through September 30, 2017. (Date Range for Record Search: From 10/01/2016 To 09/30/2017) 

A copy of the CFTC's latest annual report to Congress regarding CFTC's status. 

A copy of the CFTC's latest request for budget to the White House. 

A copy of the 2015, 2016, and 2017 report to the Attorney General regarding FOIA. (Date Range for Record Search, From 01/01/2015 To 12/31/2017) 

Other Reasons - Fee-related reason 

other Reasons - Fee-related reason 

other Reasons • Fee-related reason 

Other Reasons - Fee-related reason 

18-00047-FOIA 2/13/2018 The subpeona that was delivered to BitF1nex and Tether on December 6. Denied in Full 
18-00048-FOIA 

18-00049-FOIA 

18-00050-FOIA 

18-00001-CONS 

18-00051-FOIA 

18-00052-FOIA 

18-00053-FOIA 

18-00054-FOIA 

18-00055-FOIA 

18-00056-FOIA 

18-00057-FOIA 

18-00058-FOIA 

18-00059-FOIA 

18-00060-FOIA 

18-00061-FOIA 

18-00062-FOIA 

18-00063-FOIA 

18-00064-FOIA 

18-00065-FOIA 

18-00066-FOIA 

18-00067-FOIA 

18-00068-FOIA 

2/13/2018 

2/15/2018 

2/14/2018 

2/16/2018 

2/20/2018 

2/20/2018 

2/21/2018 

2121/2018 

2/22/2018 

2/23/2018 

2/23/2018 

2/26/2018 

2/26/2018 

2/26/2018 

2127/2018 

311/2018 

3/1/2018 

2127/2018 

311/2018 

3/1/2018 

3/9/2018 

3/14/2018 

The subpeona that was sent to b1tfinex and tether on December 6. 

Information on the reason for a disclosure realted to Financial disclosures in the NFA 8 R of Spyros Nikolaos Papadakis (NFA ID. 0492735), 

Information or records regarding historical market data relating to the frequency of margin calls across firm types for the E-min S&P 500 futures 

Karl Frisch (Allied Progress) submitted to the FDJC a FOIA request for "access to and copies of any materials produced In response to Senator Jeff 

Merkley's August 5. 2016 letter (see attached) concerning implementation of the "Volcker Rule." The request stated that this should include, but not be 

limited to. [1] Communications sent by, sent to, or carbon copying ("CC'") Federal Deposit Insurance Corporation (FDIC) staff about potential responses 

to, and how to proceed with, the request for details about the 1mplementat1on of the Volcker Rule contained in the attached letter[;] [2] Jnternal 

documents, reports, and/or data created or compiled to respond to the request for details about the 1mplcmentat1on of the Volcker Ruic contained in the 

attached letter[;] [3] Communications with cntItIcs and 1nd1v1duals outside FDIC about potential responses to, and how to proceed with, the request for 

details about the implementation of the Volcker Rule contained In the attached letterr:l [4] Documents, reports, and/or data provided to or requested b 

the FDIC from entities and/or individuals outside FDIC concerning the request for details about the ImplementatIon of the Volcker Rule contained In the 

attached letter[;] [SJ Any communications sent to Sen Jeff Merkley or his staff responding to the request for details about the 1mplernentatIon of the 

Volcker Rule contained In the attached letterr· andl r6I Anv communications received bv FDIC staff from Sen Jeff Merklev or his staff. 

Copies of the original ema1l(s) requesting no-action relief, which were sent by Victoria UnIversIty of Wellington, and Is responded to In "CFTC Letter No. .. 

Copies of records gathered and generated by the CFTC's InvcstIgatIon of trading in f1nanc1a I futures products prior to the events of September 11, 200 1. 

The CFTC's InvestIgation Is referenced In the SEC's "Information Memorandum" of May 15, 2002 to the Commission from the Division of Enforcement 

Information on the reasons for the pos1tIve answers to the three disclosures related to Regulatory disclosures In the NFA 8 R of Robin Rogers (NFA !De 

Access to and copies of all emails exchanged between: (1) Current Division Directors and all former Commissioners {Sharon Bowen, Timothy Massad, 

Mark Wel]en, Scott O'MalIa, Bart Chilton, Gary Gensler, Jill Sommers, Michael Dunn, Walter Lukken, Reuben Jeffery, Frederick Hatfield, and Sharon 

Brown-Hruska) from 1/20/17 to 2/21/18 (date of your request); (2) Chairman Giancarlo and all former CommIss1oners from 1/20/17 to 2/21/18; and 

(3) Commissioners Brian Quintenz and Rostin Behnam and all former Commissioners from 1/20/17 to 2/21/ 18. (Date Range for Record Search, From 

Any commun1catIons, between May 1 and Oct. 1 of 2017, sent to or from J Christopher Giancarlo, Mike Gill and Richard Danker regarding the Financial 

Stability Oversight Council's procedures for designating or de-designating a systemically important financial InstItutIon, including but not limited to 

American International Group, In addition, any communications to or from Giancarlo, Gill and Danker, during that same time period, related to Jay 

The subpoenas issued to IFinex inc. also known as B1tfinex and it's subsIdIary companies, as well as subpoenas issued Tether Limited and its subsidiary 

companies. These subpoenas were likely issued around mid December of 2017 I am also looking for any documents that are able to be made public 

Copy of the Agency Reform Plan submitted to the Office of Management and Budget ("OMB") In approximately September 2017 In accordance With 0MB 

, M_17_ 00 ' ,,, 

Access to the Apache server log files (anonymized 1f necessary) that record and store user access statistics for the cftc.gov website 

Copies of the following CFTC Dockets: I. Docket 83-R413 (1nvolv1ng Sandlin) dated around April 13, 1987 2. Docket 86-R184 (involving Marriott) dated 

around March 20-26, 1987 3. Docket 80-27 (1nvolv1ng John) dated around February 27, 1987 4. Docket 86·6 (1nvolv1ng Commodity) dated around 

" " " All RO!s or closing memos for CLOSED investIgatIons In 2016, 2017 and thru present day 2018 {either calendar or fiscal year Is acceptable) for 

A list of uncashed chec~s of 515,000+ from 1/1/2013-10/1/2017 - vendors checks, and all else. Please include Payee, chec~ date, check#, and check 

Copies of the following 1nformat1on: The Organizational Charts for the Chief Information Officer of Commodity Futures Trading CommIssIon- something 

that includes the names and titles/departments of the people who report to the Chief Information Officer of Commodity Futures Trading CommIssIon. I 

would also ask that this Organizational Chart contain the direct reports of the people reporting to the Chief Information Officer. Also, contact information 

on the people listed in the above organizational charts to include: Business Address, Direct Business Telephone Number, and Business Email Address. 

Copies of all subpoenas from the CTFC to CommunityOne Bank, N.A., In 2009 and 2010 concerning or relating to Keith Simmons and Black Diamond 

' 

Denied In Full 

Granted in Full 

other Reasons - No records 

Granted In Full 

Granted In Full 

Other Reasons - No records 

Granted In Full 

other Reasons· Request withdrawn 

other Reasons - No records 

Denied In Full 

Granted/Denied in Part 

Granted In Full 

Granted/Denied in Part 

other Reasons • No records 

Other Reasons - No records 

Granted In Full 

Granted In Full 

1. Documents associated with, or applicable to, Commodity futures Contracts Trading of the U.S. District Courts Judgements, converted to Securities, as Other Reasons - No records 

overseen by your Commission. 2. Documents associated with, or applicable to, any/all U.S. District Courts, being members of the Chicago Board Options 

Exchange. 3. Documents associated with, or applicable to, any/all U.S. District Courts, showing authorization to trade, and or/sell, their Judgements, 

1. Documents associated with, or applicable to, Commodity futures Contracts Trading of the U.S. District Courts Judgements, converted to Securities, as 

overseen by your Commission. 2. Documents associated with, or applicable to, any/all U.S. District Courts, being members of the Chicago Board Options 

Exchange. 3. Documents associated with, or applicable to, any/all U.S. District Courts, showing authorization to trade, and or/sell, their Judgements, 

A copy of the schedule, meet1ng/appo1ntment book for CFTC Chairman J Christopher Giancarlo from Jan. 1, 2017 to Feb. 28, 2018 (Date Range for .,, ,., CFTC's FY 2018 Office of Data and Technology budget of $74,760,499 (based on CFTC's FY 2018 cont1nuIng resolution of $248,302,250) broken out by •t~~- ,C\,o-~" , n. .·• ,~ 

Any and all talking poIns and s1mIlar memorandums, emails, and transcripts prov1dIng advice or direction on how to handle the media, media IntervIews 

and statements. Please include In your responsive materials any documents, emails or communications with the following phrases in the title or subJect 

.. ' 

Other Reasons - No records 

Granted/Denied in Part 

Granted In Full 

other Reasons - Request withdrawn 
18-00069-FOIA 3/14/2018 A complete copy of all records in your possession regarding: (1) All documents ,n the possession or control of any component of the CommIssIon 

concern,ng ,nvestigat,ons ,nvolv,ng or relat,ng to Dan,el T Re,neke, Dan,el T. Re,neke, PE, PC located at 5goo North Classen, Oklahoma City, OK 

73116, and/or C.D. Operat,ng Company, Inc. last located at 1833 S. Morgan RD Oklahoma C,ty, OK 73128 (Ii) All correspondence between the 

Commission and Daniel T. Reineke, Daniel T. Reineke, PE, P,C., and/or C.D. Operating Company, Inc. (iii} All documents received from Daniel T. 

Reineke, Daniel T, Reineke, PE, P.C., and/or C.D. Operating Company, Inc. pursuant to any subpoenas or requests for information including any 

subpoenas thereto. (1v) All documents concerning any fines or penalties paid by or assessed to Daniel T. Reineke, Daniel T. Reineke, PE, P.C., and/or 

other Reasons • No records 

18-00070-FOIA 3/20/2018 All emails between CFTC dIvIsIon directors or commissioners with John Lothian from January 20, 2016 to the present. Other Reasons • No records 

18-00071-FOIA 3/26/2018 Copies of the following CFTC Dockets: I. Docket 85-30 (involving Shatner) dated around March 28, 1986 2. Docket R79-466-80-200 (1nvolv1ng Arv1nen) 

dated around March 26, 1986 3. Docket 85-8 (1nvolv1ng Kuhl1k) dated around March 21, 1986 4, Docket R 81 -37-81-544 (1nvolv1ng Sanchez) dated 

'C C ,, 

Granted/Denied in Part 

18-00072-FOIA 3/22/2018 copy of each email TO or FROM or CC individuals in the CFTC Office of Legislative Affairs, during the time period March 19, 2018 • March 22, 2018, that 

contains ElTHER the word Budget OR the word appropr1atIon. 2) A copy of each email TO or FROM or CC Ind1vIduals In the CFTC Office of Public Affairs, 

during the t,me period March 19, 2018 - March 22, 2018, that contains EITHER the word Budget OR the word appropriation (Date Range for Record 

Granted/Denied in Part 

18-00073-FOIA 3/28/2018 Copies of the non-public regIstratIon documents on /lie with NFA for Grantham Mayo Van Otterloo & Co, LLC Granted in Full 

18-00074-FOIA 4/4/2018 l) Records sought, but not limited to, the following individuals, any aliases, companies and case file (b)(6) 

(b)(6) Specifically, any documentation, emails or notes of any and all information regarding 

the subJcct, but not l1m1tcd to the following: The 2009 Grand Jury Subpoena. Notably, the Grand Jury Subpoena was served upon receiver Lewis B. 

Freeman in regards to(b)(6) by the U.S. Attorney's Office on June 08, 2009. Subsequent the 

resignation of Lewis B. Freeman, Freeman was ordered to transfer all books and recordsl including the Grand Jury Subpoena to successive receiver 

Marsha Lyons. Freeman did. Finally, when th-e civil proceedings concluded In' th.e case, (b)(6) The Honorable Judge 

Ant·oon, ordered. Marsha Lyons fo return ALL the documents ,n her possession to the CFTC. Lyons did according to admissions from attorneys Dan,el 

Other Reasons - Records not reasonably 

described 

18-00075-FOIA 414/2018 Copies of the following: 1) Documents associated with, or applicable to, Commodity Futures Contracts Trading of the U.S. District Courts udgments, 

converted to Securrit,es as overseen by your Comm,ss,on; 2) Documents associated w,th, or applicable to, any/all U.S District Courts, be,ng members 

of the Chicago Board Options Exchange; 3) Documents associated with, or applicable to, any/all U.S. District Courts, showing authorizat,on to trade, and 

other Reasons • Not an agency record 

18-00076-FOIA 413/2018 I am seeking documents related to the CFTC's InvestIgatIon of the cryptocurrcncy Tether and the cryptocurrency exchange B1tf1nex/1Finex, and their 

parent companies. Specifically, I'm seeking: 1. Copies of the subpoenas sent to Tether and B1tf1nex ,n December 2017, as reported by Bloomberg and 

The New York Times: hltps://www.bloomberg.com/news/a rt,cles/2018·0 1 • 30/crypto-excha nge-b1tf1nex-tether-said -to-get-subpoenaed- by•c~c, 

https://www.nyt,mes com/2018/01/3l/technology/b1tfInex-b1tco,n-price.html 2. Copies of any records, IncludIng email correspondence, perta,n,ng to th, 

Denied ,n Full 

18-00077-FOIA 4111/2018 am seeking any and all non-classified documents from the years 2003 through 2015 pertaining to InvestigatIons and/or InquInes into any of the 

following businesses and 1ndiv1duals: Optionable, Inc. Platinum Management (NY), LLC ("Platinum Partners") Centurion Credit Management Level 3 

' 

other Reasons· Request withdrawn 

18-00078-FOIA 

18-00079-FOIA 

4/13/2018 

4/17/2018 

For the period 1/1/04-Present· 1) Complaints received by the CFTC concerning the man,pulat,on of VIX-related financial products, along with any 

supporting materials received in connection with those complaints, 2) Data reflecting: a. the 1dentit1es of market makers for SPX Options, VJX futures, 

VJX options, or any other VIX-related exchange traded products and b) all long and short positions in VIX futures or VIX options held by 91) any CBOE 

Trading Permit Holder or Associated Person of a Trading Permit Holder or (2) any CBOE Futures Exchange Trading Privilege Holder or Authorized Trader 

,n the 24 hours prior to the conclusion of VIX settlement dates for VIX futures and options and c) "Tick" data reflecting bids and offers for S&P 500 

option series (SPX Options) from (1) any CBOE trading permit holder or associated person of a trading permit holder, or (2) any CBOE Futures Exchange 

Trading Pnv,lege Holder or Authorized Trader during the Special Opening Quotation {SOQ") settlement procedure for VIX futures and VIX options; 3) 

Records and Information concerning any CFTC ,nvest,gation ,nto the potential or actual man,pulat,on of the VIX, VIX futures, VIX options, VJX ETFs or 

Pursuant to the Freedom of Information Act ("FOJA"), 5 USC. §552, et seq., I request access to and cop,es of all congressional correspondence logs 

regarding correspondence between any officials at the Commodity Futures Trading Commission and Representative Andy Barr (KY-06) between January 

J, 2013 and February 13, 2018 ,. Jn the event formal congressional correspondence logs are not maintained between the Commodity Futures Trading 

CommIssIon and members of Congress, I request access to and copies of all records of or reflecting communIcatIons to or from any off1c1als at the 

Commodity Futures Trading CommIssIon and Representative Andy Barr (KY-06) between January 1, 2013 and February 13, 2018. (Date Range for 

Granted/Denied in Part - No records 

other Reasons - No records 

18-00080-FOIA 4/20/2018 In regard tc(b)/6) copies of any and all Bonds and/or other Securities 

(IncludIng the CUSIP numbers assigned thereto, and regardless of whether or not said Bonds and Securities are registered or unregistered) that may 

Other Reasons - No records 

18-00081-FOIA 4/24/2018 Listing of the firms that are reg,stered as CCPs - Central Counter Parties Granted ,n Full 

18-00082-FOIA 513/2018 We arc making a Freedom of Information Act request for a current 11st of all Commodity Futures Trading Commission employees, ,n electronic format, 

sent v,a email address to lfunk@fedemplben.org, and include the following fields ,n a "Comma separated formal"' (CSV) or Excel format: Employee Full 

Name Agency Name and Location Employee Work Email Address Job Title Salary Please give a cost estimate before processing this request. 

Granted ,n Full 

18-00083-FOIA 5/10/2018 I am interested in dataseries concerning the WT] net-long position of futures traders. Here's an example from an article from worldo1l.com: "Money 

managers decreased their WT] net-long position -- the difference between bets on a price increase and wagers on a drop -- by 4.3% to 446,023 futures 

and options during the week ended March 6, according to the U.S. Commodity Futures Trading CommIssIon. Longs shrank 3.1%, while shorts surged 

15%, by the most since early December," Could you provide me with an excel file containing data like this? Or could you show me where I should look? 

Other Reasons - Public Records 
18-00084-FOIA 5/14/2018 I make this request for records pursuant to the Freedom of Informat1on Act (FOIA), 5 U.S.C. § 552 and Commodity Futures Trading Comm,ssion 

regulations. Spec1fIcally, l hereby request your office produce, within 20 business days 1) all correspondence, letters, emails, text messages, facsimiles, 

telephone messages, vo1cemail messages, and transcripts, notes, or minutes of any meetings, telephone conversations, discussions, and attachments to 

emails or other records regarding Christopher G1ancarlo's, chairman of the Commodity Futures Trading Commission, vIsIt to the Trump Jnternational 

Hotel Washington D.C. on or around March 5, 2018. I seek records of any kind, 1nclud1ng paper records and electronic records, 

other Reasons • No records 

18-00086-FOIA 5/15/2018 Under the freedom of Jnformation Act, 5 USC Section 552, I am requesting information on records for Martin Fund Management.Jam only interesting In 

rcccIvIn9 CTA PR Form on the MARTIN FUND ONE for the years 2015 and 2016. (Date Range for Record Search: From 01/01/2015 To 12/31/2016) 

Other Reasons - No records 

18-00085-FOIA 5/10/2018 Information on the reason for a disclosure related to Regulatory d,sclosures In the NFA 8 R of Timothy Michael HIggIns (NFA IO: 0502490). Granted/Denied In Part 

18-00087-FOIA 5/17/2018 Emails exchanged since January 3, 201 7, between the (FTC director of legislative affairs and Grant Dubler (U.S. Representative Jacky Rosen's office) 

c, 

Other Reasons - No records 

18-00088-FOIA 5/23/2018 copies of records related to the May 4, 2017 letter ("letter") addressed to Sen. Jeff Merkley, which was signed by J_ Christopher Giancarlo, Acting 

Chairman of the Commodity Futures Trading Comm1ss1on. Specifically, we request all records documenting that the letter was sent and delivered to Sen. 

Mcrkley's office by the CFTC. This should include, but not be lImItcd to: • All emails between the CFTC and Sen. Merklcy's office that referenced or 

attached the letter• Tracking 1nformat1on (1f letter was sent by Ccrt1f1cd Mail or s1m1lar service)• Any other records documenting that this letter was 

Granted in Full 

18-00089-FOIA 5/23/2018 seeking a l1st1ng of all registered Associated Persons with the NFA, including any publicly available contact information(includ1ng business and home 

addresses and phone numbers 1f available), as well as the firm that they arc associated with, and any add1t1onal dcs1gnat1ons (branch manager, 

principal) that they hold, Add1t1onally, I would like a l1st1ng of all branch offices, including contact 1nformat1on, designated branch manager, and the firm 

Other Reasons - Public Records 

18-00090-FOIA 5/24/2018 Resumes and posItIon descriptions for Timothy G. Massad; Sayee Srinivasan; Vontrece Wilson; Shonneice Jones; Cory Claussen; Steven W Adamske; 

Erica Elliott Richardson; Dawn De8erry Stump, Christopher Giancarlo; Brian D. Quintenz: Rostin Behnam: John Shosky; Rich Danker: James McDonald, 

' 

Granted/Denied in Part 

18-00091-FOIA 5/29/2018 A copy of every Form WB-APP wh1stleblowcr claim submitted to the CFTC wh1stlcblower program(w1th 1dcnt1fy1ng information redacted); All emails and 

other written communications since January 1 2017 to date, sent to or from the CFTC Wh1stleblowcr Office (WBO) to wh1stleblowcr claimants or their 

representatives regarding submitted wh1stleblowcr claims; The total$ value of sanctions (penalties and d1sgorgemcnt and interest) collected for all 

covered actions listed In Notices of Covered Actions on the WBO webs,te to date; The total $ value of contingent claims accrued to the Customer 

Protection Fund since 10/1117; All emails and memoranda from the CFTC WBO to other CFTC staff that reference the amount oft1me 11 takes or is 

taking to process whistleblower claims generally and/or a specIf1c whistleblower complaint, including any that mention delays or time extensions. 

Granted/Denied in Part 

18-00092-FOIA 5131/2018 I am requesting all emails to and from CFTC chief of staff Michael Gill containing theaddress"@who.cop.gov" I am requesting these emails between 

fo ' '"' 

Granted/Denied in Part 

18-00093-FOIA 6/6/2018 l) Transcripts of all depositions of any individuals or entities associated with SS&C Technologies, Inc or First Republic Bank or HSBC Sank, 2) Copies of _, " 

Other Reasons - Request withdrawn 

18-00094-FOIA 6/7/2018 Copies of records, electronic or otherwise, of the following all tips and wh1stleblower submissions submitted to the CFTC's Wh1stleblower office, as 

outlined via these methods: https://www.wh1stlcblower.gov/. Include all tips received by the CFTC, dated January 1, 2017 through December 31, 2017. 

Denied in Full 

18-00095-FOIA 615/2018 Any documents, /lies or materials related to the "new virtual currency surveillance tools'" recommended by the LabCFTC to the CFTC's Enforcement 

dIv,sIon. Spec1f1cally, referring to th,s reference from CFTC Chairman Christopher Gincarlo June 5, 2018 testimony to the Senate Appropriation 

Committee Subcommittee on f1nanc1al services and general government. "In fact, through Its engagement wIth--and study of--1nnovat1ve technologies. 

Our Enforcement team has been able to avail itself of this new technology and IS now able to enhance certain surveillance and enforcement actIvIt1es." 

Granted/Denied in Part 

18-00096-FOIA 6/8/2018 All emails sent to, from, or copied to: J. Christopher Giancarlo, from January 1, 2016 to Present Oay containing any of the following non-case-sensitive 

key-string: "liberals", '"kushner", '"Giuliani'' '"Mastroianni" '"Ell1ott Broidy'", "Mark Si/fin" "EB-5", '"George Nader", "Erik Prince" "alias", "FOIA" "Israel" 

Granted/Denied in Part 

18-00097-FOIA 6/13/2018 Copies of any and all records found of any and all bonds and/or securities, either registered or unregistered, that may have been issued, traded an/or 

sold with respect to the following case, In re:(b)(6) 

other Reasons - No records 
18-00098-FOIA 6/6/2018 fl l True and Correct copy of any and all records on file with your Office/Department/Agency, from(b)(6) through and to present, bearing other Reasons • Not an agency record 

my name and /or that of any and all variations and/or derivatives thereof, and/or bearing my bonafIde signature, which can be relied upon to 

demonstrate to operate and/or confer upon either the Commonwealth of Pennsylvania and/or the United States any contractual, controlling, insurable, 

lawful, legal, pecuniary, regulatory and/or any other interest in myself and/or in my property; and/or which can be rilied uopn to demonstrate that I 

mayself am property to the benefit of any County, State, etc., and/or otherwise; [2] True and Correct copy of any and all records on file with your 

Office/Department/Agency, from (b)(6) through and to present, bearing my name and /or that of any and all variations and/or derivatives 

thereof, and/or bearing my bonaf1de signature, which can be relied upon to demonstrate that l myself am a statutory "person" and/or Juristic "person" 

as defined ,neither Pennsylvania's and/or the United States' various Acts, Laws, Statutes and/or Codes; and/or which can be relied upon to demonstrat 

that I myself am a statutory "person" and/or Juristic "person" subject to said Acts, Laws, Statutes, and/or Codes; and/or which can be relied upon to 

demonstrate that l myself have at any t,me knowingly, willingly, ,ntent,onally and/or voluntarily agreed to act and/or operate ,n the capacity of a 

statutory "person" and/or Jurist,c "person" (3] True and Correct copy of any and all records on file with your Office/Department/Agency, from (b)(6) 

(b)(6) through and to present, bearing my name and /or that of any and all variations and/or derivatives thereof, and/or bearing my bonaf1de 

signature, which can be relied upon to demonstrate that J myself am a "resident", "c1t1Zen" and/or "sul>Ject" of either the Commonwealth of 

Pennsylvania and/or of the United States; and/or which can be relied upon to demonstrate that l myself have at any time knowingly, willingly, 

1ntcnt1onally and/or voluntarily agreed to act and/or operate ,n the capacity of a "resident", "citizen" and/or "sunJect" thereof; [4] True and Correct copy 

of any and all records on file with your Office/Department/Agency, from (b)(6) through and to present, bearing my name and /or that of any 

and all variations and/or derivatives thereof, and/or bearing my bonaf1de signature, which can be relied upon to demonstrate that l myself am subject t 

the various JUrisd1ctIons and venues of each of the following; and/or which can be relied upon to demonstrate that l myself have at any time knowingly, 

w, I ling ly, intentionally and/or voluntarily agreed to be su bJect to the va r1ous JUrisdIctIons and venues of each of the following c [a] Pennsylvania State 

Government [b] Territorial Pennsylvania State Government [c] Mun1c1pal Pennsylvania State Government [d] United States National Government [e] 

Territorial United States Government [n Mun1c1pal United States Government [5] True and Correct copy of any and all records on fife with your 

Office/Department/Agency, from (b)(6) through and to present, bearing my name and /or that of any and all variations and/or derivatives 

thereof, and/or bearing my bonaf1de signature, which can be relied upon to demonstrate that l myself am a "refugee" under International law and am 

18-00099-FOIA 6/19/2018 Copies of any and all documents -- 1nclud1ng, but not l1m1ted to, correspondence, f1l1ngs, financial disclosures, investIgatIon memoranda, reports, Granted/Denied in Part 

studies, surveys, corporate foundational documents, applIcatIons, and regIstratIons -- which arc ,n the CFTC's possession, custody, or control that relate 

to, refer to, or concern Payward, Inc. d/b/a Kraken. The relevant time period runs from January 1, 2016 to the present date. {Date Range for Record 0 ••• 

18-00100-FOIA 6/21/2018 Copies of (I) The CFTC's complete record of ,ts investigation into Case No. 16-cv-6551, excluding the approximately 37,600 pages of documents that 

FXCM produced to the CFTC. This request Is l1m1tcd to the issues contained In Count III of the complaint, related to potential v1olat1ons of Regulation 

5.16.; (2) All documents and correspondence related to the Flash Crash's effect on FXCM; (3) All documents and correspondence related to any request 

by FXCM to the CFTC for add1t1onal time to raise money so that FXCM could come into compliance with ,ts capital requirements, 1nclud1ng but not limited 

to requests for additional time under CFTC Regulation 5.7. The relevant time period for this request Is January 15-16, 2015; (4) All documents and 

correspondence related to FXCM's zero debit policy, ,nclud,ng FXCM's marketing materials and client agreements wh,ch reference the zero debit policy 

The relevant t,me period for this request ,s January 1, 2009 through December 31, 2017; (5) Cop,es of all 1nItial complaints and transcripts of all 

depositions or interviews taken ,n connection with the following (FTC Enforcement Actions, in which FXCM was named as a party: a. (FTC Docket No. JI 

18 b. CFTC Docket No. 17-09 c. CFTC Docket No. 15-28 d. CFTC Docket No. 12-01, (6) All documents and correspondence between the (FTC and FXCM 

related to Regulation 5.16, 1nclud1ng but not l1m1tcd to documents related to the adoption of Regulation 5.16. The relevant time frame for this request Is 

January 1, 2009 through December 31, 2017; (7) All documents and correspondence related to any other InvestIgatIons by the CFTC of FXCM, not 

1nclud1ng CFTC reparations cases. The relevant time period for this request is January 1, 2009 through December 31, 2017; (8) All documents and 

correspondence between the CFTC and FXCM related to any proposal by government regulators to lower leverage ratios for retail forex investors. The 

Other Reasons - Request withdrawn 

18-00101-FOIA 6/12/2018 Information on the reason for the positive answer to part E of the Regulatory Disclosure section ,n the NFA reg,strat,on form of AQR Capital Management Granted ,n Full . '" 

18-00102-FOIA 6/22/2018 All documents and correspondence related to the CFTC's InvestigatIon into other companies' vIolatIon, or potential v1olat1on, of CFTC Regulation 5.16. If other Reasons· Request withdrawn 

any CFTC enforcement actions were brought for vIolatIons of Regulat,on 5.16, please produce all inIt,al complaints, f,nal orders, and copies of transcripts 

or interviews taken in connection with those actions. The relevant time period of this request is January l, 2010 through January 31, 2017. 

18-00103-FOIA 6/25/2018 Copy of any and all documents·· IncludIng, but not lImIted to, correspondence, f1l1ngs, f1nanc1al disclosures, investIgatIon memoranda, reports, studies, Granted/Denied in Part 

surveys, corporate foundational documents, applications, and registrations·· which are ,n the CFTC's possession, custody, or control that relate to, refer 

to, or concern Co,nbase On June 18, 2019, in a telephone call With Shannon Kelley and subsequent email communications, Mr. Silver clarified that he 

was seeking appl1catIons and investIgat1ons related to leveraged margin and sales pertaInIng to Co,nbase between 2012 and 2016. 

18-00104-FOIA 6/26/2018 Copies of: CFTC Docket No. 82-R-534 December 12, 1983 JAMES NELSON v. CHILCOTT COMMODITIES CORPORATION, ORDER GRANTING Granted ,n Full 

18-00105-FOIA 

18-00106-FOIA 

6/26/2018 

6/29/2018 

Requesting a copy of the following documents be provided: (1) All Compliance manuals or written supervisory procedures submitted to you by market ,.. Copy of Calvin Lee Word's offer of settlement In CFTC Docket 86-6 (dated approximately September 1989) 2. CFTC press release# 3188-89 regarding 

'' 

other Reasons • Public Records 

Granted ,n Full 
18-00107-FOIA 7/3/2018 The scandal regarding Forex was based on chat transcriptions from a Bloomberg Chat Room. These chat transcriptions were used on the class action 

1 13-cv-07789 ,n NY Southern District, which resulted in this settlement: httpc//www.fxantitrustsettlement.com/ The FCA (UK) has also fined five 

banks c https://www.fca.org uk/news/press-releases/fca -f1nes-fIve-banks-%C2 %A311-b1 llion-fx-failings-and-announces-ind ustry-w1de Quite a few 

samples were uploaded on CTFC's (USA) own wet>site and made available to the public, For instance, 

https ://www.cftc.gov/sites/default/files/idc/groups/public/@newsroom/documents/f1le/hsbcm1sconduct1111 1 4, pdf According to some news sources, the 

guardian and others, these chat transrnptIons have been made public: https://www.thcguard1an.com/bus1ncss/2014/nov/12/fca-transcnpts-tradcrsforcx-tradcrs-chat-rooms-forc1gn-cxchangc Would I be able to rccc,vc/acccss these chat transcripts ,n full> In special, the chat transcnptIons between a 

trader from JPMorgan and a trader from Soc,ete Genera le, on the 30th of June, 2010, between 10:58 and 11:04. 

Denied In Full 

18-00108-FOIA 7/9/2018 Any written agreement between the Commodity Futures Trading Commission and Chicago Mercantile Exchange Inc. requiring the sharing of 1nformat1on 

related to the cypto spot exchanges used to calculate the BRR index referenced ,n the CM E's self-cert1ficant1on for "In1t1al Listing of the BItcoIn Futures 

Contract" on Dec 1, 2017. The info-sharing agreements would be In to CME's notice, Re· CFTC Regulation 40.2(a) Cert1f1catIon. Notification Regarding 

the lnIt1al Listing of the BItcoin Futures Contract CME Subm1ss1on No. 17-417 Exchanges/trading platforms that provide pricing data, IncludIng 

other Reasons • No records 

18-00109-FOIA 7/9/2018 any communications between CFTC employees regarding the CFTC's regulatory JUrisd1ctIon over single-name and index credit default swaps contracts 

More spec1r.cally. we are seeking communications between November 10. 2017 and June 15. 2018 that involve the CFTC's decIsIon to respond to GSO 

Capital Partners' purchase of Hovnanian Enterprises credit default swaps contracts, and how the agency took the lead in responding to the trade instead 

other Reasons - Request withdrawn 

18-00110-FOIA 7/10/2018 Any and all InvestigatIve records ,n regard to George D. HudgIn. Specifically, the convIctIon for his partIcIpation ,n the 3737 Financial L.P. commodity 

pool, also known as Hudgins Group and Hudg-Investments. The offendor was sentenced in 2009 by the U.S. District Court for the Eastern District of 

Texas. l would like to request the 1nvest1gative reports leading to the original indictment. If a pre-sentence 1nvest1gatIon or report exists l would also l1k 

a copy of that Also, 1f available, a record of how much money was recovered and how much was not recovered and if any IS unaccounted for would be 

Granted/Denied in Part 

18-00002-CONS 7/11/2018 Copies of any materials produced In response to Senator Jeff Merkley's August 5, 2016 letter concerning the 1mplementatIon of the "Volcker Rule' 

Communications sent by, sent to, or carbon copying ("CC") Office of the Comptroller of the Currency (OCC) staff about potential responses to, and how 

to proceed with, the request for details about the implementation of the Volcker Rule contained In the attached letter, "Jnternal documents, reports, 

and/or data created or compiled to respond to the request for details about the implementation of the Volcker Rule contained in the attached letter.' 

Communications with cntItIcs and 1nd1v1duals outside OCC about potential responses to, and how to proceed with, the request for details about the 

ImplcmcntatIon of the Volckcr Ruic contained In the attached letter. 11 Documents, reports, and/or data provided to or requested by the OCC from 

entities and/or IndIvIduals outside OCC concerning the request for details about the implementation of the Volcker Rule contained ,n the attached letter. 

"Any communIcatIons sent to Sen. Jeff Merkley or his staff responding to the request for details about the 1mplementat1on of the Volcker Rule contained 

In the attached letter." Any communications received by DCC staff from Sen Jeff Merkley or his staff concerning the request for details about the 

1m~Iementat1on of the Volcker Rule contained In the attached letter 

Granted/Denied in Part 

18-00111-FOIA 7/13/2018 requesting a written transcript of the January 31, 2018 meeting of the CFTC's Market Risk Advisory Committee. The CFTC's website currently provides 

the written testimony of the Comm1ss1onecs and a link to the meeting video but there Is no written transcript of the meeting or event the posted 

other Reasons • Public Records 

18-00112-FOIA 7(17/2018 Request For Assistance Concerning Possible/SUSPECTED BOND & SECURITIES FRAUD FORMAL REQUEST PURSUANT TO THE FREEDOM OF 

INFORMATION ACT (5 U.S.C. §552) fully ask 1f you could conduct and investigation and search of all relevant t>ond and securities data -sources known 

to sec 1f my suspIcIons and beliefs arc correct. If you can and arc w1ll1ng ro assist me in this time scnsItIvc matter and you arc able to confirm the 

existence of said bonds and securities, I kindly ask that you provide me with the CUSIP Numbers assigned thereto; and, 1f Known or found, the name 

and address of the current holder having possession, custody or control of said bonds and securities. If you can and are w 1111 ng to provide me with the 

here, n -requested ass, stance, I am pro vidI ng you with my date of b1 rt hand soc, al securiTy number ,n case they are needed to conduct your 

1nvest1gation/ sear ch Should you require any add It Iona I in form at I0n from me, please do not h esi tare to contact me at the above- listed addr 

Other Reasons - Not an agency record 

18-00113-FOIA 7/18/2018 Request for copies of the non-public registration documents on Ille with NFA for Zack Hampton Bacon Ill, NFA t 98046 Granted/Denied in Part 

18-00114-FOIA 7/24/2018 Allied Progress requests access to and copies of certain records related to Kirsten Sutton Mork, who Is currently Chief of Staff at the Consumer F1nanc1al 

Protection Bureau (CFP8). Spcc1f1cally, we request all d1g1tal correspondence (email) sent by, sent to, or carbon copying ("'CC'") any employee w1th1n the 

CFTC's Office of Legislative Affairs that was sent by, sent to, or CC'ed Ms. Sutton Mork during either of the following date ranges:• January 1, 2007 -

September 30, 2007 • June 1, 2008 - February 1, 2018 Ms. Sutton Mork was a congressional staffer during these time periods. For your reference, she 

has held the following positions· • From January - September 2007, Sutton Mork worked as a Leg1slatIve Assistant to Rep. Peter Roskam (R-ll). • From 

June 2008 - May 2009, Sutton Mork worked as a Leg1slat1ve Assistant to Rep Tom Price (R-GA). • From May 2009 - January 2013, Sutton Mork worked 

as Leg1slat1ve Director and Financial Services Policy Adviser for Rep, Jeb Hensarling (R-TX}. • From January 2012 - February 2018, Sutton Mork worked 

for the House Financial Services Committee as a Professional Staff Member, Deputy Staff Director, and Staff Director. Ms. Sutton Mork is known to have 

used the email address K1rstcn.mork@ma1l.housc.gov; however, searches should not be l1m1tcd to this address. She has gone by "'Kirsten Sutton," 

"'Kirsten Mork," and "Kirsten Sutton Mork" - we ask that your searches include all variations ofth1s name. If possible, I would prefer to receive this 

information electronically v,a e-mail at karl.frischl)>all1edprogress.org. If you have questions or need add1t1onal 1nformat1on, please feel free to call me at OS 

Granted/Denied in Part 
18-00115-FOIA 8/1/2018 1. All written communIcatIons between the CFTC and Interactive Brokers, LLC ("IB") relating to {A) Kevin J. Steele, (B) Steele's lB trading account, 

and/or (C) the subject matter of In re Interactive Brokers, LLC, CFTC Docket No. 07-07; 2 All information and materials provided to the CFTC by lB 

relating to (A) Kevin l Steele, (B) Steele's lB trading account, and/or (C) the subject matter of In re lnteractive Brokers, LLC, CFTC Docket No 07-07 

(except JB compliance manuals, which are not requested), 3 All affidavits, sworn testimony, or unsworn statements provided to the (FTC by JB officers, 

agents, or employees relating to (A) Kevin], Steele, (B) Steele's JB trading account, and/or (C) the subject matter of In re Jnteractive Brokers, LLC. 

CFTC Docket No, 07-07; (4) All requests for conf1dent1al treatment made under 17 C.F.R. §145.9 16 relating to the written communIcatIons, mformat1on, 

materials, affidavits, sworn testimony, and/or unsworn statements described In paragraphs 1-3 above; 5. All documents In the CFTC file for and/or 

relating to In re Interactive Brokers, LLC, CFTC Docket No. 07-07; (6) All written communIcatIons between the CFTC and Interactive Brokers, LLC ("IB") 

relating to the subJect matter of In re Interactive Brokers, LLC, CFTC Docket No. 12-27; (7) All information and materials provided to the CFTC by 1B 

relating to the subject matter of ln re Interactive Brokers, LLC, CFTC Docket No 12-27(except 1B compliance manuals, which are not requested); (8) All 

affidavits, sworn testimony, or unsworn statements provided to the CFTC by 1B officers, agents, or employees relating to the subject matter of In re 

Interactive Brokers, LLC, CFTC Docket No. 12-27; 9. All requests for confidential treatment made under 17 C.F.R § 145,9 by IB relating to the written 

communications, information, materials, affidavits, sworn testimony, and/or unsworn statements descritied in paragraphs 5 7 atiove, JO_ All documents 

18-00116-FOIA 811/2018 Request for Disclosure document dated January 1, 2018 on file with NFA for Intex, Inc. NFA # 397840 

18-00118-FOIA 8/1/2018 Copies of non-public registration documents on file with NFA for Andrew David Nelson, NFA #507745 

18-00001-AP 7/12/2018 seeking a lIstIng of all registered Associated Persons with the NFA, 1nclud1ng any publicly available contact 1nformat1on(1nclud1ng business and home 

addresses and phone numbers if available), as well as the firm that they are associated with, and any addIt1onal des1gnatIons (branch manager, 

principal) that they hold. AddIt1onally, l would like a l1st1ng of all branch omces, including contact information, designated branch manager, and the firm 

18-00117-FOIA 811/2018 Copies of the Form 8-R applIcatIons and related 1nformat1on on file with NFA for Stephen Barnett Burke ("Bur~e"), James Dimon ("Dimon"), Timothy 

Patrick Flynn {"Flynn"), Michael Allen Neal {"Neal"), Daniel Eduardo Pinto ("Pinto") and Lee Roy Raymond ("Raymond") that are responsive to the 

requests. JPMorgan Chase Bank National AssocIatIon {'"JPM") has requested Confidential Treatment on the Form 8-R applIcatIons filed by JPM on behalf 

18-00119-FOIA 8/1/2018 Requests received t,y NFA on July 23, 2018 and July 24, 2018, for copy of the Form 8-R application and related information for James Dimon ("Dimon I Please note that JPMorgan Chase Bank National Assoc1at1on (")PM") has requested confidential treatment on the Form 8-Rs filed by ]PM on tiehalf of 

their Principals. Requests for conf1dent1al documents are forwarded to the Commodity Futures Trading Commission ("CFTC") for a further response, 

18-00120-FOIA 8/1/2018 Copies of the Form 8-R applications and related information for Linda Beth Bammann ("Bammann"), James Michael Collins ("Collins"), Todd Anthony 

Combs ("Combs"}, Laban Phelps Jackson ('"Jackson"), Marianne Lake ("Lake") and Douglas Petno ("Petno"). Please note that JPMorgan Chase Bank 

National Assoc1at1on ("JPMC"), JP Morgan Securities LLC (")PMS") and JP Morgan Securities pie (")PM") have requested confidential treatment with 

respect to the Form 8-R applIcatIons and related 1nformat1on filed by JPMC, JPMS and JPM on behalf of their Principals. Trading CommIssIon ("CFTC") for 

18-00121-FOIA 

18-00122-FOIA 

8/13/2018 

8/22/2018 

All emails to and from Michael Gill, chief of staff to the Chairman, that include "@who.eop.gov," Jam requesting these documents from July L 2018 

' ' 

Requesting copies of the following materials: • All data and documents related to 1nvest1gations the (FTC has carried out in connection with the CFTC's 

July 12, 2018 Order Instituting Proceedings Pursuant to Sections 6(c) and 6(d) of the Commodity Exchange Act, Making Findings, and Imposing 

Remedial Sanctions, In the Matter of Lansing Trade Group, LLC, CFTC Docket No. 18-16- regarding Lansing Trade Group, LLC (including parent 

companies, subs1d1anes, and affiliates) or ,ts employees for the manIpulatIon of the price of wheat futures and options contracts traded on the CBOT. 

18-00123-FOIA 8/29/2018 Please provide the National Treasury Employees Union (NTEU} with the following information regarding the Fair Labor Standards Act (FLSA) exemption 

status of NTEU-represented bargaining unit posItIons w1th1n the agency or agency d1v1s1on: I. Position title and grades of career ladder of that posItIon 

within the barga1n1ng unit (e.g., series 343 program analyst, grades 9-13); 2. FLSA exemption status for each posItIon and grade 1dent1f1ed In response 

' ' 

18-00124-FOIA 9/5/2018 Requesting information on the numeric 1dent1fIers used by the CFTC In the Commitment of Traders reports. Provide the full 11st of numeric IDs used In 

the reports and the descriptions associated with these (example descriptions would include the market names, contract names or market-categories, 

18-00125-FOIA 8/13/2018 Mortgage dispute 

18-00126-FOIA 

18-00127-FOIA 

9/11/2018 

9/13/2018 

Information found by the CFTC through whistleblower request. Also, any Informat1on concerning retalIat1on against me for blowing the whistle and any 

/h1/R1 Invitation lists for the two Chief FOIA Officers Councel Meetings, In addition to attendee lists for these meetings. 

18-00128-FOIA 8/29/2018 Non- public records for (b)(6) 

18-00129-FOIA 8/29/2018 Non-public doucments for (b)(6) 

18-00130-FOIA 9/20/2018 Copies of FOIA requests submitted In FY 2018 that seek records pertaining to U.S. Senator Elizabeth Warren 

18-00131-FOIA 9/20/2018 Background documents In re Deutsche Bank AG, etc. CFTC Docket No. 18-06. 

18-00132-FOIA 9/26/2018 Information held by the CFTC in relation to the manipulation of the lSOAf1x swaps benchmark by ICAP PL 

18-00133-FOIA 9/27/2018 Requesting all email correspondences between CommIssIoner Dawn DeBerry Stump, and any person associated with any of the following groups: 

Futures Industry AssocIatIon Stump Strategic LLC NYSE Group, Inc. between January 20, 2017 to the date when this search Is conducted. {Date Range 

19-00001-FOIA 10/3/2018 Records related to Coin Center, focused on cryptocurrencies 

Granted/Denied in Part 

Granted/Denied In Part 

Granted/Denied In Part 

Completely Affirmed 

Denied In Full 

Denied in Full 

Granted/Denied in Part 

Granted/Denied in Part 

Denied in Full 

Granted in Full 

Granted In Full 

Other Reasons - Not an agency record 

other Reasons - Fee-related reason 

Granted In Full 

Granted/Denied in Part 

Granted/Denied in Part 

Other Reasons • No records 

Denied In Full 

other Reasons - No records 

Granted/Denied in Part 

other Reasons • Fee-related reason 
19-00002-FOIA 

19-00003-FOIA 

19-00004-FOIA 

19-00005-FOIA 

19-00006-FOIA 

19-00007-FOIA 

19-00008-FOIA 

19-00009-FOIA 

19-00010-FOIA 

19-00011-FOIA 

19-00012-FOIA 

19-00013-FOIA 

19-00014-FOIA 

19-00015-FOIA 

19-00016-FOIA 

19-00017-FOIA 

19-00018-FOIA 

19-00001-AP 

19-00019-FOIA 

19-00020-FOIA 

19-00021-FOIA 

19-00022-FOIA 

19-00023-FOIA 

19-00024-FOIA 

19-00025-FOIA 

19-00026-FOIA 

19-00027-FOIA 

19-00028-FOIA 

10/12/2018 Requests the following materials concerning the orders of the Commodity Futures Trading Commission In the Matter of Michael D. Franko, CFTC Docket 

No. 18-35, and In the Matter of Victory Asset, lnc, CFTC Docket No 18-36, Orders lnst1tuting Proceedings Pursuant to Section 6(c) and (d) of the 

Commodity Exchange Act, Making F1nd1ngs and Imposing Remedial Sanctions, both dated September 19, 2018 ("CFTC Orders") (Date Range for Record 

10/11/2018 Research 1nformat1on on gemstones, gold and commodItIes. 

10/12/2018 Registration documents related to Brandon Patrick Hagan for the period July I, 2002 to the present. 

10/19/2018 

10/24/2018 

Requesting any reports, related documents, and conclusions related to the U.S. Commodity Futures Trading Comm1ss1on's InvestIgation of Abengoa 

"C Please provide copies of records that directly pertain to the conduct, disclosures, and/or transactions of the registrant Gain Capital Holdings, Inc. (CIK f 

C <<< '" 

10/24/2018 Non-public 1nformat1on regarding Amaury Gu1lherme Bier 

10/26/2018 

10/30/2018 

(1) A copy of the request for trade information made by CFTC Staff on Novemt>er 14, 2011 to Total Gas & Power North America, This request was made 

as part of the investigation of violations discussed in the December 7, 2015 Order for CFTC Docket No. 16-03 (In the Matter of Total Gas & Power North 

America, Inc. and Therese Tran), This request for trade 1nformat1on was spec1f1cally mentioned on page 5 of a Declaration made by Peter Haas, Chief 

Trial Attorney, on October 26, 2017 and submitted to the CFTC Wh1stleblower Office In the Matter of Wh1stleblower Award Appl1cat1ons for Notice of 

Covered Action 2016-002: Form WB·APP 2016-07·14·01 et al. We are asking only for the November 14, 2011 request itself •• not the materials 

submitted by Total in response. (la) If the request is not available, we ask to receive any notes, documents, or 1nformat1on related to the request that 

might reveal what 1nformatIon was requested of Total on November 14, 2011 (2) We request a copy of the subpoena sent to Total on July 12, 2012 

related to the same matter and investIgat1on This subpoena was mentioned on page 6 of Peter Haas's October 26, 2017 Declaration. (Date Range for 

Requesting the contract market appl1cat1ons submitted by the Chicago Board of Trade to the Commodity Futures Trading Commission for the following: 

Heating Oil Futures Market (approved by the CFTC 5/18/1982) Unleaded Gasoline Futures Market (approved t,y the CFTC 5/25/1982) 

1111/2018 

11/1/2018 

Requesting 1nformat1on or records regarding "MIO Partners," registered with the CFTC as a commodity pool operator, (Date Range for Record Search: o, 

One full copy of the Commodity Exchange Act and information and/or template of a private placement memorandum. 

11/1/2018 All data and documents related to InvestIgatIon In connection with October 11, 2018 Order Instituting Proceedings regarding Kamaldeep Gandhi, c~c "~ "'-~' 

1111/2018 

11/8/2018 

Referral from FBI. All 1nformat1on in regard tO(b)(6) 

/h1/R1 

Records regarding ImagIng3. 

11/8/2018 l) Documents associated with, or applicable to, Commodity Futures Contracts Trading of the US District Court Judgments, converted to securities, as 

overseen t,y the Commission, 2) documents associated with, or applicable to, any/all US District Courts, being members of the Chicago Board Options 

Exchange; J) documents associated with, or applicable to, any/all us District Courts, showing authorization to trade, and or sell their Judgments, 

11/6/2018 Copies of any and all documents associated with CUSJP Number 315807636. 

1111/2018 All emails, memoranda and other written records InvolvIng CFTC staff, related to the preparation, revision or publ1cat1on of Notional FAQs, as well as 

records of telephone calls made from law firms {1nclud1ng Sullivan & Cromwell) to CFTC staff discussing revIsIons of Notional FAQs wIthIn 24 hours of 

9/26/2018 Information on Harvest Strategy Group, et al. 

1116/2018 Appeal of FO!A No. 18-00078-FO!A 

11/1/2018 Records relating to hosting or removing URLs on the CFTC website that linked to articles written by Silla Bush, from January 2013 to January 2018, 

-" 

12/6/2018 

11/16/2018 

Requesting copies of the public calendar for CFTC chairman J. Christopher Giancarlo from 1/21/17 through the date this request Is processed, also 

·" " Request for any documents related to potential Investigat1ons of the hedge fund Element Capital Management. 

214/2019 1) Copy of the Comm1ss1on's Procedures, Rules and Regulations for Tort Claims; 2) Number of tort claims received per year for the past 10 years and 10 

year total; 3) Total dollar amount of tort claims received for the past 10 years; 4) Total dollar amount of tort claims paid for the past 10 years; 5) Total 

number of tort claims denied with no payment for the past 10 years; 6) Any and all 1nformat1on of complaints or dIscIplInary action of anyone In the 

2/6/2019 Information about the Intercontinental Exchange (!CE) Bakkt B1tco1n futures product submitted to the (FTC, and the approval process to list the 

product. Spec1f1cally, copies of any submIssIon forms, business plans, and product descriptions submitted to the Commission before 1/30/19. If these 

1/28/2019 1) Date the Wh1stleblower Program started; 2) Total operating expenses for each year the Wh1stleblower program operated; 3) Total revenues 

1/28/2019 

1/20/2019 

l) Date the Whistlet>lower Program t>egan, 2) Laws, Regulations, Policies and USC Code that enat>le the Wh1stleblower Program, 3) Any addendums, 

o, "' Any and all information (data, reports, logs and investigations) regarding Mark Downey's Tort Form 95 complaint submissions, filed with the General 

1/14/2019 All written communIcatIons between the office of United States Senator Mitch McConnell (R- Kentucky) and the CFTC between January 1, 1985 and 

. 1/12/2019 Copies of records documenting the number of employees of the CFTC who retired/were terminated, or left the CFTC for any reason, for the years 2015, 

2016, 2017, 2018, as well as a copy of records documenting the number of new employees hired to work for the CFTC In the years 2015, 2016, 2017 

Granted/Denied in Part 

Granted In Full 

Granted/Denied In Part 

Denied In Full 

Granted/Denied in Part 

Denied In Full 

Granted in Full 

Granted in Full 

Other Reasons - Fee-related reason 

Other Reasons - No records 

Denied In Full 

Granted/Denied in Part 

other Reasons • No records 

Other Reasons - No records 

other Reasons - No records 

Granted/Denied in Part 

other Reasons • Fee-related reason 

Completely Affirmed 

other Reasons - No records 

Granted/Denied in Part 

Other Reasons - No records 

Other Reasons - Fee-related reason 

Granted/Denied in Part 

Other Reasons - Fee-related reason 

Other Reasons - Fee-related reason 

Other Reasons - Fee-related reason 

Granted In Full 

Granted In Full 
19-00029-FOIA 2/5/2019 

19-00030-FOIA 

19-00031-FOIA 

12/20/2018 

12/21/2018 

19-00032-FOIA 

19-00033-FOIA 

19-00034-FOIA 

19-00035-FOIA 

19-00036-FOIA 

19-00037-FOIA 

19-00038-FOIA 

19-00039-FOIA 

2/8/2019 

2/13/2019 

2112/2019 

2/15/2019 

2/19/2019 

2/22/2019 

3/1/2019 

3/5/2019 

19-00040-FOIA 

19-00041-FOIA 

19-00042-FOIA 

2/23/2019 

2/26/2019 

3/4/2019 

19-00043-FOIA 

19-00044-FOIA 

19-00045-FOIA 

19-00046-FOIA 

1/20/2019 

3/8/2019 

12/21/2018 

12/19/2018 

19-00047-FOIA 3/8/2019 

19-00051-FOIA 

19-00052-FOIA 

3/21/2019 

3/22/2019 

19-00053-FOIA 2122/2019 

19-00054-FOIA 

19-00055-FOIA 

3/28/2019 

3/28/2019 

19-00056-FOIA 

19-00057-FOIA 

19-00058-FOIA 

3/25/2019 

4/18/2019 

4/19/2019 

Request for any and all records in the possession of the CommIssIon, with regard to: aJ(b)(6) SSN: ttrtr-trff-trffttr; 

b) SenmtIes/bonds or other transactions; ; c) CUSIP Numbers; d) Excel data point records for CUSIP Numbers; e) any and all f1nanc1al statements or 

Copy of the December 18, 2015 "As ls Customary" letter (not report) from the CFTC Office of the lnspector General to the Farm Credit AdmIn,stratIon 

D1gItal/electronic copy of the final report and r.nal presentation for each of the following studies performed under contract to CFTC: 1) Stat1stIcal 

Analysis of Investors Behavior George M1chalId1s - CFTC Contract CFOCE13C00045; 2) Ama;usos pf A;gprotJ,oc Strategies WIll1am T Sherer - CFTC 

Contract CFCE11C00234, 3) Analysis of Electronic Markets Shawn Mankad - CFTC Contract CFCEJOC00164; 4) Analysis of Commodity Markets Aaron 

Smith - CFTC Contract CFCE10COOJ65, 5) Analysis of Algorithmic Trading Strategies Steven Analytics - CFTC Contract CFCE11C00232, 6) Analysis of 

Copy of the report and presentation from the Organ1zatIonal Assessment conducted for CFTC by Booz Allen Hamilton under contract 

003. 

Complete file for:(b)(6) 

Copies of the semiannual 1 FRs filed by Sterling Commod1t1es Corp, from 111/2010 to present. 

Does a t>roker have the right to cancel a retail customer's executed orders, if the orders are crossed market orders In the USA? 

Names and contact details, including email addresses of any/all person(s) who are involved In the dec1s1on making process for the Procurement of 

, " 

Any complaints or whIstleblower awards issued, regarding Michael J Coscia and Panther Energy Trading, LLC, CFTC Docket No 13-26. Filer was a 

Requesting access to and copies of Commissioner travel records and budgets for fiscal year 2018, along with any travel requests that were denied due 

All emails sent and received by any email addresses assigned to Chairman J. Christopher Giancarlo, CommIssIoner Brian D. QuIntenz, Commissioner 

RostIn Behnam, Commissioner Dawn DeBeny Stump or CommIssIoner Dan M. Berkovitz between 12/16/2018 and the date this request Is processed 

This request Is directed to Eugene Kunda with the CFTC. I would like to obtain data on price limit days from 1994-2018 for maior domestic futures 

CFTC's FOJA request log, covering calendar year 2018, IncludIng a field showing the subject of each request and a field for the r.nal dIspos1t1on. I reques ,, ,, , ,, 

1) Dff1c1al release decIsIons involving two CFTC contractors (b)(6) believed to have been terminated In December of 

2017 and August of 2018, respectively 2) Communications regarding the reprimand decIsIon 1nvolvin,{b)(6) ,nd issues discussed in the reprimand 

document, between the following staff: Caroline Qu1ntarelli; Srin1vas Bangarbale; John Rogers; Jennifer ~IumIee; Lauren Colon and Richard Haynes 

Information on all of(b)(6) w~1stleblower subm1ss1ons - total number submitted, number pending and status. Add1t1onally, the total number of 

Requesting ~Istoncal 1nformat1on on all CFTC Registered Intermediaries from 2007 throug~ October 2018. (Date Range for Record Search: From , . All records relating to the meeting or briefing session, held on or about February 27, 2018 and attended t,y the CFTC Chairman and Chairman of the 

Copies of any and all documents -- IncludIng but not l1m1ted to correspondence, filings, Invest1gation memoranda, reports, studies, and surveys -- which 

are In the CFTC's possession, custody, or control that relate to, refer to, or concern leveraged or margin trading of Ethereum (ETH) at Payward, Inc. . ,., . "" 

Requesting Data in Re: 9/ 11 speculative trades on S&P futures and options on futures/CME largest short posItIons snapshot on the eve of the attacks as 

of Sept 10, 2001 evolut1on/unw1nd1ng data Sept 10-19, 2001, with a disclosure, 1dent1fy1ng actual largest short trader firms" names, such as hedge 

MF Global, any and all information, from the time period January 1, 2010 to present {Date Range for Record Search: From 1/1/2010 To 3/21/2019) 

All records relating to any meeting and/or discussion between (a) the CFTC C~airman, any CFTC CommIssIoner, or any staff member of t~e CFTC In 

which t~e substance of the CFTC's recently proposed rulemaking or release on swap execution fac1l1t1es and the trade execution requirement , or the 

List of current and former special government employees, or "SGEs," hired between January 20, 2017 and the date this request is ultimately fulfilled, 

along with the employee's name; hire date; agency title; office and department; hiring authority; government pay scale; step and salary, and 

Requesting any trading, contract, or any Informat1on pertaining to the Title (b)(6) and any variations of this Corporate entity sm /bl/61 

All communications {emails and text messages) between CFTC Director of LegIslatIve Affairs Charles Thornton and anyone at the law firm of Katten 

MuchIn Rosenman LLP or trabue.bland@the1ce com or kelly.loemer@bakkt com, from January 1, 2018 to the present day. (Date Range for Record 

1AT~ <J?P.n~,n, 

Any information on (b)(6) Was he a commodIt1es trader In downtown Chicago> lf so, when> Who did he work for? How many yea cs was he a 

Requesting ' copies of all documents, IncludIng any relevant memos and emails, created for or relating to the d1sc1pl1ne of Bunnvale Trading by the New , ., Requesting that the CFTC produce an electronic copy (e.g pdfs on a CD-ROM or via email) of all contracts between any dIvIsIon of the Commodity 

Futures Trading Comm1ss1on and BlackRock lnc , (2) contracts for use of the risk-management software Aladdin, IncludIng contracts with entities 

believed to be subsId1aries or licensees of Aladdin, (3)All '"requests for proposal" or any other form of sol1c1tation to prospective vendors issued by the 

CFTC that relate to "risk analytics, ''"comprehensive portfolio management,"5 or any phrases used as synonyms for either of those terms (Date Range 

other Reasons • No records 

other Reasons - Public Records 

Granted In Full 

Granted In Full 

Granted In Full 

Other Reasons - Request wItMrawn 

Other Reasons - Not a proper FOJA , 

Granted in Full 

Granted/Denied in Part - No records 

Granted In Full 

other Reasons· Records not reasonably 

described 

Granted In Full 

Granted In Full 

Granted/Denied in Part 

Denied In Full 

Denied In Full 

Granted/Denied in Part 

other Reasons - No records 

Other Reasons - No records 

Granted/Denied In Part 

Granted/Denied in Part 

Granted In Full 

other Reasons - No records 

Granted/Denied in Part 

other Reasons - Public Records 

other Reasons - No records 

other Reasons - No records 
19-00001-CONS 2127/2019 Consultation with Department of Agriculture, regarding a FOIA request received by their agency. Granted/Denied In Part 

19-00059-FOIA 4/29/2019 Requesting information pursuant to Communications t>etween. CFTC Enforcement Director James McDonald, Deputy Enforcement Director Joan Manley, 

or other senior CFTC Enforcement Staff or staff of the Office of General Counsel and the U.S. Department of Justice, 1nclud1ng but not l1m1ted to: the 

DOJ's Office of General Counsel, senior officials In the DOJ's Criminal DIvIsIon, Civil DIvIsIon, Office of Legal Counsel, and Office of Legal Policy, regarding 

agency policy announced March 6, 2019 to pursue violations of the CommodItIes Exchange Act that involve foreign corrupt practices. The relevant time 

period IS from Oct 1. 2018 to the present (Date Range for Record Search· From 10/1/2018 To 4/29/2019) 

Denied in Full 

19-00060-FOIA 4/30/2019 Copy of BPA CFITOSBPOl 19 and all associated calls (Task Orders) Granted/Denied in Part 

19-00001-REF 5/1/2019 A copy of the GHG (Greenhouse Gas) Inventory Qual1tat1ve Statements for FY 2017 for each agency that submitted them to the Council on Granted In Full 

19-00061-FOIA 513/2019 Requesting a transcnpt of the TAC meeting on June 20, 2012 (Date Range for Record Search: From 6/20/2012 To 6/20/2012) Other Reasons - No records 

19-00062-FOIA 5/3/2019 DCUR DATABASE re. (b)(6) Other Reasons - Public Records 

19-00063-FOIA 517/2019 Current speculative posItIon trading limits for corn, soybeans and wheat or where the rules can be found or located Other Reasons • Public Records 

19-00064-FOIA 5/8/2019 Requesting all records, files, emails, notes, reports, schedules, statements, and documentation In CFTC possession. Also requesting any up-to-date 

phone numbers, Emails or addressess starting from January 2018 until April 2019 on the following 1nd1v1duals: Charity Suck, YansensIa To1edo, 

Mercedes Rodnguez, Gabriela Mendoza Martinez, Leslie McCray, Emily Davis, Manna Galvez, Mana Warnell, Brenda Aguilar, Haley Kaitlyn Kennedy and 

Other Reasons - Records not reasonably 

described 

19-00065-FOIA 5/9/2019 Requesting copies of all written communications by which staff of the Commodity Futures Trading Comm1ss1on (CFTC) shared non-public drafts of CFTC 

rulemakings with external parties including partners and employees of law firms from the time period between January 1, 2010 and January I, 2019. Jn 

add1t1on to provIdIng the communications, please provide all non-public draft releases that were attached to or otherwise enclosed with the 

other Reasons - No records 

19-00066-FOIA 5/14/2019 Data In re Historical deliverable stocks and deliverable commodities under registration (DCUR) for agricultural commodItIes for however many days and other Reasons· Request withdrawn 

19-00067-FOIA 5/14/2019 I would like any and all 1nformat1on in connection to me. My name is (b)(6) social security number is (b)(6) mailing address 

IS (bl/6) My date of Birth Is (b)(6) My physical address is (bl/61 

other Reasons· Records not reasonably 

described 

19-00068-FOIA 5/14/2019 Requesting copies of all correspondence between Stephen K Moore and any of the following Commodity Futures Trading Commissions offIcIals between 

and 1nclud1ng January 20, 2017 and the date this request is processed: •Brian D. Quintenz, Commissioner• Rostin Behnam, Commissioner, • Dawn 

De8erry Stump, Commissioner, •Dan M. Berkovitz, Commissioner, and• Bruce Tuckman, Chief Economist (Date Range for Record Search, From 

other Reasons - No records 

19-00069-FOIA 5/15/2019 Requesting documents and information regarding the following 1ndiv1duals and entities: (1) Gaylen Dean Rust, (2) Rust Rare Coin Inc., (3) Denise 

Gunderson Rust, and (4) Joshua Daniel Rust (together, the "Subject Parties"). Spec1f1cally, I request copies of the records of any InvestIgations and/or 

enforcement proceedings that directly pertain to the Subject Parties or each of their conduct. disclosures. and/or transactions. 

Denied In Full 

19-00070-FOIA 5/15/2019 Requesting the records regarding all background 1nformat1on on all registered traders available at the BASIC database from the National Futures 

AssocIatIon ("NFA"). Any information of legal nature {civil actions, cnminal proceedings etc.). I'm interested In all educational 1nformat1on currently 

unavailable at the onlIne BASIC database. These would include examinations taken, scores In these examinations, education level, and any demographic 

Other Reasons - Request withdrawn 

19-00071-FOIA 6/6/2019 All information from CFTC at>out the client losses from the Opt1onSellers failure Denied in Full 

19-00072-FOIA 6/6/2019 Any and all Documents relating to any CFTC action InvolvIng William H. Powderly, IV, 1nclud1ng but not limited to the action currently pending In the 

USDC for the Northern D1str1ct of lll1no1s, DOCKET II 1 17-cv 03262 United States, Commodity Futures Trading Commission v William H Powderly • " .. 

other Reasons· Request withdrawn 

19-00073-FOIA 6/6/2019 In regard to the lawsuit U.S. Commodity Futures Trading Commission v. Larry Benny Groover and Joanne Groover (4, 11 -CV-00064-RAS-DDB): All 

documents including or referencing communications to the defrauded investors Roger Byrd and Ronald Tipps. Communications between the US CFTC 

attorneys/representatives and the investors mentioned above, including pre-suit communIcatIons. Time frame: 1/1/2010 to 1/1/2013 I want to make 

sure that the communIcatIons that will be provided In your response include (Date Range for Record Search: From 111/2010 To 111/2013) 

Granted/Denied in Part 

19-00074-FOIA 6/6/2019 I had previously submitted a FDIA request for John Arnold's depos1t1on. J have additional information to narrow the scope of the search, lam seeking 

the depos1t1on of John Arnold, In the matter of Enron Corp. Ref. No, 4916, August 19, 2002. (Date Range for Record Search: From 8/19/2002 To 

Other Reasons - No records 

19-00075-FOIA 617/2019 ANY/ALL CFTC WHISTLEBLOWER FILINGS 2008-2019 (Date Range for Record Search: from 1/1/2008 To 6/30/2019) Denied in Full 

19-00076-FOIA 6/7/2019 I would like to receive information on any and all securities sold in assocIatIon with my name, (b)(6) and social security number, from 1979 to Other Reasons - Not an agency record 

19-00077-FOIA 6/7/2019 Requesting all of the decisions made under the reparations program of the CFTC from the year 2000 through the year 2018 (Date Range for Record .. , "' '"' 

Granted in Full 

19-00078-FOIA 6/7/2019 Requesting a copy of each letter· (1) Letter from Ellen Marks on behalf of Fannie Mae and Freddie Mac, at 2 (Jul. 29, 2013) ("Relief Request"); • (2) 

Letter from Ellen Marks on behalf of Fannie Mae and Freddie Mac, at J (Nov. 20, 2013) ("Supplemental Statement"'). These two letters were referenced 

Granted In Full 

19-00003-REF 6/12/2019 Referral from OGE - OGE Form 202: Notice of Conflict of Interest Referral Granted/Denied in Part 
6/13/2019 1) Deposition transcripts with exhibits of Ryan A. Nassbndges and Bila J. Nassbridges taken Re: In the Matter of American Bullion Exchange, et al., on Granted/Denied in Part 

or about June 10 and June 11, 2009; 2) the depos1t1on transcript with exh1bIts of Ryan A. Nassbridges taken on or about March 12. 2014, In U.S. 

Commodity Futures Trading Commission v American Bullion Exchange Abex, Corp., et al. USDC, Central District of California Case No SACVl0-1876 

DOC (RNBx), and 3) any other transcripts of deposition with exh1b1ts of Ryan Nassbridges or Bila Nassbridges taken Re, In the Matter of American 

Bullion Exchange, et al. or in U.S. Commodity Futures Trading Commission v, American Bullion Exchange Abex, Corp., et al. (Date Range for Record 

19-00079-FOIA 

19-00080-FOIA 6/19/2019 Requesting Records, Files, Emails, Social Medias Notes, Reports, and phone numbers. Anything from April L 2015 to April 1, 2019 In re to the listed Other Reasons - Records not reasonat>ly

'" "" 19-00081-FOIA 6/19/2019 Emails •sent' by Nancy R. Doyle since May L 2019 that mention the Democracy Summer Leadership PAC (Date Range for Record Search: ernrn Other Reasons - No records

19-00082-FOIA 6/21/2019 Requesting Append1cies 1 to 34 of the Inspector General's Report on Stress Testing Granted/Denied in Part

19-00083-FOIA 6/21/2019 Requesting all records related to Libra, the new Facebook subsIdIary called Calibra, and Libra AssocIatIon, the nonprofit created independent of Facebook 

to oversee operations of Libra, created on or after January 1, 2017, including but not l1m1ted to: 1 Commun1catIons between any representative of the 

cs Commodity Futures Trading Comm1ssIon, and any representative of Facebook referencing Facebook"s Libra cryptocurrency project. 2. Any internal 

communIcatIons at the U.S. Commodity Futures Trading Commission, reflecting comments or concerns over Facebook's Libra cryptocurrency proJect. a. Materials that descrit>e Facebook's plan for Libra in possession by the U.S. Commodity Futures Trading Commission, including e-mails, handouts, 

PowerPoint presentations, advertisements, or spec1/lcat1on documents. 4, Any records referencing the antIcIpated date of launch for Facebook"s Libra 

cryptocurrency. 5. Records, announcements, summaries, or written minutes of meetings or sessions d1scuss1ng Facebook's Libra cryptocurrency, 6. Any 

records reflecting research, studies, news articles, or other data regarding how Facebook's Libra cryptocurrency might affect the US financial market 

Granted/Denied in Part 

19-00084-FOIA 6/27/2019 Requesting the decIsIons of FIN RA from the period 2008 to the current time (Date Range for Record Search: From 1/1/2008 To 6/27/2019) other Reasons • No records 

19-00085-FOIA 6/27/2019 Requesting the following records, All invoices, purchases orders, contracts, loan agreements, procurement documents (but not limited to solicitation 

documents or notices of proposed contracts, proposed bids, unsol 1c1ted proposa Is, and/or documents Just1fy1ng contracting without fu II and open 

compet1t1on) relating to the following spec1f1c procurement 1dent1/lers: - 9523ZY18P0224 - 9523ZY18P0236 - 9523ZY18P0224 - 9523ZY18P0224 -

Granted/Denied in Part 

19-00086-FOIA 7/2/2019 Any investIgat1ve records that include the full name (b)(6) for the years 2010 - present (Date Range for Record Search: From Denied In Full 

19-00087-FOIA 7/2/2019 Requesting all riles regarding dec1s1ons of the National Futures lndustry Authority from January I, 2000 to June l, 2019. (Date Range for Record Search other Reasons - No records 

19-00088-FOIA 7/3/2019 Requesting all information and records of contact (including email, regular mail, telephone, fax) and records of notes, d1scuss1ons, analyses, materials 

submitted, filings, financials, meetings and Investigat1ons regarding PredIctlt Inc and Victoria Univecs1ty In New 2ealand and Aristotle International In 

Washington, DC t>etween the dates of July L 2014 and June 30, 2019. (Date Range for Record Search: From 7/1/2014 To 6/30/2019) 

Granted/Denied in Part 

19-00089-FOIA 

19-00090-FOIA 

718/2019 

7/8/2019 

I am seeking E-mInI S&P order boo~ data of manIpulatIve trading actIvIty of Nav Sarao Futures L1m1ted PLC (Sarao futures) and Nav1nder Singh Sarao 

(Sarao) during the Relevant Period from From at least April 2010 to January 2012; July 2012 to June 2014; and September 2014 to April 17, 2015. 

'" I am seeking for order book data, 1f available, on the manIpulatIve trading activity of J1ongsheng Zhao in E-mIn, S&P 500 lndex futures market during 

Other Reasons - No records 

other Reasons - No records 

19-00091-FOIA 7111/2019 (I) A copy of any comments CommIssIoner Berkovitz delivered at the Seminar; (2) A copy of the 11st of Seminar attendees {1nclud1ng their employers) Granted/Denied in Part 

that Commissioner Berkovitz received prior to attending the Seminar; (3) A copy of the InvItatIon Commissioner Berkovitz received to attend the 

Seminar, and all of his communIcatIons with S&C regarding his attendance (including , If any of the communIcatIons were telephonic, a copy of the 

phone records ident1fy1ng the number called and the duration of the call); and (4) Copies of communications between Commissioner Berkovitz and S&C 

lawyers, S&C d1ents and other business representatives he met at the Seminar or subsequent to the Seminar (including, 1f any of the communications 

were telephonic, a copy of the phone records 1dent1fy1ng the number called and the duration of the call). (Date Range for Record Search: From 615/2019 

19-00092-FOIA 7/10/2019 Regulatory disclosure documents for Anne Carolyn Dinning, Edward Laurence Fishman, David Elliot Shaw and Maximilian Dana Stone Granted/Denied In Part 

19-00093-FOIA 7/12/2019 Requesting documents regarding the CFTC's investIgatIon, prosecution and settlement of charges against Forex Capital Markets LLC, as described in the 

CFTCs press release number 6119-11, dated October 3, 2011, and the Order issued In the case In re Forex Capital Markets LLC, CFTC Docket Number 

Granted/Denied in Part 

19-00002-CONS 7/19/2019 Consultation from SEC· White House emails with SEC and CFTC Staff. Granted In Full 

19-00094-FOIA 

19-00095-FOIA 

7/26/2019 

7/26/2019 

I hereby request records or portions thereof pertaining to precious metals, coins, oil, agriculture, annuities, real estate, technology, utilities, natural 

" Please provide me with the amount of investor losses from the collapse of Opt1onSellers in the second week of Novemt>er, 2018 and the subsequent 

efforts of INT Ifstone to hold innocent investors accountable. INT FCStone was the deanng firm for all the trades of Opt1onSellers. 

Other Reasons - Not a proper FOJA 

' 

Denied in Full 

19-00096-FOIA 7130/2019 All emails sent to, from, or copied to: J, Christopher Giancarlo, from January 1, 2016 to Present Day contaInIng any of the following non case-sensItIve Granted/Denied in Part 

key-string "Norberg", or "money laundering" You may exclude emails that may be class1f1ed as newsletters, Jun~, or spam. After conducting a search to 

determine how many email records exist, 1f these records are too cumbersome to go through, please let me know the total number of records for the 

time period requested and I may desire to modify my request to limit the keywords or t1meframe. In the event of fees, inform me of the total charges In 

19-00097-FOIA 7/31/2019 All records memorializing the creation of the Climate-Related Market Risk Subcommittee {Subcommittee) under the CFTC's Market Risk Advisory 

Committee (MRAC). Establishment of the Climate-Related Market Risk Subcommittee was announced July 10, in a public statement your agency issued. 

Granted/Denied in Part 

19-00098-FOIA 8/1/2019 Copies of the most recent SRs for Philippe Pierre Remy and Ludovic 2ezima, and the most recent 7R for Lyxor Asset Management SAS Granted In Full 
8/1/2019 Seeking information on the order book data of manipulative trading act1v1t1es of Igor B.Oystacher and 3 Red Trading LLC between December 2011 and other Reasons • No records 

' 

19-00003-CONS 

19-00099-FOIA 

8/5/2019 Referral from SEC !Granted ,n Full

Requesting records related to a matter handled by DOE Attorney Thomas J_ (Todd} Kelly in re to, "In the Matter of: Certain Persons Engaged ,n Unlawful Other Reasons - Fee-related reason 

Retail Commodity Transactions." Please send any and all records dated from January 1, 2013, to the present, related to: I. Quantum Refiners, LLC. 

Paul Edward Norat (b)(6) 3. Manuel Andrew Keesee (b)(6) 4. GRR r, LLC 5. American Gold River Corporation 6. Agave ' Metal Trading, LLC 7. American Metallurgy de Mexico. {Date Range for Record Search: From 1/1/2013 To 8/7/2019) 

19-00100-FOIA 8/7/2019

Denied ,n Full 

P, Exh1b1t Q, Exh1b1t S, Exh1b1t T, Exh1b1t V; Cantor Futures Exchange, L.P. [Designated as of 4/20/2010] Exh1b1t E, Exh1b1t F, Exh1b1t K, Exh1b1t N, Exh1b1t 

0, Exh1b1t P, Exh1b1t Q, Exh1b1t S, Exhibit T, Exhibit V; and Ens Exchange, LLC • full derivatives clearing organization {DCO) appl1cat1on. On August 8, 

2019, the requester clarified that she was seeking the DCM application and spec1f1ed exhibits for Ens Exchange and Cantor Futures Exchange, as well as 

19-00102-FOIA 817/2019 Requesting Exh1b1ts and appl1cat1ons from: Ens Exchange, LLC [Designated as of 10/28/2011] Exh1b1t E, Exh1b1t f, Exh1b1t K, Exh1b1t N, Exh1b1t 0, Exh1b1t

817/2019 Seeking data v,a a FO!A request to gain access to traded prices of S&P 500 and S&P 500 e-m,ni futures contracts, which to my knowledge are Denied 1n Full 

maintained by the CFTC The data lam seeking under this FO!A request includes the traded price and volume for each individual futures contract traded 

19-00103-FOIA 

" . ,. .. 8/8/2019 Requesting information or records regarding a complaint filed by LedgerX LLC With the CFTC Office of the Inspector General alleging interference from Granted/Denied in Part 

the Commission with LedgerX's request for an amendment to ,ts Derivatives Clearing Organization (DCO) registration, allowing for it to offer futures 

19-00104-FOIA 

Requesting an electronic copy (e.g. pdfs on a CD-ROM or via email) of Mr. Daniel Gorfine's calendar for the time period of July I, 2017 through the Granted/Denied in Part 

present day, covering his full tenure as Director of LabCFTC and Chief Innovation Officer of the Commodity Futures Trading Commission thus far. (Date 

19-00105-FOIA 8/9/2019

19-00106-FOIA 8/9/2019 Requesting Information related to chat transcnpt1ons from a Bloomberg Chat Room Denied ,n Full

-The Annual budgets for the CFTC Whistleblower Office since 2000. -Any minutes of meetings in which the CFTC Whistleblower Office budget was Granted in Full 

discussed since 2000. -The annual number of staff, description of position, salary, and pay-rank of all staff within the (FTC Wh1stleblower office since 

19-00107-FOIA 8/12/2019

Under the Freedom of Information Act (5 U.S.C. § 552), l request that a copy of any and all of the following documents related to, 1n whole or 1n part, o Denied ,n Full 

concerning 1n any way, from January 1, 2014, through the present, be provided to me: (1) the anti-money laundering and/or Ban~ Secrecy Act practices, 

pol1c1es and procedures of Interactive Brokers LLC (IBKR) and {1i) any such documents relating to any 1nvestigat1on, penalty, f1nd1ng, assessment, order 

19-00108-FOIA 8/13/2019

I am requesting the enforcement letters, such as no-action letters or other official notices, whether sent to ind1v1dual companies or persons or broad- Other Reasons - Public Records 

based publications, the CFTC has issued in the year 20 1 9 concerning cryptocurrency-related futures under its jurisdiction, Given public interest in the 

topic of cryptocurrency regulation, recent actions taken by the CFTC 1n relation to official notices and guidance to cryptocurrency-related futures and 

companies 1s of maJor and worthwhile exam1nat1on to the general investor and business population. (Date Range for Record Search: From 111/2019 To 

19-00109-FOIA 8/13/2019

19-00110-FOIA 8/14/2019 Two copies of the "Notarized statement form" as referenced in 17 DFR § 146.4 (a) (3) (6), and two copies of 17 CFR 249.1800 form. Granted ,n Full

8/22/2019 Rece,ved FO!A request from Curtis Clayton of the Center for B,olog,cal o,vers,ty which yielded 217 pages of responsive documents of wh,ch, 2 pages Granted ,n Full 19-00004-CONS ,., ' '" 

19-00111-FOIA 8/22/2019 In the NFA 8 R of Robert Furdak (NFA ID: 0303957), there ,s a disclosure related to Regulatory disclosure Namely, there was a positive answer to the 

below question: E In any case brought by a domestic or foreign governmental body (other than the CFTC), (1) have you personally Or (2) has any 

entity of which you were a principal (based on activities hat occurred while you were a principal) ever been found after a heanng or default or as the 

result of a settlement, consent decree or other agreement, to: -Have violated any statute, rule, regulation or order which involves emt>ezzlement, theft, 

extortion, Ira ud, fraudulent conversion, forgery, counterfe1t1ng, false pretenses, bn bery, gambling, racketeering or m1sappropriat1on of funds, securities 

or property or -Have willfully aided, abetted, counselled, commanded, induced or procured such v1olat1on by any other person> Moreover 1n the Annual 

Reg1strat1on update for Numeric Investors LLC {NFA ID 0382141) there 1s a disclosure related to Regulatory disclosure. Namely, there was a positive 

answer to the below question: E. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor 

ever been found after a hearing or default or as the result of settlement, consent decree or other agreement to: -Have violated any statute, rule, 

regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, 

gambling, racketeering or misappropriation of funds, securities or property or -Have willfully aided, at>etted, counselled, commanded, induced or 

Granted ,n Full 

19-00112-FOIA 8/23/2019 The 28 May 2019 7-R Form of JP Morgan Alternative Asset Mgnt Inc (NFA ID: 0229386) contains a "Yes" answer for a Regulatory Disclosure. Granted ,n Full 

19-00005-CONS 8/28/2019 Emails regarding press release input Granted in Full 

19-00113-FOIA 8/28/2019 Requesting a d1g1tal or electronic copy of documents conta1n,ng every employee of the Commodity Futures Trading Comm,ss1on currently detailed to the 

United States Senate. Specifically, please provide the first and last name, title, and office for each employee who 15 detailed to the United States Senate 

Granted ,n Full 

19-00114-FOIA 8/28/2019 All emails and other written communications sent between FC Stone and the Div1s1on of Enforcement, or between FC Stone and a CFTC Commissioner, Denied in Full 

discussing FC Stone's responsibility for investor losses. Time from 1s May 29, 2013, to Decemt>er 2018. (Date Range for Record Search: From 5/29/2013 

19-00115-FOIA 8/29/2019 Requesting access to and copies of records concerning the bank exam1nat1on and superv1s1on process, Specifically, requesting all reports, 

memorandums, briefings, and other documents created or updated since July 15, 2019 that includes 1nformat1on on the bank exam1nat1on process or 

the bank super,1s1on process. NARROWED SCOPE: All reports, memorandums, briefings, and other documents that contain the key phrase "'bank 

examination" created or updated since July 15, 2019 held by: Brian D. Quintenz, Comm1ss1oner; Rost1n Behnam, Commissioner; Dawn DeBerry Stump, 

Comm,ss,oner; Dan M. Berkovitz, Comm,ss,oner; Bruce Tuckman, Chief Economist (Date Range for Record Search: From 7/15/2019 To 7/15/2019) 

Granted ,n Full 
19-00116-FOIA 

19-00101-FOIA 

8/29/2019 

919/2019 

Requests access to and copies of all e-mails sent to, sent by, or carbon copying (''CC') the following CFTC personnel: • Brian D. Quintenz, CommIssIoner Granted/Denied in Part 

• RostIn Behnam, CommIss1oner • Dawn DeBerry Stump, CommIss1oner • Dan M. Berkovitz, Comm1ss1oner • Bruce Tuckman, Chief Economist Request 

all communications sent by, sent to, or CC'ing the listed CFTC personnel between and 1nclud1ng July 15, 2019 and the date this request Is processed, 

which were sent by, sent to, or CC'd representatives of any of the following organizations, as evidenced by their e-mail addresses or the inclusion of one 

of these entity names in their e-mail signatures, • The Bank Policy Institute (@t,pi.com) • The Securities Industry and Financial Markets Associations 

(@s1fma.org), Add1t1onally, request all communications sent by, sent to, or CC'ing IndIvIduals from the previously listed organizations, which contain any 

of the following keywords or phrases: • "f1duc1ary" • "bank exam1nat1on" •"bank superv1s1on" (Date Range for Record Search: From 7/15/2019 To 

Memorandums, notes, minutes of meetings, reports or correspondence whether typed or handwritten, video or audio, concerning CME COM EX gold Other Reasons - No records 

and/or silver futures margin adJustments proposed or completed, dated from November 1, 2010 to September 30, 2011 (Date Range for Record 

19-00117-FOIA 

19-00118-FOIA 

9/9/2019 

919/2019 

Letters sent to the CFTC by the SIFMA AMG, FIA and the CME, detailed In CFTC Letter No. 19-17. It states the below In footnote 4: The FIA, SIFMA· Granted In Full 

AMG, and CME each filed separate letters (collectively, the "Industry Letters") to Commission Staff. See SIFMA·AMG Letter dated June 7, 2019 to Brian 

A. Bussey and Matthew B Kulk1n; CME letter dated June 14, 2019 to Brian A Bussey and Matthew B Kulk1n; and FIA letter dated June 26, 2019 to . . . I need to pull up data on two options trades -one under Russell 2000 and another CommodItIes related trade both traded on the CBOT In 13/14 fiscal Other Reasons -

years, I cannot access 1nformat1on on these two trades without the name of my 1ntermed1ary broker that I do not have. Please help me pull up the 

19-00119-FOIA 919/2019 

/h1/R1 

1) On which dates In which securities and which markets did CFTC allege manipulation by Igor B.Oystacher and 3 Red Trading to have occurred7 (This Is Other Reasons -

Not an agency record 

Not a proper FOIA 

not a request for order book data, nor Is 11 a request for the specific trading of Igor B.Oystacher and 3 Red Trading, merely a request about the request for some other reason 

allegations made by the CFTC, whether proven or otherwise). 2) To the e~tent that (1) above can be disclosed In full or in part, at what times 

19-00120-FOIA 9/10/2019 Requiring 11st of the registered Major swap participants as of today. I had the understanding that swap dealers, MSP, and other intermediaries ruled by 

the Dodd Frank act and the CFTC had to be registered In the NFA. I appreciate 1f you can confirm this, and provide me the web page or the 1nformat1on 

Other Reasons - No records 

19-00121-FOIA 9111/2019 In re U.S. District Court for the N.D. Ill., Eastern Div., Case No. 15-cv-09196 (CFTC v. Igor B.Oystacher and 3 Red Trading LLC), On November 9, 2015, 

Plaintiff filed a Motion for PrelImInary lnJunction (Dkt. 1'20). The Court conducted a nine-day prelImInary InjunctIon hearing on April 8, 25· 29, May 4, 6 

and May 12, 20 16. At the contested hearing, Pla1nt1ff Introd uced evidence that supported the allegations of the Complaint, that the Defendants violated 

the Act while trading" Requesting records of the allegation made by CFTC or records of evidence that supported the allegations of the Complaints, 

whether proven or otherwise, relating to the manipulative trading act1v1ties of Igor B.Oystacher and 3 Red Trading in commodity futures market 

between December 2011 and January 2014. (Date Range for Record Search: From 12/1/201 I To 1/31/2014) 

Other Reasons - Public Records 

19-00122-FOIA 9/11/2019 Requesting the following records: All emails sent to, from, or copied to: J. Christopher Giancarlo, from January 1, 2016 to Present Day containing any of Granted/Denied in Part 

the following non-case-sensitive key-string "wh1stleblower 11, "laundering" or "prosecution" After conducting a search to determine how many email 

records exist, 1flhese records are too cumbersome to go through, please let me know the total number of records for the time period requested and I 

may desire to modify my request to lIm1t the keywords or timeframe (Date Range for Record Search: From 1/1/2015 To 9/11/2019) 

19-00123-FOIA 9/12/2019 Request relates to CFTC Letter No 19-17, dated July 10, 2019 ("Advisory and Time-L1m1ted No-Action Relief with Respect to the Treatment of Separate 

Accounts by Futures Commission Merchants'"), Footnote four on page 1 references three "Industry Letters" to Commission Staff, (1) SJFMA-AMG Letter 

dated June 7, 2019 to Brian A. Bussey and Matthew B. Kulkin; (2) CME letter dated June 14, 2019 to Brian A. Bussey and Matthew B. kulkin, (3) FJA 

letter dated June 26, 2019 to Brian A. Bussey and Matthew B. Kulk1n. We would like copies of these three letters, (Date Range for Record Search: From 

Granted In Full 

19-00124-FOIA 9/12/2019 Requesting documents including, but not limited to, correspondence, internal memoranda, external conversations with the SEC, etc., from the time 

period between January l, 2011 and December 31, 2013, regarding Securities & Exchange Commission proposed and finalized Rule 506, implementing 

Section 926 of the Dodd-frank Act, discussing the "bad actor" d1squal1f1cat1on provIsIons and waivers, (Date Range for Record Search: From 111/2011 

Other Reasons - No records 

19-00125-FOIA 9/13/2019 I am requesting my own personal leave records from September 1, 2018, to June 7, 2019 I specIf1cally need the bi-weekly time and attendance records Granted In Full 

that show my work hours (t>ase, telework, sick, annual, etc.) I also need copies of my sick leave requests. (Date Range for Record Search, From 

19-00126-FOIA 9/13/2019 I am requesting for any analysis (including calculations, plots, statistical measures, or exhibits) created by CFTC or for CFTC by the affected market 

partIcIpants in their complaints sent to CFTC, relating to the manipulative trading activities of Igor B.Oystacher and 3 Red Trading in futures market 

Denied in Full 

19-00002-AP 9/12/2019 Appeal of freedom of Information Act requests 19-00017, 19-00019, 19-00065 and 19-00091, regarding the published CFTC FAQ on how notional 

amounts related to swaps posItIons should be calculated for purposes of applying rules written pursuant to Title VII of the Dodd-Frank Act. 

Completely Affirmed 

19-00127-FOIA 9/17/2019 Requesting the following information/data: 1. What percentage of CFTC employees are elIgIble to retire, as of the end of last year {Dec. 2018)> 2. What 

percentage of CFTC employees will be el19Ible to retire by the end of 2023> 3. Once CFTC employees reach el1gibil1ly for retirement, how many more 

years do they remain at the agency, on average? 4 How many total employees does the CFTC have, as of the end of 20187 5 What Is the typical 

annual attrition rate among CFTC employees> 6. How Is eligibility for retirement determined at the CFTC? If breakdowns by CFTC div1s1on and/or 

Granted In Full 
19-00128-FOIA 9/17/2019 Request for records: 1) All communIcatIons-IncludIng but not lImIted to letters, faxes, and emails, including all attachments to emails that discuss, Granted/Denied in Part 

describe, reference, or otherwise refer to (a) Facebook's Libra cryptocurrency project, (b) the Calibra d1gItal wallet or (c) the Libra Assoc1atIon. This 

request IS l1m1ted to records created or received since January 1, 2019 2) All records concerning meetings-whether in-person, telephonic, video 

conferencing, or through other means- that discuss, describe, reference, or otherwise refer to (a) Facebook's Libra cryptocurrency project, (b) the 

Cal1bra digital wallet or (c) the Libra Assoc1at1on. This request is limited to records created or received since January I, 2019. lf It 15 your position that 

responsive records exist but that those records (or portions of those records) arc exempt from disclosure, please 1dcnt1fy the records that arc being 

withheld and state the basis for the denial for each record being withheld. In add1t1on, please provide the nonexempt portions of the records. Public 

CItIzen seeks each document containing responsive records ,n ,ts entirety. (Date Range for Record Search: From 111/2019 To 111/2019) 

19-00129-FOIA 9/18/2019 7-R for Lighthouse Investment Partners LLC; NFA ID: 0406075 Granted/Denied in Part 

19-00130-FOIA 

19-00131-FOIA 

9/20/2019 

9/23/2019 

I hereby request under the Freedom of Information Act and 17 C.F. R Part 145 the following records, (1) A copy of any comments Commissioner 

Berkovitz or Mr, McDonald delivered at the Seminar: (2) A copy of any 11st of Seminar attendees (1nclud1ng their employers) that Commissioner 

Berkovitz or Mr. McDonald received prior to attending the Seminar: (3) A copy of any InvitatIons Comm,ssioner Berkovitz or Mr. McDonald received to 

attend the Seminar and any communications either IndIvIdual had with S&C regarding his attendance (IncludIng, 1f any of the communIcatIons were 

telephonic, a copy of the phone records Identify1ng the number called and the duration of the call)c and (4) Copies of communIcatIons between 

Comm1ss1oner Berkovitz or Mr McDonald and S&C lawyers, S&C clients and other business representatives he met at the Seminar or subsequent to the 

Seminar (including if any of the communications were telephonic, a copy of the phone records identifying the numt>er called and the duration of the 

US Court of Appeals for the Seventh Circuit, sealed case number 19-276. lam requesting the agency transmit any and allc 1) notice of appeal; 2) 

petItIon or opening brief; 3) any other filing In the aforementioned 7th Circuit case The request includes but Is not l1mIted to any filing between Aug ' 

Granted in Full 

Denied In Full 

19-00132-FOIA 9/24/2019 A 11st of all current Commodity Futures Trading Commission appointees ,including the following, • Career Senior Executive Service,• Non-Career Senior 

Executive Service, and• Schedule C appointees Spcc1f1cally, please provide the first and last name, title, and office for each appointee/career official. 

Granted in Full 

19-00133-FOIA 9/25/2019 Electronic copy of any engagement letter and/or retention agreement between the law firm King & Spalding and ,ts rcprcscntat,on of Heath Tarbert, 

Rost,n Behnam, Daniel Berkovitz, James McDonald, Susan Gradman, Robert Howell Stephanie Reinhart, Neel Chopra in the pending matter 15-cv-2881 

,n the U.S. District Court for the Northern District of Ill1no,s. The King & Spalding counsel was retained on September 18, 2019. The 

engagement/retention letter, spelling out any fees and/or other terms, would be a matter of public record. (Date Range for Record Search: From 

Other Reasons - Referrals 

19-00134-FOIA 9/25/2019 Please provide annual salary information on Anna Rosenberg, special assistant to the CFTC chairman and leg1slat1ve special,st. She Is a 'Schedule C' 

' 

Granted ,n Full 

19-00135-FOIA 9/26/2019 1. All Commurncat,ons to include: All documents produced & All demands, subpoenas, or other requests for Documents sent to and from Tyson, Cargill, Granted/Denied in Part 

Marfrig, or JBS by the CFTC from 111/2014-Present 2. All Documents sent to the Government AccountabIlIty Office in connection with Its InvestIgation 

Involv1ng suspected man1pulat1on of the Cattle Futures market, and resulting GAO Report. 3 All Documents involving the CFTC's 1nvest1gation of the 

volatIl1ty of the Cattle Futures market referenced on page 17 of the GAO Report 4. All Documents relating to the CFTC's records of trading halts or 

"drcu1t breakers" in the Cattle Futures market. 5. All Documents relating to the CFTC's investigation of the relationship t>etween the cash cattle market 

and Cattle Futures relating to pages 18-20 of the GAO Report, including the quality of t>eef reflected in the contracts and the price relationship between 

Cattle futures and cash cattle on spcc1f1c days of the week, 6. All "Large Trader" reports, filed with the CFTC pursuant to 17 C.f.R. § 17.00 ct seq,, 

concerning transactions ,n Cattle futures executed during the Relevant Period. 7. All Documents that reflect Communications between the CFTC and 

Packers and Stockyards Program ,n relation to GIPSA's investIgatIon of the 2015 drop ,n cattle prices, 1nclud1ng but not limited to, end of day gross 

futures positions on all listed Cattle Futures contracts held by Tyson, JBS, Cargill, Marfng/National Beef, and any related entItIes for the period beginning 

June 1, 2015, and ending December 31, 2015 8 Any other Documents that reflect Communications with the Packers and Stockyards Program tlrnt 

discuss Cattle Futures contracts 9 All Documents relating to complaints directed to the CFTC, or of which CFTC Is aware, made by any pecson or entity 

(other than by Ranchers-Cattlemen Action Legal Fund United Stockgrowers of America) since January I, 2014, relating to any suspected manipulation of 

Cattle Futures contracts, as well as all Documents showing the bases for the inquiries, the Documents collected t,y the CFTC In responding to the 

InquIries, and the outcome and/or the resolution of any such InquIncs, 10. All Documents that reflect Communications with the CME regarding the CME's 

changing the contract terms of the Cattle futures contracts, 1nclud1ng IncrcasIng the quality of bed required for delivery and the dcl1vcly process, 

1nclud1ng in 2016 and 2017, and any subsequent communications. 11. All Documents regarding the 2013 CFTC review of the CME to verify compliance 

with the standards to prevent market manipulation in the Cattle Futures market, and any subsequent reviews involving Cattle Futures marnpulat,on. 12. 

All Documents suff1cIent to identify the overall trading positions of the Tyson, Cargill, Marfrig/Nat1onal Beef, and JBS ,n Cattle Futures contracts from 

2014 to the present date, 1nclud1ng all Documents tlrnt have producer/packer disaggregated posItIons, IncludIng, 1f available, Commitment of Trader 

reports that disaggregate cattle producers (farmers) and meat packers (J'yson, Cargill, Marfr,g/National Beef, and JBS), If it Is your position that any 

portion of the requested records are exempt from disclosure, J request that the CFTC provide me with a Vaughn Index which describes each document 

you claim as exempt with suff1c1ent spec1f1c1ty "to permit a reasoned Judgment as to whether the material IS actually exempt under fOIA. (Date Range 

19-00136-FOIA 

19-00137-FOIA 

9/27/2019 

9/27/2019 

Disclosure Matter Pages ("DMPs") filed by Mr. Alan Waxman. form 8-R outlines that he will file criminal, regulatory, and f1nanc1al disclosure matter Granted ,n full 

'c, 

Information on JP MORGAN INVESTMENT MANAGEMENT JNC's NFA #233420 Granted in Full 

20-00001-FOIA 10/1/2019 Request for a current 11st of all CFTC Employees, ,n excel format, to include the following fields: Employee full Name, Grade, DIvIsIon, Office Location, Granted ,n Full 

Job Title, Occupation Description, and Salary I further request a copy of the position descriptions and qual1r.catIons for every ]Ob title from grades CT 11 

to CT 13, that fall w1thIn the following occupation class1fIcations· miscellaneous administration and program, future trading assistant, future trading 

10-00001-FOIA 1011/2019 On or around July 28, 2019, Brian Bussey, former Director, DIvIsIon of Clearing and Risk, sent an email to Tomeka Gilbert, Director, Business Granted/Denied in Part 

Management and Planning, the Office of the Executive Director, containing performance input for my 2018· 2019 performance assessment review. I am ,, 
20-00003-FOIA 10/2/2019 In connection with "In the Matter of GFUI Securities, LLC, CFTC Docket No. 19-49, all communIcatIons between GFI Securities, LLC {or its agents), on 

the one hand, with the CFTC, on the other hand, regarding any GFI broker allegedly engaging In one or more of the following activ1t1es· (1) "flying bids" 

Denied In Full 

20-00004-FOIA 10/4/2019 Regarding Energy & Derivatives Trading Seminar hosted by Sullivan & Cromwell LLP ("S&C') in Houston, Texas and /or New York, New York 1. A copy Granted In Full 

of any comments Mr McDonald delivered at the Seminars 2. A copy of any list of attendees at the Seminars (including their employers) that Mr. 

McDonald received prior to attending the Seminars. 3. A copy of any inv1tat1ons Mr, McDonald received to attend the Seminars, and any communications 

either 1nd1v1dual had with S&C regarding his attendance (1nclud1ng, 1f any of the communications were telephonic, a copy of the phone records 1d 

ent1fy1ng the number called and the duration of the call): and 4, Copies of communications between Mr, McDonald and S&C lawyrrs. S&C clients and 

other business representatives he met at the Seminars or subsequent to the Seminars (IncludIng, 1f any of the communIcatIons were telephonic a copy 

of the phone records 1dent1fy1ng the number called and the duration of the call) 

20-00005-FOIA 10/8/2019 A complete copy of any database(s) or electronic system{s) of records used to track Judgments or other penalties imposed by the CFTC during the past 

fifteen (15) years. This information would include, but is not lImIted to:~ The date of the penalty or judgment• The type of penalty or Judgment• The 

amount of the penalty or Judgment• The amount that was collected by the CFTC • The date on which the Judgment was referred to the Treasury 

Department • The current amount of the debt • Any case numbers associated With the penalty or Judgment 

Granted ,n Full 

20-00006-FOIA 10/8/2019 Requesting the entire file IncludIng but not limited to the following I All documents related to and forming the basis of In re FCStone, LLC, CFTC Docket Granted/Denied in Part 

No. 13-24 (CFTC filed May 29, 2013) (hereafter the "Order"); 2 All complaints riled for Docket No 13-24; 3. All documents forming the basis of Press 

Release 6594-13; 4, All information filed regarding FCStone, LLC with the Commission from 2006-2013, 5. All documents identifying the "Account 

Owners" described in the Order: 6. All documents ident1fy1ng the "FCStone Officers" described in the Order: 7. Submissions t,y FCStone, LLC to the 

CommIssIon related to and In compliance with the Order; 8, A copy of all determ1nat1ons, recommendations, and findings by "the Reviewer" submitted t 

the Commission as set forth in pp, 15-17 of the Order; 9, All not1/lcat1ons from fCStone, LLC provided to the Commission after May 29, 2013; 10. All 

notifications from the CommIssIon sent to FCStone, LLC after May 29, 2013; 11. Any and all evidence of payment by FCStone, LLC of the $1.5 million 

sanction as ordered by the CommIssIon; 12. All FCStone, LLC employee personnel records; 13. All correspondence between FCStone, LLC and the 

Comm1ss1on from 2009-2015; 14. All congressional correspondence 1nvolvIng or related to the Comm1ss1on's InvestIgatIon into FCStone, LLC; 15 All 

r.nanc1al reports provided by FCStone, LLC to the Commission from 2008-2013; 16. All fInanc1al surveillance and audit information provided by FCStone, 

LLC to the Comm1ss1on from 2008-2013: 17, Any and all investigatory records t,y the Commission related to FCStone, LLC in forming the opinions, 

factual allegations, and findings of the Order: 18. All documentation with the litigation files of the Commission related to FCStone, LLC: 19. Market 

Analysis Information; 20. Market Surveillance Files; 21. Procurement Contract Records; 22. RegIstratIon Applications; 23. Records Relating to 

20-00007-FOIA 10/11/2019 I request access to any and all ethics agreements filed by Chairman Heath Tarbert. That would include his original ethics agreement and any updates. 

'" '" 

Granted ,n Full 

20-00008-FOIA 10/17/2019 I want to know about my personal investments 1nformat1on please provide me details asap also want to receive investments return and able to sell 

'" 

Other Reasons - No records 

20-00009-FOIA 10/17/2019 A copy of each Admin1strat1ve Subpoena issued by the CFTC's Office of Jnspector General during the time period January 1, 2017 to present. You may Other Reasons - No records 

20-00010-FOIA 10/18/2019 '" 'fo 

Notice of claim request to provide proof of documentation for, I, (b)(6) on what the Federal Reserve has to do with the plagiarism of my 

writings for the use of others intellectual property w,t~in the nation and InternatIonally by 500 companies, radio, television and bank lending for local 

businesses to begin and thrive7 Please provide documentation on how muc~ Is the amount profited by the United States, and any other nation and for 

each business> Please provide documentation for the Social Security AdmInistratIon, to help show an increase for my Social Security DIsabIlIty, SSD 

Other Reasons - Not a proper FOJA 

request for some ot~er reason 

20-00011-FOIA 10/22/2019 A copy of the results of a search of emails TO or FROM or cc each of the following 1nd1v1duals: Daniel J. Davis and/or John EInstman, for emails 

containing the following keywords, during t~e time period January 1, 2019 to present: white, Trump, President, adm1n1strat1on, problem, problematic, 

concern, concerns, polItIcal, vIolatIon, referral, referred, pursue, DOJ, unethical, or proh1b1ted. I agree to the results of an electronic search of agency 

email. Please omit news clips or news compilations. (Date Range for Record Search: From 111/2019 To 10/22/2019) 

Granted/Denied in Patt 

20-00012-FOIA 10/22/2019 A copy of the report of InvestIgatIon into manipulation of petroleum markets and oil futures following the 14 September 2019 drone attack on the Saud, 

"' 

other Reasons • No records 

20-00001-FPA 10/23/2019 Requesting under FOIA(PA a copy of the records that you have about me l(b)/6) If you find responsive but non-releasable other Reasons • No records 

information, please cite the exemptions and amount and type of exempted materials. I also request that any segregable portions that are not exempt to 

20-00013-FOIA 10/24/2019 Beginning November 14, 2018 how many investors ,n Opt1onSellers.com lost money and what was the amount of investor money that was lost"' How 

much money, if any, did the clearing member INT FCstone refund to investors> Also, which members of the CFTC and CFTC staff were lobbied by 

'"" 

other Reasons • Not a proper FOIA 

request for some other reason 

20-00014-FOIA 10/25/2019 Requesting electronic copies of the following Precious Coins, Metals, oil, Annuities, utilities, and Agriculture. These fields are in commodities, I'm Other Reasons - Not a proper FOJA 

searching collector's coins value, the gold silver, cftc precious metals values, the oil t>arrell, crude, gas, etc. value, the agriculture value of cows, cattle, request for some other reason 

pigs, Bus~els of corn, etc. T~e regulations necessary documents to trade these commod1t1es, I would like any applIcatIons. I have no money to purchase 

20-00015-FOIA 10/28/2019 Request an electronic copy of a memo known informally at the CFTC as the "'food memo," from approximately 2016 or early 2017, under then-Chairman Denied In Full 

Massad's tenure. A provIsIon In the House 2019 CFTC Reauthorization Act includes a provision related to this memo, "Sec. 115: Authority to provide 

food and incidental assistance to foreign officials hosted by the Comm1ss1on, 'therefore prompt fulfillment of this request is In the public interest to 

provide greater clarity on the need for this leg1slat1ve language and change to the agency's statute. (Date Range for Record Search: From 1/1/2016 To 

20-00016-FOIA 11/4/2019 A copy of Appendix B to ICE Futures U.S., Inc.'s product cert1fIcation notice titled Listing of B1tco1n Daily Futures Contract-Cert1fIcation of New Product 

Pursuant to section 5c(c)( 1) of the Commodity Exchange Act and Regulation 40.2, Submission No. 19-160 file on May 13, 2019. (Date Range for Record 

Denied In Full 
20-00017-FOIA 8/22/2019 1. All documents and communIcatIons concerning the "bIndIng agreement" referenced ,n docket entry 302 of the case captioned U.S. C.F.T.C. V. Kraft 

Foods Group, Inc , 15-cv-2881 (N.D Ill) (the "Kraft Case") 2. All documents and communications concerning the "Consent Order" referenced in docket 

entries 309 and 310 of the Kraft Case 3 All documents and communicat,ons concern,ng the dec,s,on by the CFTC and/or any of ,ts staff, agents, and/or 

commissioners to approve the Consent Order 4. All documents and communications concerning the decision by the CFTC and/or any of its staff, agents, 

and/or commissioners to approve the Consent Order without findings of fact or conclusions of law 5. All documents and communications concerning the 

dec1s1on by the CFTC and/or any of its staff, agents, and/or commissioners to approve the provision In the Consent Order that states; "Neither party 

shall make any public statement about this case other than to refer to the terms of this settlement agreement or public documents filed In this case, 

except any party may take any lawful position ,n any legal proceeding, testimony, or by court order'" 6. All documents and communIcatIons concerning 

the preparation by the CFTC and/or any of its staff, agents, and/or commiss,oners of the press releases referenced ,n docket entry 319 of the Kraft Case 

7. All documents and commun,cat,ons concerning the decision by the CFTC and/or any of ,ts staff, agents, and/or commissioners to publish the press 

releases referenced ,n docket entry 319 of the Kraft case 8. All documents and communications concerning the decIsIon by the CFTC and/or any of ,ts 

Granted/Denied in Part 

20-00001-AP 11/5/2019 Appeal of FOIA Request Nos. 19-00130 and 20-00004. Completely Affirmed 

20-00018-FOIA 11/13/2019 NFA 7R and 8R Forms Granted in Full 

20-00019-FOIA 11/13/2019 Record of all communications between the CFTC and the clearing firm INT FCStone from November 14, 2018 to November 11, 2019. This requests all 

representatives as well as officers of INT FCStone For the CFTC It ,ncludes the f,ve Commissioners and the staff of the CFTC, with spec,al emphasis on 

Denied In Full 

20-00020-FOIA 11/18/2019 We are requesting for 1nformatIon pertaining to actIv1ty In the market in genera le Between April 2010 to April 2015, ,n the futures markets, ,n which 

contracts/securities and on which dates did CFTC obtain alerts of suspected or possible market man1pulat1on, through ,ts market surveillance system or 

otherwise> (To be clear, this Is not a request for the trading actIvIty relating to any individual or market participant, but merely a request for the market 

man1pulat1on alerts generated w1th1n CFTC for the market In general, irrespective of which market part1c1pant(s) triggered those alerts. We understand 

that alerts may not constitute actual market manipulation. We also understand that during this period alerts could have been triggered by a number of 

different market partIcIpants and therefore they do not reveal the IdentitIes or trading patterns of any specific IndIvIduals). (Date Range for Record 

other Reasons - No records 

20-00021-FOIA 11/18/2019 Electronic copies of all adm1nistrat1ve subpoenas issued t,y the [FTC Office of Jnspector General from January I, 2017, to the date at which this request 

'"' 

Other Reasons - No records 

20-00022-FOIA 11/20/2019 NFA Annual Registration update of Western Asset Management Company (NFA ID. 0203387) there are positive responses under Regulatory Disclosures 

. " 

Granted in Full 

20-00023-FOIA 11/21/2019 All application information of ATC Brokers, NFA JD· 035822 Granted/Oenied in Part 

20-00024-FOIA 11/21/2019 In response to a disclosure ,n Interactive Brokers· most recent 10-Q (pasted below), I am seeking to obtain records of correspondence between your 

department and Interactive Brokers or their counsel from the past three years. 10-Q D,sclosure We are subJect to regulatory oversight and e~amInatIon 

by numerous governmental and self-regulatory authorities and are currently prov1dIng information to certain of such authorities, ,nclud,ng FI NRA, the 

SEC, the CFTC and the United States Department of Justice, and cooperating w,th those authorities. We believe that the regulators are focused on 

compliance practices, 1nclud1ng ant, money laundering and Bank Secrecy Act practices, We periodically review these practices to make them more robus 

and to keep pace with changing regulatory standards, and we have been enhancing and augmenting our procedures and personnel in these areas over 

the past several years. The outcome of the examInatIons and InquIries currently ,n progress cannot be predicted. While we do not believe that the 

outcome of the current examInatIons and InquInes w,II have a materially adverse effect on our f1nanc1al results, the outcome of those examInatIons and 

Denied In Full 

20-00025-FOIA 11/25/2019 I am currently an employee of CFTC and working as a data analyst at a CT·13 position. I am requesting a Pos,tIon Description (PD) for a Data Analyst 

·'" '" " 

other Reasons • No records 

20-00026-FOIA 11/25/2019 I hereby request under the Freedom of Information Act and 17 C.F.R. Part 145 any records relating to any speaking role of a Commodity Futures 

Trading Commission representative at any event organized by a law firm listed In Exh1b1t A (sec attached /lie) from between July 1, 2013 and July 1, 

Granted ,n Full 

20-00027-FOIA 11/29/2019 All of the investors who contacted the CFTC after Opt1onSellers went under ,n the second week of November 2018 and the clearing company INT Denied In Full 

20-00028-FOIA 12/3/2019 For the period November 14, 2018 to November I, 2019 requesting the names of all persons who contacted the CFTC for assistance after Opt,onSellers 

went under. This is to include contact with clearing firm INT FCStone, and Laura Riso of the FBI, Department of Justice. (Date Range for Record Search: 

Denied In Full 

20-00029-FOIA 1214/2019 Any and all e-mail, text or other communIcatIons records between Kelly Loeffler of Intercontinental Continental Exchange that contain the word "Bakkt" 

and CFTC off,c,als, including CFTC commissioners or their staff, the CFTC chairman or his staff, staff in the Division of Swap Dealer and Intermediary 

Oversight and/or DIv,s,on of Market Ovecsight staff from Jan '· 2017 through the current date. (Date Range for Record Search, From 1/1/2017To 

Granted/Denied in Part 

20-00030-FOIA 12/6/2019 File requested: Thane Twiggs NFA ID: 0454518 Info Requested: SR form Granted/Denied in Part 

20-00031-FOIA 12/6/2019 Lawrence Fox's 8-R Report Granted in Full 

20-00032-FOIA 12/6/2019 All commun,cations from October 5, 2018 to the present between the United States Commodity Futures Trading Commission and Melanie E. Damian, 

"' (or Ms Damian's counsel at Damian & Valor, LLP) In connection with the enforcement action of Commodity Futures Trading Commission v. Timothy 

Joseph Atkinson, et al., Case No. 18-23992-CIV-MARTINEZ/AOR. (Date Range for Record Search, From 10/5/2018 To 12/6/2019) 

Den,ed ,n Full 
20-00033-FOIA 12/6/2019 L The complete InvestIgative testimony transcript of Timothy Atkinson taken on April 11, 2018 at the United States Securities and Exchange Jother Reasons· No records

Commission in File No. H0-13010-A. 2. The complete Investigat1ve testimony transcript of Timothy Atkinson taken on April 12, 2018 at the United 

States Securities and Exchange Comm1ss1on ,n File No. H0-13010-A 3 The complete invest1gat1ve testimony transcript of William Berry taken on 

October 2, 201 7 at the United States Securities and Exchange Commission In File No. HO- 13010-A. 4. The complete investigative testimony transcript of 

William Berry taken on May 14, 2018 at the United States Securities and Exchange Commission In File No. HO- 13010-A. 5. The complete investigative 

testimony transcript of w,II,am Berry taken on May 15, 2018 at the United States Securities and Exchange Commission ,n File No. H0-13010-A. 6. The 

complete InvestIgatIve testimony transcript of Shmuel Pollen taken on April 19, 2018 at the United States Securities and Exchange Commission In file 

No. H0-13010-A. 7. All other InvestIgative testimony transcripts taken at the United States Securities and Exchange CommIssIon ,n file No. H0-13010· 

A. 8, Any InvestinatIve testimony transcri ts taken at the United States Commodlt" Futures TradInn CommIssIon In File No. H0-13010-A. 

20-00034-FOIA 12/12/2019 Please provide a current organ1ZatIon chart showing [FTC staff under each CFTC Division or Office Director. ]n particular, we would like those under the Granted in Full 

20-00035-FOIA 12/12/2019 Case No. 1:18-cv-23992-JEM, specifically transcripts in exhibits 5 through 8 (pages 78 through 231) from docket entry 8-3, Denied in Full 

20-00036-FOIA 12/12/2019 All data and documents related to InvestIgatIons the CFTC has carried out in connection with the CFTC's June 25, 2019 Order Instituting Proceedings Denied In Full 

Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions, CFTC Docket No. 19-07 regarding 

Merrill Lynch Commodities, Inc. for the manIpulatIon of the price of Precious Metals futures contracts on the COM EX and NYMEX (Date Range for Record 

20-00037-FOIA 12/13/2019 The Florida Board of Bar Examiners InvestIgates the character and fitness of all applicants for admission to the Bar. The applicant listed (b)(6) 

reports being InvestIgated for InsIder trading and entering a settlement ,n relation to such on or about December 2015 {CFTC Docket no. 16-02). Please 

provide the following information and/or documentation related to such: The inItIal complaint ,n the matter; Any response submitted by the applicant; 

Records related to the applicant's re-payment of the rest1tut1on oblIgat1on to his former employer ($216,955.80 Judgment) and civil monetary penalty 

($100,000 Judgment), 1nclud1ng 1nformatIon/documentat1on of the outstanding balance(s) owed 1f not satisfied; Any other documents or information Iha 

might t>e helpful in evaluating the applicant's character and fitness to practice law. (Date Range for Record Search, From 12/1/2015 To 12/31/2015) 

Granted ,n Full 

20-00038-FOIA 12/13/2019 I would like the self-reported CRD numbers for each associated NFA ID. In other words, for the NFA members who self-report a CRD number, I would 

like those NFA numbers and the reported CRD. I would ideally like this information ,n a csv file, but I am willing to accept It in any format. I would like 

the 1nformat1on for each year from 2007 through the present. (Date Range for Record Search: From 111/2007 To 12/13/2019) 

Other Reasons - Not an agency record 

20-00039-FOIA 12/17/2019 Form 8-R outlines a FInancIal o,sclosure with the following 1nd1v1duals: Joshua Weintraub, Mark Neporent, Jeffrey Lomasky, Stephen Feinberg and Frank Granted ,n Full 

20-00040-FOIA 12/27/2019 ( 1) handwritten notes saved as PDF files which l kept as an employee of the CFTC, and (2) an Excel file which J created in as an employee of the CFTC 

which consisted of a 11st of nominees to serve as members of the Commission since ,ts creation and dates related to their progress of cons1derat1on by 

Other Reasons - Not an agency record 

20-00041-FOIA 12131/2019 Any and all documents reflecting James Cordier, Michael Gross, and Opt1onSellers (of Opt1onSellers.com) regIstratIon as a Commodity Trading Advisor Granted/Denied in Part 

20-00042-FOIA 1/2/2020 I am requesting information or records regarding daily futures option quotes. Specifically, Jam requesting the following variables on a daily basis for the Other Reasons - No records 

commodity futures options listed below:• Contract code with month and year• Daily Trade date• Expiration date• Strike Price• Settlement price• 

Volume• Open Interest• Corresponding Futures Contract Settlement Price For the following contracts: • CSOT -ozc (Corn) -ozc (Soybeans) ·OZW 

(Chicago Soft Red Winter Wheal) ·OZR (Rough Rice)• CME ·LE (Live Cattle) ·HE {Lean Hogs) GF (Feeder Cattle)• ICE ·CT (Cotton No. 2) {Date Range 

20-00001-CONS 113/2020 -3 unclassified documents -2 FBI documents regarding the CFTC Granted/Denied in Part 

20-00043-FOIA 1/6/2020 l) the expenses incurred t,y the Commission and 2) the person-hours expended by Comm1ss1on staff categorized by the associated GS-personnel 

numbers in the Commission's prosecution of the case Commodity Futures Trading Commission v, Jitesh Thakkar and Edge Financial Technologies, Inc. 

for the third and fourth quarters of the 2019 federal fiscal year. (Oate Range for Record Search: From 4/1/2019 To 9/30/2019) 

Granted in Full 

20-00044-FOIA 1/6/2020 I am requesting 1nformatIon or records regarding the following entities from January 1, 2012 to the present: 1 Opt1onMInt com 2 OptIonQueen com 3 

Opt1onKing,com 4, Optionprince.com 5. Advanced Option Capital Limited 6. Kensington Intellectual Property LTD 7. Erie Marketing 8. Next Wave 

Marketing 9. Welsh Jnvestment Glot>al JO. SpotOption 11 Panda Trading Systems 12. Hello Markets 13. Kannza 14, Zilmil, Jnc. 15. Digital Platinum 16. 

All In Publ1sh1ng 17. Credorax 18. Algocharge 19. FIbonatIx Limited 20. Processing.com 21. Grey Mountain 22. Mell1us 23. Grandstream Marketing 24. 

Denied In Full 

the customer segregated funds of Interactive Brokers, LLC pursuant to The Freedom of Information Act (FOIA), Title 5 of the United States Code, 

section 552. § J.1 0 Financial reports of futures commission merc;ha nts and introducing brokers, (d) Contents of financial reports. (1} Each Form J-FR 

hied pursuant to this§ 1.10 which Is not required to be certified by an independent public accountant must be completed ,n accordance with the 

InstructIons to the form and contain: (1) A statement of/lnanc1al cond1t1on as of the date for which the report Is made; (11) Statements of income (loss) 

and a statement of changes ,n ownership equity for the period between the date of the most recent statement of f1nanc1al condItIon filed with the 

CommIssIon and the date for which the report is made; (iii) A statement of changes in liabIlIties subordinated to claims of general creditors for the 

period between the date of the most recent statement of fInanc1al cond1tIon filed with the Commission and the date for which the report IS made; (Iv) A 

statement of the computation of the minimum capital requirements pursuant to§ 1.17 as of the date for which the report Is made, (v) For a futures 

commission merchant only, the statements of segregation requirements and funds in segregation for customers trading on U.S. commodity exchanges 

and for customers' dealer options accounts, the statement of secured amounts and funds held In separate accounts for 30.7 customers (as defined In § 

20-00045-FOIA 1/8/2020

30.1 ofth1s chapter) In accordance with§ 30.7 ofth1s chapter, and the statement of cleared swaps customer segregation requirements and funds In 

cleared swaps customer accounts under section 4d(f) of the Act as of the date for which the report is made; and (v1) In add1t1on to the 1nformat1on 

expressly required, such futher material 1nformat1on as may be necessary to make the required statements and schedules not misleading. {Date Range 

Other Reasons - No records 
20-00046-FOIA 118/2020 Requesting copies of the following records: L All documents and communIcatIons related to Docket Number 19-51, instituting proceedings against Aron 

SeIdenfeld. 2. All documents produced to the Commission or obtained by the Comm,ss,on In connection With ,ts Investigat1on related to Docket Number 

19-51 3 Transcripts of any testimony or interviews of Aron Seidenfeld, Harry Weber, Aron Feferkorn, or any other 1ndIv1duals who were interviewed or 

provided testimony ,n connection with the Commission's investigation of H.A.L, NY Holdings, Aron Se1denfeld, or BSD Assets LLC. 4. All Documents and 

communications related to Aron Se1denfeld. H.A.L. NY Holding LLC, BSD Assets LLC, or Harry Weber, 5. Documents and communications that identify 

the owners of H.A.L. NY Holdings and BSD Assets. 6. All Documents and communIcatIons related to BSD Assets LLC ("BSD"). I therefore request that I 

be provided with all non-exempt portions of any responsive document that are reasonably segregable, I further request that you describe In detail any 

documents or portions of documents that you withhold, and specify the statutory basis for your decision to withhold. (Date Range for Record Search: 

Granted/Denied in Part 

20-00047-FOIA 118/2020 Any and all communications involving a 1112/2010 meeting between CFTC staff and Jump Trading regarding dIsruptIve trading practices. {Date Range Granted/Denied in Part 

20-00048-FOIA 118/2020 Record of the date ,n which Interactive Brokers, LLC became a Futures CommIssIon Merchant and began accepting customer funds. Granted ,n Full 

20-00049-FOIA 1/14/2020 I would like genericized copies of the DSJO cyber threat alerts that were sent out on January 3, 2020 and January 9, 2020. According to press reports. 

"On January 3, 2020, the DIvisIon of Swap Dealer and Intermediary Oversight (DSIO) of the U.S. Commodity Futures Trading Commission (CFTC) issued 

two cyber threat alerts regarding the hacking of approximately one dozen cloud service providers" and "The CFTC clarified the scope of its requests In a 

supplement sent on Jan. 9, 2020." https://www.lexology.com/l1brary/deta1l.aspx"g=6f5e439c-c3cc-4f95·8479-c25a109d137c and 

https ://www.lexology.com/library/detail.aspx'g = 280aa 2a4- 714a-4de5-99e3- 5c7f8fdccb92. I would like copies of the original alerts and the clarification 

Granted in Full 

20-00050-FOIA 1114/2020 All record logs that record written correspondence, IncludIng letters, sent to and from members of Congress and the Commodity Futures Trading ., Granted ,n Full 

20-00051-FOIA 1115/2020 I'm requesting any emails, memoranda, communications or other documents, including but not lImIted to InvoIces or budget documents for the creation 

of the new CFTC logo The relevant period for requesting the documents should range from July 15, 2019 to January 13, 2020. Relevant accounts 

include (but are not limited to) communications between Chairman Heath Tarbert, h,s staff: Jaime Klima, Charles Thornton, Chelsea Pizzola, Melissa 

Benedict, Chanel Smith, Anna Rosenberg, the Office of Public Affairs, the CFTC's facilities or operations staff, and outside contractors or third parties, 

Granted/Denied in Part 

20-00052-FOIA 1/15/2020 All records of correspondence ,nclud,ng emails, e-mail attachments, text messages, and memos referencing "Robert Hunter B,den," "Hunter B,den," 

"Burisma," "Rosemont Seneca," "Christopher Heinz," "Devon Archer," or "Oldaker, B,den & Belair." (Date Range for Record Search From 1/1/2007 To 

other Reasons - No records 

20-00053-FOIA 1/16/2020 please produce copies in electronic form of all FOJA requests submitted to the CFTC by Journalists affiliated with The Washington Post, The Wall Street 

Journal, or The New York Times (to the extent the requesting Journalists' affil1at1on is ascertainable from the face of the FO!A request), (Date Range for .. 

Granted in Full 

20-00054-FOIA 1/22/2020 I,(b)/6) am requesting any correspondence, orders, subpoenas, depos1t1ons, on the record testimony and internal NFA/ CFTC notes and 

records that the CFTC or NFA currently posses regarding any audit, InvestigatIon or inquiry concerning (b)/6) (b)/6) or the time 

period June L 2010 through December 31, 2011. These documents, 1nclud1ng correspondence, may have been directed to or been between (bl/61 

/bl/61 (b)/6) /bl/61 (b)/6) and staff of the NFA or CFTC. (Date Range for 

Granted/Denied in Part 

20-00055-FOIA 1123/2020 Copy of the most recent BR for Sloane W. Payne Ill· NFA #271747 Denied In Full 

20-00056-FOIA 1/27/2020 All records, emails, attachements, text messages, data, and presentations that were sent to or received from the Secretary of the CFTC and Senator .,. , . Granted/Denied in Part 

20-00057-FOIA 1/27/2020 The date when the investigation into Qu1dd1ty, LLC was opened, The date when Mr, Donald Newell of Qu1dd1ty, LLC was contacted about the 

InvestIgatIon, prior to the IntervIews conducted by the CFTC of Mr, Newell In September and October 2011 Any and all correspondence, notices or other 

documents sent before August 23, 2012 to Qu1dd1ty, LLC regarding the InvestIgatIon (excluding the enforcement act1on/lawsu1t brought against him in 

federal court). A copy of any correspondence, memos, notes or other documents of, about, or related to the IntervIews conducted of Mr. Newell of 

QuIddIty, LLC ,n September 2011 and October 2011. An exact copy of the file maintained by CFTC regarding QuIddIty, LLC, including but not lImIted to 

,ts license, its act1vIties and any and all investIgat1ons and/or enforcement actions related to ,t The date when the ,nvest,gat,on into Mr Newell was 

opened. The date when Mr Newell was contacted about the InvestI9atIon, prior to the 1ntervIews conducted by the CFTC of Mr Newell ,n September and 

October 2011. Any and all correspondence, notices or other documents sent before August 23, 2012 to Mr. Newell regarding the 1nvestigat1on (excluding 

the enforcement action/lawsuit brought against him ,n federal court), A copy of any correspondence, memos, notes or other documents of, about, or 

related to the IntervIews conducted of Mr. Newell In 5entember 201 I and October 2011. I Date Ranne for Record Search: From 9111201 J To 8123120121 

Granted/Denied in Part 

20-00058-FOIA 1/29/2020 For the t,me period of January 1 1997 to June 9r 1999: All documents, notes, transcripts, agendas, memoranda, notices, or recordation of Commodity 

Futures Trading Commission's ("CFTC") Commissioners' votes related to the adoption of and correction to "Appendix A to Part 10-Commision Policy 

Relating to the Acceptance of Settlements in Admin1strat1ve and Civil Proceedings" ("Appendix Ato Part JO"), I For the tImg period of October 19. 1998 t 

June 9. 2000: All letters, correspondence, comments, communications, or documents received ,n response to the CFTC's adoption of and correction to 

Granted/Denied in Part 

20-00059-FOIA 1131/2020 I am requesting 1nformat1on or records regarding the testimony of Damien Bombell In relation to the CFTC vs Global Minerals and Metals, R. David 

Campbell, Carl Alm, Merrill Lynch & Co., Inc., Merrill Lynch International Inc., and Merrill Lynch Pierce Fenner and Smith (Brokers & Dealers) Limited ,n 

Connection with 1995 Manipulation and Attempted Man1pulat1on of the Copper Market; Global, Campbell, and Alm Charged ,n the AdmInistratIve 

Proceeding with Direct PartIcIpatIon ,n the Conduct; Merrill Lynch Entities Charged with AIdIng and Abetting. The three-year enquiry ruled ,n 1999. " 

Denied ,n Full 

20-00060-FOIA 1131/2020 I would like to request the documents obtained by the CFTC in connection with the consent decree issued by the CFTC ,n respect to Sumitomo Other Reasons - Request withdrawn 

20-00061-FOIA 1131/2020 This Is a request under the freedom of Information Act. I request that a copy of documents contaInIn9 the following 1nformat1on be provided to me: 

memoranda of understanding (MOUs) entered into by the CommodItIes Futures Trading CommIssIon and any other agency or bureau In the federal "' 

government {cabinet departments, independent agencies, offices ,n the e~ecut,ve office of the President, etc.) from as far back as records are kept until .. 

Granted/Denied in Part 
20-00062-FOIA 2/3/2020 I want all of the communIcatIons that you received In the second week of November 2018 from investors who lost money when Opt1onSellers went down

-~ Denied In Full 

20-00001-REF 213/2020 7 unclassified Documents which originated with the CFTC. Granted/Denied In Part 

20-00063-FOIA 2/3/2020 All Freedom of Jnformat1on Act Requests requesting records on the following 1nd1v1duals and organ1ZatIons, from January 1, 201 7 to present. Kelly 

Loeffler, Jeffrey Sprecher, Intercontinental Exchange, Inc./ICE, New York Stock Exchange/NYSE, Bakkt, LLC The CFTC freedom of Information Act 

Granted in Full 

20-00064-FOIA 213/2020 All Written Correspondence and emails between the CFTC and the following 1nd1v1duals from January 1, 2013 to present: 1. Kelly Loeffler, 2. Jeffrey 

Sprecher. All Emails sent or received by the CFTC containing the following terms from January 1, 2013 to present: Kelly Loeffler, Jeffrey Sprecher (Date .~-

Granted/Denied in Part 

20-00065-FOIA 2/5/2020 All records regarding the registrations of Liberty Trad1ng/Opt1onSellers {NFA No. 0292580) registration and status as an Introducing Broker (1999), 

Commodity Trading Advisor (2004), the withdrawal of the Commodity Trading Advisor (2005), registration as a Commodity Trading Advisor (2010), acO 

withdrawal of their lntroducIng Broker (2012), including all Forms 7R, SR, I-FR, Submission of Written Procedures and Pol1c1es, Past Performance 

Granted/Denied in Part 

20-00066-FOIA 216/2020 The 8 December 2018 7-R Form of Oaktrce Capital Management, LP (NFA ID:0297897) contains a "Yes" answer for a Regulatory Disclosure, Granted In Full 

20-00067-FOIA 2/6/2020 Copies of negotiations for contracts associated with the Augnst 20 l 9 approval of Ba kkt's launching of custody and physically-delivered daily and monthly 

bitcoin futures contracts.Jam further requesting copies of all penalties administered t,y the [FTC against Bakkt and/or ICE (Interc;ont1nental Exchange) 

Other Reasons - No records 

20-00068-FOIA 2/11/2020 Requesting information or records regarding all Law Firms (outside counsel) hired by the Department for the year 2020, including the name of every Other Reasons - No records 

20-00069-FOIA 2/11/2020 access to open interest and volume of future contracts for all single commodities listed data available (from 1970 to now) (Date Range for Record 

. " 

Other Reasons - Not a proper FOJA 

20-00070-FOIA 2/13/2020 All email communications (including email messages with complete email chains, email attachments, calendar 1nvilat1ons, and calendar Inv1tation 

attachments) sent t,y any of the officials specified in Column A, t>elow, to any of the external individuals or entities specified In Column B, below, 

regarding regulation of nonbank financial companies. Column A: CFTC Officials J. Heath Tarbert, Chairman and Chief Executive, and anyone 

communIcatIng on his behalf, such as an executive or special assistant, or scheduler 2. Christopher Giancarlo, former Chairman and Chief Executive, and 

anyone communicating on his behalf, such as an executive or special assistant, or scheduler 3. Bnan QuIntenz, Commissioner, and anyone 

communicating on his behalf, such as an executive or special assistant, or scheduler 4. Rostin Benham, CommIssIoner, and anyone communicating on 

his behalf, such as an executive or special assistant, or scheduler 5. Dawn DeBerry Stump, CommIssIoner, and anyone communIcatIng on her behalf, 

such as an executive or special assistant, or scheduler 6. Dan Berkovitz, Comm1ssIoner, and anyone communIcatIng on his behalf, such as an executive 

or special assistant, or scheduler 7 James McDonald, Director, Div1s1on of Enforcement 8. Bruce Tuckman, Chief Economist 9 Dorothy DeWitt, Director, 

D1v1s1on of Market Oversight 10. Anyone serving in the role of White House L1a1son or White House Advisor, including anyone In an acting capacity 

Column B. External Entities J. Prudential Financial, induding t>ut not limited to anyone communicating with an email address ending1n@prudential.com 

2. American International Group, 1nclud1ng but not lImIted to anyone communIcatIng with an email address ending 1n@a1g.com 3. MetLife, 1nclud1ng but 

not l1m1tcd to anyone communIcatIng with an email address ending 1n@metl1fc.com 4. GE Capital, 1nclud1ng but not lImIted to anyone communIcatIng 

with an email address ending 1n@gecapital.com 5. Invariant, 1nclud1ng but not limited to anyone communIcatIng with an email address ending in 

@1nvarianlgr.com 6 Cypress Advocacy, including but not l1mIted to anyone communIcatIng with an email address ending In @cypressgroupdc com 7. 

Williams Group, IncludIng but not limited to anyone communIcatIng with an email address ending 1n@·lhewill1amsgroupdc.com 8 Baker & Hostetler, 

including t>ut not limited to anyone communicating with an email address ending 1n@bakerlaw.com 9. Ballard Partners, including but not l1m1ted to 

anyone communicating with an email address ending in@t>allardfl.com and@t>allardpartners.com 10. Porterfield, Fettig, & Sears, including t>ut not 

l1m1ted to anyone communicating with an email address ending 1n@pfs-dc.com American Oversight requests that CFTC, at a mInImum, employ these 

search terms to 1dent1fy responsive records: I. "nonbank" 2. "shadow bank" 3. "systemically important f1nanc1al 1nst1tut1on" 4. SIFI 5. "F1nanc1al Stab1l1ty 

'< ,, 0 " "n , "rn , "' 

other Reasons - No records 

20-00071-FOIA 2/18/2020 Please advise all Regulatory Agencies and contact 1nformat1on. They were incorporated In Delaware. Their office Is In Texas. 23970 Highway 59 North 

Kingwood, TX 77339 United States PHONE 1·866·722-8500 WEBSITE www.ascent1umcapital.com AscentIum Capital LLC is a finance consulting 

company. The Company offers d1vers1f1ed finance solutions through their finance platform, to help companies acquire industrial equipment, franchise 

assets, office equipment, software, specially vehicles, technology and other resources SECTOR Financials INDUSTRY Specially Finance SUB-JNDUSTRY 

Commercial Finance FOUNDED 05/17/2011 ADDRESS 23970 Highway 59 North Kingwood, TX 77339 United States PHONE 1-866-722-8500 WEBSITE 

Other Reasons - Not a proper FOIA 

request for some other reason 

20-00072-FOIA 2/18/2020 • All electronic, paper and any other communications between Commodity Futures Trading Comm1ss1on Chairman Heath P Tarbert, former CFTC 

Chairman J_ Christopher Giancarlo, chief of Staff Jaime L. Klima, Counselor to the Chairman N. Charles Thornton 111, Senior Counsel Matthew, Da1gler 

and Secretary of the Commission Christopher Kirkpatrick AND the following representatives and former representatives of International Exchange Jnc. 

(ICE): ICE CEO and New York Stock Exchange Chairman Jeffrey Sprecher, former ICE and BAK KT executive Kelly Lynn Loeffler, Assistant General 

Counsel Kara Dutta and senior director Kurt W1ndeler (sec time frame below). • All electronic, paper and any other communications between the 

previously named CFTC off1c1als and any other representative of Internat1onal Exchange Inc., BAKKT, the New York Stock Exchange and ICE Clear U.S . . The above request is modified by the following applicable search terms: "derivatives clearing organization"; DCO; swaps; "recovery and resolution"; 

""burden estimate" "pre-trade risk" "posIt1on limit" "substantial risk" bitcoIn; BAKKT; Trump; Mnuch1n, Kushner; and Parscales • Additionally, I am 

requesting any calendar entries, meeting agendas, sign-in sheets and meeting notes for all meetings t>etween the previously cited CFTC officials and 

renresentatIves of ICE.• The time frame for the above renuests is Januar" 21 2017 to the nresent. 1Date Ranne for Record Search, From 1121 2017 To 

Granted/Denied in Part 

20-00073-FOIA 2/19/2020 Off1c1al congressional correspondence from U.S. Senator Bernie Sanders from 2017 through 2019, as well as the agency's responses to such .., "" 

Granted In Full 

20-00074-FOIA 2/25/2020 Financial Data for FCMs or sImIlary styled reports for the following years: Semi Annual Reports for Mar and Sep 1995, Mar 1996, Sep 1999, Mar 2000, 

and Sep 2000 and Quarterly-Ending reports from Dec 2000 to Mar 2002 These reports were stated to be used In a paper titled "Futures Comm1ss1on 

Merchants, Customer Funds and Capital Requirements· An Organizational Analysis of the Futures Industry" dated January 29, 2019 by Ekaterina E. 

Granted In Full 
20-00075-FOIA 2/26/2020 1998-2002 Interactive Brokers Monthly Segregated and Secured Funds Data. (Date Range for Record Search: From 1/1/1998 To 12/31/2002) Dther Reasons • No records 

20-00076-FOIA 

20-00077-FOIA 

2/26/2020 

3/3/2020 

I request a digital or electronic copy of documents containing the following information be provided to me: Every employee of the U.S. Commodity 

Futures Trading CommIssIon currently detailed to the United States Senate. Specifically, please provide the first and last name, title, and office for each 

" 

Any and all correspondence between your agency and U.S. Senator Kelly Loeffler or the Office of Sen. Kelly Loeffler between December 4, 2019 -

February 14, 2020, 1nclud1ng but not limited to electronic correspondence with accounts with the following domain name: loeffler.senate.gov. Direct 

correspondence should include letters, emails, reports, and other relevant material. I am not seeking any secondary material such as phone logs, 

Granted in Full 

Dther Reasons • No records 

20-00078-FOIA 313/2020 Listing of Inspector General InvcstIgatIons closed during Calendar Year 20 18 and 20 1 9, ( Date Range for Record Search: From 111/20 18 To 12131/20 19) Granted ,n Full 

20-00079-FOIA 3/9/2020 Any and all files, records, documents, or other things of any kind whatsoever, 1ndud1ng but not limited to electronically stored information, related or 

pertaining In any way to the consideration, planning, establishment, creation, operation, management, staffing, duties, Jurisd1ct1on, purpose 

Denied in Full 

20-00080-FOIA 3/9/2020 I am requesting 1nformat1on on the number of employees furloughed ,n the Commodity futures Trading Commission during the 2013 and 2018 2019 

government shutdown. I am collecting agency furlough ratios, which is the number of employees furloughed d1v1ded by the total number of employees 

on board at the event. Thus, I request both the furlough numbers and the total number of employees on board. Thus, I request both the furlough 

numbers and the total number of employees on board (Date Range for Record Search From 1/1/2013 To 12/31/2019) 

Granted ,n Full 

20-00081-FOIA 3/10/2020 Commodity Trading, silver cert1f1cat1on & appraisals. Any information pertinent to the request, in a PDF. Other Reasons • Not a proper FOIA 

20-00002-REF 3/10/2020 U.S. Department of Justice Referral for (b)(6) Granted ,n Full 

20-00082-FOIA 

20-00083-FOIA 

3/10/2020 

3/11/2020 

I am requesting information or records regarding a complaint made by 1ndiv1dual /h1/R1 on or around January 8, 2019, including any dec1s1on Granted/Denied in Part 

, h" · •< (bl/6) 

(1) Suspicious actIvIty reports ot>tained by the CFTC from any of the exchanges, trading venues, or market participants (including traders and Other Reasons - No records 

brokers/dealers) that have filed such reports with the CFTC. lf filtering these reports by the nature of the suspicious activity is feasit>le, it would be 

suff1c1ent to provide only those reports that concern "layering" "spoofing", or "man1pulat1on' . It is also sufficient to provide the 1nformat1on In 

anonymiscd form with any 1nformat1on that 1dent1f1es spec1f1c people being removed or concealed, (Date Range for Record Search: from 1/112013 To 

20-00084-FOIA 3/11/2020 The CFTC recently completed a c1v1I action ("the case") as plaintiff against J1ongsheng Zhao as defendant (CIVIL ACTION NO. 1: 18-cv-00620). Request 

the following 1nformat1on: (1) The 11st of dates and contracts on which the 3,100 alleged spoof orders were entered, For example, the complaint provides 

some of the dates/contracts: (a) ES contract June Delivery (ESM3) on April 15, 2013, (b) ES contract March Delivery (ESH4) on March 5, 2014, etc. We 

Denied ,n Full 

20-00085-FOIA 3/12/2020 Correspondences between the Commodity Futures Trading Commission and members of Congress and their offices 1) The name of the member of Granted ,n Full 

Congress who contacted the Commodity Futures Trading Commission 2) The date the Commodity Futures Trading Commission was contacted 3) The 

subject of the inquiry, (1,e, What did kind of information did the member request? Or what was the correspondence about?) 4) When (and if) the request 

20-00086-FOIA 3/12/2020 Please provide copies of all materials relating to past or current investIgat1ons relating to lnteractive Brokers' violations of Bank Secrecy Act and/or any Den,ed ,n Full 

20-00087-FOIA 3/13/2020 Any and all 1nformat1on related to CFTC Docket No. 16-29 (In the Matter of Advantage Futures, LLC, Joseph Guinan, and w,II,am Steele), including but other Reasons· Request withdrawn 

20-00088-FOIA 3/17/2020 Please submit to me the total amounts that investors and/or their attorneys submitted a claim for. Also explain how this case Is different from the 2013 Other Reasons - No records 

case where INT FCStone was fined $1.5 mIllIon and forced to assume $127 millions ,n losses. Please provide me with information 1dent1fying any lawyers 

20-00089-FOIA 3/17/2020 An electronic copy (e.g. pdfs on a CD-ROM or v,a email) of a complete 11st of the CFTCs DIvIsIon of Clearing and Risk; CFTC's Division of Enforcement; 

CFTCs D,v,s,on of Market Oversight; and CFTC's Office of Swap Dealer and Intermediary Oversight staff members who have departed s,nce March 1, 

2014, this being the earliest possit>le date for which Freedom of Jnformat1on Act law permits a request. The Revolving Door Project seeks all responsive 

records regardless of format, medium, or physical cha racterist1cs, In conducting your search, please understand the terms "record," "document," and 

"1nformat1on" In their broadest sense, to include any written, typed, recorded, graphic, printed, or audio material of any kind. To ensure that this reques 

Is properly construed, that searches arc conducted In an adequate but cff1c1cnt manner, and that extraneous costs arc not incurred, the Revolving Door 

Project welcomes an opportunity to discuss ,ts request with you before you undertake your search or incur search or duplication costs 

Granted ,n Full 

20-00090-FOIA 3/19/2020 (1) Expert reports of Terrence Hendershott (CFTC v. Nav Sarao Futures Limited Pie and Nav1nder Singh Sarao), as Terrence Hendershott stated In his CV 

to have been retained by CFTC to opine on spoofing allegations In the futures market. He filed a declaration In 2015. It Is also sufficient to provide the 

Other Reasons - Public Records 

20-00091-FOIA 3/23/2020 A copy of each Management Advisory, Management Advisory Memorandum, and Management Advisory Report produced by the CFTC Office of Inspector Granted/Denied in Part 

General s,nce January 1, 2017. A printout of the listing of Management Advisories, Management Advisory Memoranda, and Management Advisory 
20-00092-FOIA 3/23/2020 1. All demands, subpoenas, or other requests from You for Documents sent to Volatility Impacted Instrument market participants ,n relation to the VIX 

Event (the "RFls") 2 All Documents that have been produced by Volatility Impacted Instrument market part1c1pants to You, regardless of date, In 

connection with any RF! or 1nvest1gation conducted by the CFTC In relation to the VIX Event 3 All Documents relating to the CFTC's records of trading 

halts or "circuit breakers" in any Volatility Impacted Instrument. 4. All Documents produced by You In connection to any RF] or investigation by You of 

the VIX Event; including all Documents that reflect Communications t>etween You and RF] recIpIents. 5. All Documents sufficient to identify any entities 

whose posItIons In Volat1l1ty Impacted Instruments triggered surveillance by CFTC's Market Survc1llanccl personnel, for the dates from January 29, 2018 

to February 13, 2018; as well as all Documents showing the bases for the surveillance, the Documents collated and produced by You In conducting such 

surveillance, and the outcome and/or resolution of any such inquiry. 6. All "Large Trader" reports, filed with the CFTC pursuant to 17 C.F.R. §17.00 et 

sec , concerning transactions ,n Volat1l1ty Impacted Instruments, for the dates from January 29, 2018 to February 13, 2018. 7. All Documents that 

reflect CFTC aggregations of the Large Trader reports referenced in Request No e 8 All "Trader In Financial Futures" reports created by You, relating to 

any Volatility Impacted Instruments, for the dates of January 30, February 6, and February 13, 2018. 9 All Documents that reflect Communications 

between You and any other Governmental Entity and/or FINRA, In connection to any 1nvest1gation by that other Governmental Entity into the VJX Event. 

JO. All Documents that reflect Communications between You and the CME and/or Cboe in relation to the VIX Event. 11. All Documents relating to 

complaints directed to You, or of which You arc aware, made by any person or entity relating to the VIX Event; as well as all Documents showing the 

bases for the InquIrics, the Documents collected by You ,n responding to the InquIrics, and the outcome and/or the resolution of any such InquIrics. 

Denied In Full 

20-00093-FOIA 3/23/2020 1. Documents analyzing, cxamInIng, or concerning the sale of precious metals on a leveraged, margined, or financed basis to retail investors by Goldl1nc 

or any of its agents, partners or related entItIes, 2. Documents analyzing, cxamInIng, or concerning the sale of precious metals on a leveraged, 

margined, or financed basis to retail investors by A-Mark Precious Metals or any of its agents, partners or related entItIes. 3. Documents regarding, 

related to, or concerning any InvestIgation into GoldlIne's sale of precious metals on a leveraged, margined, or financed basis to retail investors. 4. 

Documents regarding, related to, or concerning any investIgat1on into A-Mark Precious Metals' sale of precious metals on a leveraged, margined. or 

financed basis to retail investors. 5. Customer complaints regarding, related to, or concerning GoldlIne, from between January 1, 2015 and the present 

6. Customer complaints regarding, related to. or concerning A-Mark Precious Metals, from between January L 2015 and the present. 

Denied ,n Full 

20-00094-FOIA 3/23/2020 I'm a reporter at Cra1n's Chicago Business I am requesting any communication between the CFTC and CME Group regarding the auction of Ronin Granted/Denied in Part 

20-00095-FOIA 3/27/2020 Ir 1: All calendars or calendar entries for Sharon Bowen, 1nclud1ng any calendars maIntaIned on his behalf (e.g., by an admInistratIve assistant), from 

June 9, 2014 through September 29, 2017 Revolving Door Project requests that the calendars be produced in a format that includes all InvItees, any 

notes, and all Attachments Please do not limit your search to Outlook calendars. We request the production of any document-paper or electronic, 

whether on government-issued or personal devices-used to track or coordinate how Bowen allocated her time on agency business, "2 All records 

concerning the 1dcnt1t1cs of all non-Commodity futures Trading CommIssIon employees who entered the CFTC's Washington, DC headquarters to meet 

with Sharon Bowen between March 26, 2014 and September 29, 2017. These records arc sometimes referred to as vIsItor logs. #3: All records 

reflecting communications, 1nclud1ng emails, email attachments, te~t messages, messages on messaging platforms (such as Slack, GChat or Google 

Hangouts, Lyne, Skype, or WhatsApp), telephone call logs, calendar invitations, calendar entries, meeting notices, meeting agendas, informational 

material, draft leg1slat1on, talking points, any handwritten or electronic notes taken during any oral communications, summaries of any oral 

communications, or other materials between Sharon Bowen and any employee of the firm The Intercontinental Exchange (@theIce com) between the ,. '" 

Granted/Denied in Part 

20-00096-FOIA 3/27/2020 " All calendars or calendar entries for Steven Adamske, including any calendars maintained on his t>ehalf (e.g , t,y an administrative assistant), from 

May 9, 2011 through October 31, 2017. Revolving Door ProJcct requests that the calendars be produced in a format that includes all InvItecs, any notes, 

and all Attachments. Please do not l1m1t your search to Outlook calendars, We request the production of any document-paper or electronic, whether on 

government-issued or personal devices-used to track or coordinate how Adamske allocated his time on agency business. t2. All records reflecting 

communications, 1nclud1ng emails, email attachments, te~t messages, messages on messaging platforms (such as Slack, GChat or Google Hangouts, 

Lyne, Skype, or WhatsApp), telephone call logs, calendar inv1tatIons, calendar entries, meeting notices, meeting agendas, 1nformatIonal material, draft 

legislation, talking points, any handwritten or electronic notes taken during any oral communIcatIons, summaries of any oral communications, or other 

materials t>etween Steven Adamske and any employee of the Futures Industry Association (@f1a.org) between the dates May 9, 2011 and October 31, 

201 7. ,,3_ All records concerning the identities of all non-Commodity Futures Trading Commission employees who entered the CFTC's Washington, DC 

hcad~uarters to meet with Steven Adamske between Mav 9 2011 and October 31 2017, These records arc sometimes referred to as vIsItor Ions, 

Granted/Denied in Part 

20-00097-FOIA 3/27/2020 " All calendars or calendar entries for Aitan Goelman, including any calendars maintained on his t>ehalf (e.g , t,y an administrative assistant), from 

June 10, 2014 through February 3, 2017, Revolving Door ProJect requests that the calendars be produced in a format that includes all invitees, any 

notes, and all Attachments. Please do not l1m1t your search to Outlook calendars. We request the production of any document-paper or electronic, 

whether on government-issued or personal devices-used to track or coordinate how Goel man allocated his time on agency business, #2. All records 

reflecting communications, 1nclud1ng emails, email attachments, te~t messages, messages on messaging platforms (such as Slack, GChat or Google 

Hangouts, Lyne, Skype, or WhatsApp), telephone call logs, calendar invitations, calendar entries, meeting notices, meeting agendas, informational 

material, draft leg1slat1on, talking points, any handwritten or electronic notes taken during any oral communications, summaries of any oral 

communications, or other materials between AItan Goelman and any of employee of the firm Zuckerman Spaeder LLP (@zuckerman com) between the 

dates June JO, 2014 and February 3, 2017. ,,3_ All records concerning the ident1t1es of all non-Commodity Futures Trading Commission employees who 

entered the CFTC's Washington, DC headquarters to meet with Ai tan Goelman between March 26, 2014 and Fet>ruary 3, 201 7. These records are 

Granted/Denied in Part 

20-00098-FOIA 3130/2020 A list of all IP addresses that visited: https://www.cftc.gov/s1tcs/dcfault/f1lcs/1dc/groups/publ1c/@forms/documcnts/f1lc/cftcform204,pdf over the past 

month. Please obfuscate the fourth octet of the IP addresses ,n order to preserve the privacy of the users (ex: 191.98.244.XXX). My requested records 

' 

Other Reasons - No records 
20-00099-FOIA 3/30/2020 I am requesting 1nformat1on or records regarding Exhibit B of ICE Futures U.S. Inc's Submission to the CFTC titled Submission No. 19-49 dated January 

28, 2019. ln particular I am requesting the 1nformatIon on Exhibit B that pertains to "Califom1a Carbon Allowance Current Auction Clearing Price" 

Denied In Full 

20-00100-FOIA 3/31/2020 Please provide copies of the requests from market partIcIpants referenced In the no-action letters numbered 20-02 through to 20-12 inclusive. (Date 

"' 

other Reasons - Public Records 

20-00002-AP 4/9/2020 I respectfully request recons1derat1on of this decIs1on and further review as to whether each and every one of the 5.000 responsive pages IS exempt 

,c 

Completely Reversed/Remanded 

20-00101-FOIA 4/10/2020 A list of all current Commodity Futures Trading Commission appointees, 1nclud1ng the following: • Career Senior Executive Service,• Non-Career Senior 

Executive Service, and• Schedule C appointees Specifically, please provide the first and last name, title, and office for each appointee/career off1c1al. 

Granted In Full 

20-00102-FOIA 4/10/2020 I hereby request a copy of the CTFC no-action letter 20-10 (issued March 20, 2020) describes receiving a request "from an insured depository ,. -,, 

other Reasons - Public Records 

20-00103-FOIA 4/13/2020 Copies of subpoenas that name any of the following people, companies or organizations: 1) Arthur Hayes 2) HOR Global Trading L1m1ted 3) B1nance 

Holdings L1mIted 4) Co1nMarketCap DpCo, LLC 5) bit Flyer, Inc 6) ByBIt 7) Bequant Exchange Lid 8) FTX Trading LTD 9) Huob1 Group 10) OKeX (Date 

'" 

Denied In Full 

20-00104-FOIA 4/13/2020 I hereby request the following records, Any emails, memos, powerpoint decks regarding the acquisition of CoinMarketCap (https,//co1nmarketcap.com/} Other Reasons - No records 

20-00105-FOIA 4/14/2020 Transactions made on the New York Harbor RBOB Gasoline Front Month Futures where one of the following entIt1es was a counterparty· ExxonMobil 

Ref1nIng & Supply Co: Exxon Mobil Corporation. Alon U.S.A. Energy, lnc, BP West Coast Products LLC; Chevron U.S.A Inc.; EquIlon Enterprises LLC 

(d/b/a Shell Oil Products US) Phillips 66, Tesoro Refining & Marketing Company LLC; and Valero Marketing and Supply Company.Jam also asking for 

any communications with the above-listed entities related to CFTC Rule I .3S(a). This includes any communications where an exemption to Rule I .35(a) 

other Reasons - No records 

20-00106-FOIA 4/20/2020 The total amount lost when OptionSellers went under in November 2018 Denied in Full 

20-00107-FOIA 

20-00108-FOIA 

4/29/2020 

5/1/2020 

Please provide any and all correspondence between CFTC officials and the administrators of the USO Fund ETF, or the commodity pool operator making 

investments on behalf of the fund, related to the USO's holdings or positions In WT! futures contracts during the period of March 15, 2020 through April ,, Please provide the following information for federal employees at your agency for calendar years 2016, 2017, 2018 and 2019. A, Agency name B. 

Employee name (or unique identifier) C. Job title D. Supervisory status E. Occupational series F. Pay grade G. Step (or equivalent) H. GS level 

equivalent I. Agency d1vis1on/ department J, Agency subd1vis1on or office K. Duty station location (locality group) L. Locality or geographic rate M. Base 

salary N, Base and locality (total salary) 0. Amount of bonuses awarded to the employee In that calendar year P. Number of years In federal service Q, 

Number of years at current agency R. Number of years In current grade S. Whether the employee has a commIssIon recognized by the Agency 

Denied In Full 

Granted in Full 

20-00109-FOIA 5/4/2020 Copies of any subpoenas regarding to the takeover of CoinMarketCap {CoinMarketCap opco, LLC) by BInance (April 2020). Any internal documents 

relating to concerns the CFTC has regarding the acquIsItion of co1nMarketcap by BInance (March-April 2020). Copies of any communications sent to 

other Reasons • No records 

20-00110-FOIA 5/6/2020 Since July 2013 began, have foreign central banks and their financial 1ntermed1ar1es take part in the CBIP program> (Y/N) Which specIfIc central banks other Reasons - Not a proper FOJA 

or central bank financial intermediaries trading on their behalf have taken part in the program? (all Names Please} ]n which specific COM EX, NYMEX, and request for some other reason 

CBOT markets have they been, and are they trading currently in? (e.g. interest rates, specific FX cross rates, Gold, etc.) ]n what markets in what 

20-00111-FOIA 517/2020 Contract Number: GS35F502AA·CFODT15D00210 Federal Contract Vehicle: Information Technology Schedule 70 (IT· 70) Dollars Obligated: 361353.32 

Funding Agency: Commodity Futures Trading commIssIon Awarding Agency: Commodity Futures Trading Commission Awarded Vendor: Actionable 

Intelligence Technologies, lnc Award Date· 2015-08-20T00:00·00-04·00 NAICS category: 511210 - Software Publishers PSC category· 7030 -

Information Technology Software DescrIpt1on: COMPREHENSIVE FINANCIAL INVESTIGATIVE SOLUTION (CFIS)ACCESS AND SUPPORT Place of 

Granted In Full 

20-00112-FOIA 

20-00113-FOIA 

5/11/2020 

5/11/2020 

I am requesting documents and information related to ( I) the National Futures AssocIatIon's ("NFA") investIgat1on of (b)/6) 

/bl/61 

The agreements and any documents related to the agreements for the following cases: CFTC Dkt No. 18-R003, CFTC 0kt. No or •~- •~- •• •o_ 18· R025, CFTC Dkt No 

other Reasons - No records 

Granted/Denied in Part 

20-00114-FOIA 5/12/2020 January 1, 2009 to the present (May 12, 2020). Content: I request (a) any non-public communications between CFTC staff and ISDA {the International 

Swaps and Derivatives Assoc1at1on) regarding the creation of the credit default swap auction process; (b) any non-public reports or assessments by 

CFTC staff regarding the credit default swap auction process; and (c) any complaints received by the CFTC pertaining to the credit default swap auction 

Granted/Denied in Part 

20-00115-FOIA 5/13/2020 Information on Effex Capital, LLC and John Adam HarcovItz DIttamI Other Reasons - Not a proper FOIA 

20-00116-FOIA 5114/2020 I am requesting 1nformat1on or records regarding the US federal InvestIgatIon into manIpulatIon of cryptocurrency commodity prices which was 

conducted by the Commodity futures Trading Commission following rapid rise and crash of value for BItcoIn and other cryptocurrencIes In the latter part 

of 2017 to mid-2018. All information which was obtained from the future exchanges investigated would be most appropriate. The known exchanges In 

question are BItstamp, CoInbase, itBIt, and Kraken, but if any other exchanges or marketplaces which encompass BitcoIn or cryptocurrencIes are 

available, please include these as well Please provide all data In spreadsheet form for all cryptocurrencies per each exchange. Of particular interest are 

quantity, frequency, volume, and price of all trades, along With frequency of withdrawals and deposits out of each exchange, for a period of 180 days 

before and 90 days following 18 December 2017 (Date Range for Record Search: From 6/20/2017 To 3/20/2018) 

Denied in Full 

5/18/2020 Communications, correspondence, emails, letters, communiques, memoranda, meeting minutes and/or notes, and/ or any other documents between th, Granted/Denied in Part 

CFTC and the CME Group, Inc. and between the CFTC and the New York Mercantile Exchange ("NYMEX") and between the CFTC and any and all 

subsidiaries of CME Group, Inc. and/or NYMEX for the period of time between April 17, 2020 and April 23, 2020 specifically regarding the trade of WT! 

20-00117-FOIA 
20-00003-REF 5/20/2020 All copies of referrals and dispositions of the referrals made to the Department of Justice of potential violations of conflict of interest statutes (18 U.S.C. 

203,205,207, 208, 209), failure to file or filing false public financial disclosures (5 U.S.C. app section 104 or 108 U.S.C section 1001), a civil matter 

Involv1ng outside earned income under 5 USC. app. Section 501, or outside activities under 5 U.S.C '"" section 502, since Jan. 20, 2017 These 

copies of referrals and d1spos1tions of referrals are submitted to OGE using OGE Form 202, as required by 5 C.F.R, 2638.206(a), 

Granted/Denied in Part 

20-00118-FOIA 5/21/2020 A copy of the following record(s)· An electronic copy of any and all active employees' salaries ( fiscal or calendar) 2020 broken down by employee, '" lectronic format and emailed. Each active employee record should contain: Employee Name, Service Computation Date, Agency, Agency Sub-element, 

Duty Station, Occupation, Pay Plan, Grade, Step, Adjusted 8as1c Pay, Bargaining Unit Code, Work Schedule, City, State, County, Personnel Office ID, 

Granted In Full 

20-00119-FOIA 5/22/2020 I would require monthly option prices data on calls and puts for the S&P 500. (Date Range for Record Search: From 1/1/1996 To 3/31/2020) Other Reasons • Public Records 

20-00120-FOIA 5/26/2020 A copy of the final report or report of investigation (ROI} for each SUBSTANTIATED (FTC Office of Inspector General investigation closed during 

'""' 

Granted/Denied in Part 

20-00121-FOIA 5/26/2020 A copy of the Questions For the Record (QFR) and agency QFR responses to Congress responding to QFRs during calendar years 2017, 2018, 2019 and Granted in Full 

20-00122-FOIA 5/26/2020 A copy of the meeting minutes from the 13th and 14th meetings of the Market Risk Advisory Committee. A copy of the meeting minutes from the most 

recent three meetings of the Global Markets Advisory Committee. A copy of the meeting minutes from the most recent meeting of the Technology 

Granted/Denied in Part 

20-00123-FOIA 5/26/2020 Please, provide me with any and all non-public records compiled in invest1gat1ons and consumer complaints against North American Derivatives 

Exchange, Inc ('NADEX', NFA ID 0340344) for the period of 07/21/2010-05/25/2020. (Date Range for Record Search: From 7/21/2010 To 5/25/2020) 

Granted/Denied in Part 

20-00124-FOIA 5/27/2020 am requesting a data summary of Commodity Futures Trading CommIssIon direct leased real property inventory. I request that this 1nformat1on be 

provided In database file format such as Microsoft Excel (.xis) or Comma Separated Values (.CSV). Please include the following data fields: Location 

Code Lease Effective Date Property Name Lease Expiration Date Property Address Current Annual Rent Property City Renewal Options Property State 

Renewal Notice Date Property Zip Code Renewal Option Type Property Rentable SF Owner Contact Name Property Usable SF Owner Address Lease 

Number Owner City Agency Name Owner State Agency Rentable SF Owner Zip Agency Usable SF Owner Phone Number Lease Type (Office, Storage, 

other Reasons • Public Records 

20-00125-FOIA 5/27/2020 I request the non-public, internal analysis conducted t,y (FTC staff regarding the March 2019 proposal by the International Swaps and Derivatives 

AssocIatIon ("ISDA") to reform the credit default swap market. The spec1f1c analysis was reported in the following article: "Wall Street's Shady Swap 

Trades Spark Push back From Regulators," Bloomberg (Aug, 5, 2019) (Date Range for Record Search: From 2/1/2019 To 8/5/2019) 

Denied in Full 

20-00002-CONS 5/29/2020 All email correspondence by Lanny Breuer, Dan Suleiman, Steven Fagell, Amy Pope and any executive assistant/secretary to the Assistant Attorney ,. ,. ,., Granted In Full 

20-00126-FOIA 6/3/2020 Requesting the Report of the DIvIsIon of Trading and Markets: Exchanges of Futures for Physicals (Oct, 1987) Granted in Full 

20-00127-FOIA 614/2020 I am requesting any memos, InvcstIgatIve records, emails (both internally among CFTC staff and externally with the emails listed below) between 

February 2013 to present that concern any InvcstIgatIon into or surveillance of Robert Escobio, Susan Escobio, and Southern Trust. Key terms listed In 

Denied In Full 

20-00128-FOIA 6/4/2020 Any and all public, non-confidential, non-pnvIleged, files, records, documents, or other things of any kind whatsoever, IncludIng but not lImIted to 

electronically stored 1nformatIon, released or issued by the Commission In any way, 1nclud1ng no-action letters, regulations, formal or informal responses 

to InquIr,es of any kind, policy or procedural pronouncements (1nclud1ng but not to the D1vIsIon of Enforcement's "Enforcement Manual"), and/or 

Congressional or other presentations, testimony, lectures, speeches or advisories, related or pertaining In any way to ( 1) the consideration, plann Ing, 

establishment, creation, operation, management, staffing, duties, Jurisdiction, purpose, case, proceedings, and/or administration of the so-called 

"Insider Trading and Information Protection Task Force" described In the Comm1ss1on's Press Release 7811 -18 (Sep 28, 2018), and/or (2) the scope, 

coverage, effect, appl1cat1on of the following laws and regulations: Section 6(c)(l) of the Commodity Exchange Act, as amended (CEA), 7 U.S.C. § 9(1) 

(2012) CFTC Regulation 180.l(a), 17 C.F.R. § 180.l(a) (2013) CFTC Regulation 17 C.F.R. § 155.4{b) (2013) 

other Reasons • Public Records 

20-00003-CONS 6/8/2020 Consult for DIvIsIon of Enforcement Records Granted In Full 

20-00129-FOIA 6/8/2020 Obtain conf1rmat1on of Tower Research Capital LLC's ("Firm") payment of monetary penalties In connection a November 6, 2019 Order InstItutIng 

Proceedings Pursuant to Section 6( c) and ( d) of the Commodity Exchange Act, Making F1nd1ngs, and Imposing Remedial Sanctions issued by the CFTC 

Granted/Denied in Part 

20-00003-AP 6/8/2020 Appeal of FO!A 20-00079 by Constantine Gekas, for all records related to Commission Press Release 7811-18 (Sep. 28, 2018). Completely Affirmed 

20-00130-FOIA 6/8/2020 USS AG's ("Firm") payment of monetary penalties in connection a January 29, 2018 Order Jnstituting Proceedings Pursuant to Section 6( c) and ( d} of 

r r " ~ ,r ihv ·~ IF[_r~, 

Granted/Denied in Part 

20-00131-FOIA 6/19/2020 I am requesting: (1) historical PWS/SOW for existing contract - 9523ZY J7CBMP0090 (2) for exIstIng contract, who Is currently assigned: PM (program ,., Granted in Full 

20-00132-FOIA 6/19/2020 I am requesting 1nformatIon about your agency's pol1c1es regarding ex pa rte meetings during rulemak1ng. Granted in Full 

20-00133-FOIA 6/23/2020 Any InvestIqatIvc report for an InvcstIqatIon into conduct or actIvItIes of tb)(6) 

/bl/61 

Denied In Full 

20-00134-FOIA 6/24/2020 Requesting NFA registration Forms for entItIcs and 1nd1v1duals on whom we arc conducting due d1l1gence on behalf of our clients. Granted/Denied in Part 

20-00004-CONS 7/1/2020 15 unclass1r.ed documents which originated In the CFTC other Reasons - Not an agency record 

20-00135-FOIA 711/2020 (a) Any 1nformat1on which would pertain to the fitness of(b)(6) to engage in business subject to the CFTCs iunsdIctIon; (b) Any Information 

woulrl n~rl"ain to the fitness of(b)(6 to engage In business subject to CFTC's junsdIction; {c) Any 1nformat1on which would be considered In connection 

with (b)(6 seeking adm1ss1on to NFA; (d) Any information which would be considered In (b)(6 seeking to become associated with a member of NFA; (e) 

Any Information which would be considered In connection wit(b)(6) seeking adm1ss1on to NFA; and (f) Any information which would be considered In 

Granted In Full 
20-00136-FOIA 

20-00137-FOIA 

712/2020 

712/2020 

Any and all records of your communIcatIons, IncludIng correspondence, emails, and text messages, with Barclays Bank, PLC, JP Morgan Chase Bank, 

NA, UBS AG, The Royal Bank of Scotland, pie, HSBC Bank, pie, and Citibank, NA, ,nclud,ng any of ,ts agents or affiliates, ,n connect,on w,th the 

Commodity Futures Trading Commission, Order Instituting Proceedings Pursuant to Sections 6(c)(4 )(A) and 6(d) of the Commodity Exchange Act, 

Making Findings, and Imposing Remedial Sanctions entered against Barclays Bank, PLC ,n May 2015, and JP Morgan Chase Bank, N.A., UBS AG, The 

Royal Bank of Scotland, pie, HSBC Bank, pie, and Citibank, N.A.,in November 2014, Any and all FD-302 reports, and other investigative reports of other 

federal agencies you received or used ,n connection with the Commodity Futures Trading Commission, Order InstItutIng Proceedings Pursuant to 

Sections 6(c)(4)(A) and 6(d) of the Commodity Exchange Act, Making F1nd1ngs, and Imposing Remedial Sanctions entered against Barclays Bank, PLC, 

,n May 2015 and JP Morgan Chase Bank, N.A., UBS AG, The Royal Bank of Scotland, pie, HSBC Bank, pie, and Citibank, N.A., ,n November 2014. 

Requesting a copy of all public comments the commission received ,n regards to a notice of proposed rulemak1ng published at 49 FR 34132 on August 

28, 1984. A final rule was adopted and published at 51 FR 22880 on June 23, 1986 entitled "Enforcement of Nondiscnm,nation on the Basis of Handicap 

Granted/Denied in Part 

other Reasons· Request withdrawn 

20-00138-FOIA 

20-00139-FOIA 

7/6/2020 

7/13/2020 

Any and all records of correspondence between February 1, 2020 and July 3, 2020 contaInIng electronic communIcatIons from United States

.. ' ' 

A copy of each letter to Congress or Congressional Committees or Offices from the CFTC Chairman or the CFTC regarding "fee-funding" of the CFTC, 

during the last s,x years. A copy of each memo or evaluation at the CFTC regarding "fee funding" of the CFTC, during the last six years (Date Range for 

other Reasons - No records 

other Reasons • No records 

20-00140-FOIA 7/13/2020 A copy of the most recent CCP Workplan CCP stands for Central Counterpart,es The CCP Workplan ,s found In the D1vIsIon of Clearing and Risk. I also other Reasons - No records 

20-00141-FOIA 7/14/2020 I am requesting: (1). historical PWS/SOW for existing contract - 9523ZY17CBMP0167 (2) for ex,st,ng contract, who ,s currently assigned: PM (program

•• 

Granted ,n Full 

20-00142-FOIA 

10-00005-CONS 

20-00143-FOIA 

7/20/2020 

7/23/2020 

7/23/2020 

1) The CFTC's entire file related to its InvestIgatIon of Wells Fargo Bank, N.A. regarding a foreign exchange (FX) forward contract with a counterparty to Granted/Denied in Part 

exchange $4 billion U S dollars for $4.347 billion Canadian dollars ,n August of 2014 ("In the Malter of· Wells Fargo Bank, N.A., Respondent; CFTC 

Docket No. 20-08"). (2) All Offers of Settlement submitted by Wells Fargo Bank, NA. in the In the Matter ofc Wells Fargo Bank, NA, Respondent; CFTC 

Docket No. 20-08. (3) All interviews, 1nclud1ng any attachments or other related documents, conducted in connection with the CFTC's 1nvest1gation ]n 

the Matter of: Wells Fargo Bank, N.A., Respondent; CFTC Docket No, 20-08. (4) All correspondence between Wells Fargo Bank, N.A. and the CFTC In 

connection with the CFTC's investIgatIon In t~e Matter of: Wells Fargo Bank, N.A., Respondent; CFTC Docket No. 20-08. (5) All documents submitted to 

the CFTC by Wells Fargo Bank, N.A. In connection with the CFTC's InvestIgatIon In t~e Matter of: Wells Fargo Bank, N.A., Respondent; CFTC Docket No, 

FBI Records regarding: Black Diamond Ponzi Scheme (January 1, 2009-December 31, 2010) Granted in Full 

A copy of the Market Disruption Contingency Plan developed by OCR in cooperation with OMO and DSlO. This plan documents (FTC procedures and Denied in Full 

20-00144-FOIA 7/23/2020 I request a copy of the SJDCO Examination Handbook/Manual, which may go by a somewhat different name By th,s I mean the handbook or manual other Reasons - No records 

used to gu,de the examInat,on of SIDCOs. If there is no SIDCO Handbook or Manual, than I instead request the DCO ExamInat1on Handbook or Manual 

20-00145-FOIA 7/23/2020 Records regarding the description and results of the March 2016 Tat>letop Exercise run by DCR, in conjunction with FRB, Treasury Dept, FDIC, SEC, DCC Other Reasons - No records 

and FSOC. Also, records regarding t~e desrnptIon and results of the 2017 Tabletop Exercise run by DCR with many of the same partIcIpants 

10-00146-FOIA 7131/2020 I: Requested Records• Copies of all actions taken by the CFTC against TS Capital Management LLC, (NFA ID: 0422796) and TS Capital Partners, LLC, 

(NFA ID: 0414709) IncludIng but not lImIted to enforcement actions, administrative and reparation sanctions, In1unctIons, and penalties.• Any 

InvestIgative summaries and reports from the CFTC and the NFA related to the investIgatIon of TS Capital Management LLC, (NFA ID: 0422796) and TS 

Capital Partners, LLC (NFA ID: 0414709) from January 1st, 2010 to December 31st, 2016 • All investor and employee complaints riled with the CFTC 

and NFA against TS Capital Partners, LLC, (NFA JD· 0414709) and TS Cap,tal Management LLC, (NFA JD· 0422796) from January 1st, 2010 to Decembe 

31st, 2016. • All written correspondences t>etween Thomas H. 'Tommy' Tuberville (DOB: 9/18/1954), the NFA, and the CFTC Division of Enforcement 

during the investigation of TS Capital Partners, LLC. (NFA ID. 0414709) and TS Capital Management LLC. (NFA ID. 0422796) from January 1st, 2010 to 

December 31st, 2016. • The NFA's audit reports of TS Capital Partners, LLC, (NFA ID: 0414709) and TS Capital Management LLC, (NFA ID: 0422796) 

from April 4-6, 2011 ("April 2011 NFA audit") and October 17-27, 2011 ("October 2011 NFA audit").• TS Capital Partners, LLC, (NFA ID: 0414709) and 

TS Ca ital Mana~ement LLC's NFA ID: 0422796' Forms 7-R and an" attachments t~ereto. 

Granted/Denied in Part 

20-00147-FOIA 8/3/2020 8R, d1g1tal copy only for ELAD SH RAGA Granted/Denied in Part

8/7/2020 Requested non-public documents regarding Armand Nakkab ("Nakkab") Den,ed ,n Full 20-00148-FOIA 

10-00149-FOIA 

10-00150-FOIA 

8/10/2020 

8/13/2020 

1. For any employee who, since January 1, 2017, entered into a non-pol1t1cal pos1t1on* at the Commodity Futures Trading Commission as an attorney or Granted/Denied in Part 

economist at CT-13 or above: a. The posItIon into which the employee entered; and b. The resume provided by the individual to the agency when 

applying for the posItIon or determining the appropriate salary for the IndIvIdual, or, 1f those are not available, a recent resume contained within the 

agency's records We have no ObJect,on to the redaction of contact information (addresses, telephone numbers, e-mail addresses) for the employee or 

references, or to the redaction of past salary information Employment, education, and professional assoc,atIon information IS not exempt and we Object 

to any redactions of such information. *For purposes of this request, please consider any employee ,n a PAS posItIon, a presidentially appointed position, 

a non-career SES position, a Sc~ed u le C posItIon, or any admI nistrat1vely-determ1ned posItIon to be a "pol1t1cal a ppo1ntee," and thus outside the scope o 

this request. All other employees who meet the above criteria should be included ,n this request. 

A copy of the meeting agendas and meeting minutes for meetings of the internal CFTC staff-level 1nterd1vis1onal working group chaired by DCR that Granted/Denied in Part 

meets periodically with clearinghouses, e~changes, market partIcIpants, technology innovators and other regulators to keep abreast of developments 

and promote coordInation across agency staff on emerging technology issues. (Date Range for Record Search: From 1/1/2017 To 8/13/2020) 

20-00151-FOIA 8/13/2020 A copy of any memos discussing workforce attnt,on ,n the DIvIsIon of Enforcement, and/ or ,ts causes. Other Reasons - No records 
20-00152-FOIA 

20-00004-AP 

20-00153-FOIA 

20-00154-FOIA 

20-00155-FOIA 

20-00156-FOIA 

20-00157-FOIA 

20-00158-FOIA 

20-00159-FOIA 

20-00160-FOIA 

20-00161-FOIA 

20-00162-FOIA 

20-00163-FOIA 

20-00164-FOIA 

20-00165-FOIA 

20-00166-FOIA 

20-00006-CONS 

20-00167-FOIA 

20-00168-FOIA 

20-00169-FOIA 

8/13/2020 

8/17/2020 

8/19/2020 

8/20/2020 

8/20/2020 

8/21/2020 

8/24/2020 

8/25/2020 

8/26/2020 

8/28/2020 

9/1/2020 

911/2020 

912/2020 

8/27/2020 

912/2020 

913/2020 

9/3/2020 

9/3/2020 

9/4/2020 

919/2020 

A copy of the log of DCO cybersecurity reported incidents. You may lImIt this request to the last four years worth of logged incidents. AND, Request 

"' 

Appeal of fO!A No. 20-00145-fO!A. 

I'm looking for rnformat1on on the SEC and CFTC's Join invest1gat1on into Abra, We covered the final frne t>ack in July, t>ut I would like to access the in,tia 

complaints that prompted the InvestIgatIon as well as the SEC's correspondence with Abra and with the CFTC on the subJect of Abra. 

Information or records regarding: -A memo from the DIvisIon of Market Oversite to the CFTC Commission dated June 8, 2010. - A memo from the 

' NfA 8-R Form for Douglas Braunstein 0452725 

I am request,ng: (1). historical PWS/SOW for existing contract - 9523ZY16COED0274 (2) for existing contract. who is currently assigned· PM (program 

'' Th,s Is a test 

For the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to April 17, 2013 -CTFC form 102 and CFTC form 40, submitted by or on 

behalf of Deutsche Bank Futures Corporation/ Deutsche Bank Futures, Inc., with respect to its daily short and net short positions in silver/ silver 

derivatives. ·CTFC Form 102 and CFTC Form 40, submitted by oron behalf of Deutsche Bank AG New York Branch, with respect to Its daily short and 

net short positions in silver/ silver derivatives. ·CTFC Form 102 and CFTC Form 40, submitted by or on behalf of Deutsche Bank AG, with respect to Its 

Open futures and option positions of IndIvIdual traders/firms that are class1f1ed as "'commercials'' on the Commitment of Traders Reports for all 

commodItIes from 1993 to 2018. II would be tremendously helpful 1f I could be provided the 1dent1fy1ng information of the traders/firms, e.g. gvkey, 

CUSIP. c,k or ticker If there ,s any restrict,on on the volume of data that can be provided, please let me know If obtaining a subset of the data ,s feasible 

This IS a Test 

For the following time periods· from March 30, 2012 to May 30, 2012 and from February 1, 2013 to April 30, 2013c CTFC Form 102 and CFTC Form 40, 

submitted by or on behalf of any of the followrng, with respect to ,ts/ their dally short and net short positions in silver/ silver derivatives, Deutsche 

Bank AG [Frankfurt, NfA ID 0210678] Deutsche Bank AG [London, NfA ID 0387357] Deutsche Bank AG London [London, NFA ID 0387357] Deutsche 

Bank AG [Sydney, NFA ID 0259041] Deutsche Bank Akt1engesellschaft Sydney [NfA ID 0259041] Deutsche Bank AG New York Branch [NFA ID 

0244137] Deutsche Bank Americas Holding Corp. [NFA ID 0241643] Deutsche Bank Americas Holding Corp. [NFA ID 0474791] Deutsche Bank and Trust 

Co. Americas [NFA ID 0487913] Deutsche Bank Australia Limited [NFA ID 0250653] Deutsche Bank Australia Limited [NFA ID 0246484] Deutsche Bank 

Canada [NFA ID 0285290] Deutsche Bank Capital Corporation [NFA ID 0210600] Deutsche Bank Corretora de Va lores S. A. [NFA ID 0431516] Deutsche 

Bank Futures Corporation [NFA ID 0259561] Deutsche Bank Futures, Inc (NFA ID 0259561] Deutsche Bank Group [NFA ID 0370320] Deutsche Bank 

International Limited (NFA ID 0404488] Deutsche Bank lnvestment (NFA ID F003963] Deutsche Bank National Trust Company [NFA ID 0455419] 

Deutsche Bank Securities Corporation [NFA ID 0210600] Deutsche Bank Securities, Jnc. [NFA lD 0210600] Deutsche Bank Sodiedad Anonima Espanola 

'" '" '" 

[1] For the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to April 17, 2013: CTFC Form 102 and CFTC Form 40, submitted by or 

on behalf of Deutsche Bank Securities Corporation (aka Deutsche Bank Securities, Inc.), with respect to ,ts daily short and net short posItIons ,n silver/ 

silver derivatives. [21 For the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to Apnl 17, 2013: CTFC Fom, 102 and CFTC Form 

40, submitted by or on behalf of Deutsche Bank AG London, with respect to its daily short and net short positions ,n silver/ silver derivatives [3] For 

the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to April 17, 2013· CTFC Form 102 and CFTC Form 40, submitted by or on 

behalf of Deutsche Bank International Limited, with respect to ,ts daily short and net short posItIons rn silver/ silver derivatives. 

NfA 1'242135 a copy of the Form 8-R application and related 1nformat1on on file with NFA for Armand Nakkab ("Nakkab") 

Records regarding the description and results of the March 2016 Tat>letop Exercise run by DCR, rn conjunction with FRB, Treasury Dept, FDIC, SEC, DCC 

and FSOC. Also, records regarding the description and results of the 201 7 Tabletop Exercise run by OCR with. many of the same participants. 

Mr. Santomero was a principal on CBNA, #187177, I need a copy of all disclosure questions AND the details of each disclosure (criminal, regulatory, 

'" 

1. Copies of any and all US Commodity Futures Trading CommIssIon records showing Apple's historical stock prices from the m1d-1980s to present; and 

2. Copies of any and all US Commodity Futures Trading CommIssIon records showing Facebook's historical stock prices from 2008 to present; and 3. 

Copies of any and all US Commodity Futures Trading Commission records showing NASDAQ's historical stock prices from the 1970s to present; and 4 I 

would like a written explanation as well as detailed information and any and all documents pertaining to how the US Currency and the Stocks traded on 

the US Markets are currently being paired or aligned with gold, gold prices, gold futures, gold commod1t1es, gold reserves or were converted ,nto nonFOIPA Request O'(b)(6) 

,m " 

Any information that you may have on file or access to on my case (Date Range for Record Search From 4/9/2015 To 3/31/2020) 

We would like to request historical on Maintenance Margin Requirements and InItIal Margin Requirements for all CFTC-regulated Futures Contracts that 

were traded on an exchange, for the full range of historical data that Is possible. The data should include (In some form) the date, the contract name 

and expiry, the maintenance margin, the Init1al marg,n, and the currency ,n which the marg,n IS denominated From searching past FOIA requests, we 

Industry-level open futures and option positions for traders class1f1ed as "commercials" on the Commitment of Traders Reports for all commod1t1es from 

1993 to 2020. Namely, a breakdown of aggregate commodity-level "commercials" open posItIons by SIC/NAICS industries. Please let me know 1f any 

clanf1cat1on about the request Is needed. And 1f there is any restriction on the volume of data that can be provided, please let me know if obtaining a 

other Reasons • No records 

Completely Reversed/Remanded 

Granted/Denied rn Part 

Granted ,n Full 

Granted/Denied in Part 

Granted/Denied in Part 

other Reasons - No records 

Other Reasons - No records 

Denied In Full 

Other Reasons - No records 

other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied rn Part 

Other Reasons - Request withdrawn 

Other Reasons - Not a proper fOIA 

request for some other reason 

Granted/Denied in Part - Referrals 

other Reasons - Not a proper FOIA 

other Reasons • Public Records 

Other Reasons - No records 
20-00170-FOIA 

20-00005-AP 

20-00171-FOIA 

20-00172-FOIA 

20-00173-FOIA 

20-00007-CONS 

20-00174-FOIA 

21-00001-FOIA 

21-00002-FOIA 

21-00003-FOIA 

21-00004-FOIA 

21-00138-FOIA 

21-00139-FOIA 

21-00140-FOIA 

9/10/2020 

913/2020 

9/15/2020 

9/17/2020 

9/18/2020 

9/18/2020 

9/24/2020 

10/1/2020 

10/5/2020 

10/6/2020 

1017/2020 

8/26/2021 

8/27/2021 

9/10/2021 

For the following time periods: May 1, 2012 to May 16, 2012 & Apnl 1, 2013 to April 17, 2013: CTFC Form 102 and CFTC Form 40, submitted by or on .. Copy of the S!DCO ExamrnatIon Handbook/Manual. If no record exists, a copy of the OCO Handbook or manual. 

Form 8R and all disclosure matters for Emily Portney 

- lam trying to locate comment letters for 92-004 Here Is the link - https· //www.cftc gov/foia/commentarch1ve2/foI92 -004 ,,m ' This IS a TEST 

The Department of Treasury (Treasury) is currently in litigation with American Oversight, who is seeking to obtarn Treasury's senior leader calendar 

I am looking for any meetings between former Commissioner J, Christopher Giancarlo and current commissioners at the (FTC that have taken place 

between January 1, 2020 and the present day, The easiest way to 1dent1fy them would, I believe, be to search the agendas of the commissioners. l 

would also like any agendas, notes, or mrnutes available from any meetings found. (Date Range for Record Search: From 1/1/2020 To 9/24/2020) 

Electronic communIcatIon (email, text or other format) from James Vorley dated 16 April 2013. [Note· James Vorley was at the time employed by 

Deutsche Bank AG as a precious metals trader (gold, silver, palladium and related fInanc1al derivatives)] The document In question is believed to consIs 

of 3 pages and to have been part of the documents provided t,y Deutsche Bank AG to CFTC as part ofCFTCs rnvestigat1ons rn CFTC Docket No. 18-06 

(29 January 2018), against Deutsche Bank AG and Deutsche Bank SecuntIes, Inc. (now known as Deutsche Bank Securities LLC). On 25 September 

2020, Mr, Vorley was found guilty by a Chicago federal Jury of fraudulent and man1pulat1ve trading practices 1nvolv1ng publicly-traded precious metals 

futures contracts. Case No. 1 : 18-cr-00035· 1 ( US District Court, ND II l1no1s). https://www .justice.gov/opa/pr/two-former-deutsche- bank-tradersAny and all information regardrng spoofing claims against Joshua Bailer and/or Sunoco for the period 2014 through 2016, including copies of any 

Pursuant to the Freedom of Information Act, 5 USC.§ 552, we respectfully request copies of any documents described In the enumerated categories 

below that are in the possession of the Commodity Futures Trading Commission ("CFTC") or of any entity authorized to act on behalf of the CFTC 

Defrnitions, The term "CFTC" refers to any member of the Commodity Futures Trading Commission and any officers, directors, employees, authorized 

agents, representatives, or other persons purporting to act on behalf of the CFTC. The term "communications" means all written or vert>al 

communIcatIons, by any and all means, 1nclud1ng, without l1m1tat1on, letters, memoranda, electronic mall, and/or recorded voicema1ls, by which 

1nformat1on, In whatever form, Is stored, transmitted, or received, and rncludes every manner or means of disclosure, transfer or exchange, and every 

disclosure, transfer or exchange of information whether orally or by document or otherwise, face-to-face, by telephone, telecopIes, email, text, modem 

transmission, computer generated message, or mail. It does not include any information protected by the work-product doctrine or the attorney-client 

privilege The terms "concerning" or "relating to" mean referring to, mentIonIng, dIscuss1ng, renect1ng, containing, stating, describing, embodying, 

evIdencIng, constituting, dealing with, or making reference to in any way. The term "JPMorgan" refer-s to JPMorgan Chase & Co and any officers, 

directors, employees, authorized agents, representatives, or other persons purporting to act on behalf of JPMorgan. Categories of Requested Materials: 

We respectfully request that the (FTC produce the following categories of materials: 1 For the period from September 11, 2020 through September 25, 

2020, any and all communIcatIons between the CFTC and any IndIvIdual working with or for (either as an independent contractor or employee) Amlaw, 

Associated Press, Bloomberg, Business Insider, CNBC, Financial News, Financial Times, Fox, Law360, Law.com, Reuters, Wall Street Journal, Washington 

Post, or Yahoo News concerning Cedric Chanu, James Vorley, the CFTC's InvestIgatIon of alleged spoofing commItted by employees of JPMorgan, or the 

anticipated settlement of such Investigat1on of JPMorgan. 2. For the period from September 11, 2020 through September 25, 2020, any and all 

communications relating to communIcatIons between the CFTC and any Ind1vIdual working with or for (either as an independent contractor or employee) 

AmLaw, Associated Press, Bloomberg, Busrness Jns1der, CNBC. Financial News, Financial Times, Fox, Law360, Law.com, Reuters, Wall Street Journal, 

Washington Post, or Yahoo News concerning Cedric Chanu, James Vorley, the CFTC's investigation of alleged spoofing committed t,y employees of 

' The most recent Larger Trader Form 40 f1l1ngs for Lumber. 

(b)(6) was charged In a 54 porn! c1v1I 1nd1ctment rncludrng failure to properly register and other illegal business practices In 

August 1979. Subsequently the Government agreed to having the 4 Defendants sign a Permanent Injunction In the CIvII case. No criminal IndIctment 

was ever filled. The Washington Post recently began reporting only the original charges filed by the CFTC and an erroneous descnptIon In what they call 

"the fraudulent scheme" Google has picked up the Washington Posts original article of only the charges which were never proven These documents are 

42 year old, It IS a civil case, there are no criminal charges. Unfortunately the documents of this case are not in my possession do not exist and the 

Washington Post has no other record of the case or their subsequent reported articles, Their were 4 defendants in the case as well as the company. 1) 

(b)(6) 

All posItIon limit exemptions under 17 CFR 150 3 In effect for the time period between January 1, 2021 and August 27, 2021, 1nclud1ng but not lIm1ted to 

the followrng information: the name of the entity receIvrng the position limit exemption, the commodity to which the exemption applies, and the date 

The Dodd-Frank Act requires that the CFTC put,l,sh a report on trading, clearing, participants, and products rn the Swaps market on a semi-annual and 

annual t>as1s per (CEA Section 2(a)(l4}), The CFTC had elected to publish a Swaps report on a weekly basis. Currently, in 2021 the (FTC has not 

published a semi-annual Swaps report and their most recent public data reportrng was done on 11/20/2020. That data Is 9 months old and outside of 

the range of which Dodd-Frank requires a semiannual data report. I would like to inquire to receive a copy of the data In any format excel, word, 

other Reasons • No records 

Completely Affirmed 

Granted in Full 

other Reasons - Request withdrawn 

Other Reasons - Not a proper FO!A 

Granted in Full 

Granted in Full 

Denied In Full 

Granted/Denied rn Part 

Granted In Full 

Denied In Full 

Granted In Full 

other Reasons - Request withdrawn 

Other Reasons - Public Records 
21-00141-FOIA 9/3/2021 The CFTC Is required by the Dodd-Frank Act to publish periodic (semi-annual) reports on the swaps market that detail trading, clearing, products, and 

participants, according to CEA Section 2(a)(14). The CFTC has not yet published a sem,-annual report for 2021. lam requesting a copy of all data, 

records and documents that are (or are reasonably expected to be) either cited w1thIn (or used during the process of compiling) th,s legally mandated 

202 I report, 1ndud Ing unpu t,lished and/or unfinished/incomplete materials or portions thereof (for example draft versions, or partially tabulated data). 

other Reasons· Request withdrawn 

21-00142-FOIA 

21-00143-FOIA 

9/1/2021 

9/1/2021 

I was curious If ,t IS possible to gain the schedules for the following members of the CFTC from April 1st 2021 until today August 30th 2021 Chairman 

·" " ' Any and all 1nformat1on related to the Commodity Futures Trading Commission's Market PartIcIpants recent issuance of a "lImited-tIme no-action letter 

concerning cap,tal and financial reporting obl,gat,ons for swap dealers (SDs) subject to cap,tal requirements of a prudential regulator (Bank SDs) under 

the CFTC's SD financial reporting rules" Pursuant to the The Dodd-Frank Wall Street Reform and Consumer Protection Act effect July 21, 2010. 

Granted/Denied in Part 

Granted In Full· Public Records 

21-00144-FOIA 9/1/2021 I am herby requesting 1nformat1on relating to all forms of Total Return Swap documentation, contractual obligations, percent of portfolio holdings, and o other Reasons· Request withdrawn 

agreements, as well as the terms of agreement, through the dates December 1st, 2020 through June 1, 2021; relating directly to the following 

counterpart,es; The CFTC, Citadel enterprises LLC, Citadel Securities, Citadel Technology, Susquehanna International, Susquehanna Securities, Capital 

Ventures lnternat,onal, Susquehanna Advisors Group, CVI opportun,t,es fund, Gl execution Services, Darby F1nancIal services, Melvin Capital, and Po,nt 

21-00145-FOIA 9/10/2021 Salaber Associates, Inc and Dewberry's RFPs for Capital SouthEast Connector Segment D3(A), Project No. PW1607, Federal Project No. 5288(046) other Reasons - No records 

21-00146-FOIA 

21-00147-FOIA 

21-00148-FOIA 

9/10/2021 

9/17/2021 

9/17/2021 

I am looking for a mIssIng decIsIon on our Lexis Advance Platform. The Details of the case are: In re the Application of the Nal'I Futures Ass'n, 1981 WL Granted In Full 

., ' .. .. Records sufficient to identify all CFTC employees who entered into a posItIon as a "pol1t1cal appointee"' on or after January 20, 2021, and the title or other Reasons • No records 

posItIon of each employee. For purposes of this request, please consider a "political appointee" to be any employee in a presIdentIal appointment withou 

. . 1.) Any requests for relief from Kalsh1EX LLC, LedgerX LLC, PredItctIt.org, Victoria University of Wellington {New Zealand), ErisX, Ens Exchange LLC, and Granted/Denied in Part 

Eris Clearing LLC 2) Any correspondence between the CFTC and Kalsh,EX LLC, LedgerX LLC, Pred,tctit.org, Victoria Un,vers,ty of Wellington (New . . 21-00007-CONS 9/21/2021 Treasury consult RE: Treasury senior leaders calendar entries Granted in Full 

21-00149-FOIA 9/21/2021 I request a copy of each email In former CFTC OIG employee Tony Baptiste that contains the word "FOIA" during the time period January 1, 2019 

through May 31, 2019, based on an electronic search. You may omit compilations of news cl,pp,ngs. l agree to accept the results of an electronic search 

other Reasons • No records 

21-00150-FOIA 

23-00025-FOIA 

9/21/2021 

10/25/2022 

A copy of the Report of Investigation, Final Report, Closing Report, Closing Memo, Referral Memo, Referral Letter, and other conclusory document for 

each of the following CFTC OJG investigations. I 7-1-12, 18-J-05, 18-1-08, 18-1-09, J 9-1- OJ, 19-J-04, 19-1-05, 19-1-06, J 9-J-07, J 9-1-08, and 20-J-01. 

'" ( 1) All communications, whether handwritten, paper, email, text, messaging application messages, voicema1I messages, or other form of ecorded 

transfer of information, ideas, opinions, or thoughts (hereinafter, "Communications"), between CFTC (including, but not l1m1ted to, the Div1s1on of Marke 

Oversight "DMO")) and Asset Risk Management, LLC ("ARM"), and their respective agents, attorneys, employees, or representatives, regarding whet~er 

ARM had to register as a SEF. (2) All CommunIcatIons between CFTC (including, but not lImIted to, DMO) and Symp~ony CommunicatIons Services, LLC 

("Symphony'"), and their respective agents, attorneys, employees, or representatives, regarding whether Symphony had to register as a SEF. (3) All 

Communications between CFTC (1nclud1ng, but not l,m,ted to, DMD) and AEGIS SEF or AEGJS CTA, and their respective agents, attorneys, employees, 0 

representatives, leading to the submission of AEGIS SEF's application to register as a SEF 

Granted/Denied in Part 

Granted/Denied in Part 

23-00026-FOIA 

13-00027-FOIA 

10/25/2022 

10/27/2022 

(1) For the period January 1, 2012, to the date of CFTC's search for documents responsive to this request, any 1nformat1on bearing on the CFTC's Granted/Denied in Part 

understanding of the term "swap exchange facIl1ty" as used ,n: 1) Section la(SO) of the Commodity Exchange Act ("CEA"); ii) Section Sh(a)(l) of the 

CEA, and 111) Core Principles and Other Requirements for Swap Execution Fac,lIt1es, 78 FR 33476 (lune 4, 2013) (the "2013 F,nal Rule"). (2) All materials 

(1nclud1ng, t>ut not limited to, communications, whether handwritten, paper, email, text, messaging appl1cat1on messages, voicemail messages, or other 

form of recorded transfer of information, ideas, opinions, or thoughts (hereinafter, "Communications") and memoranda) reflecting a comparison of the 

facts and circumstances t~at would trigger a swap execution fac1l1ty ("SEF") regIstratIon obl1gat1on under Letter No, 21-19, Staff Advisory on Swap 

Execution Facility Registration Requirement, issued on September 29, 2021, to the facts and rncumstances that would trigger a SEF regIstratIon 

obligation under the 2013 Final Rule. (3) For the period January 1, 2012, to the date of CFTC's search for documents responsive to this request, any 

Communications from CFTC {1nclud1ng, but not limited to, OMO) to commodity trading advisors ("CTA") or introducing brokers ("IB") (IncludIng, but not 

limited to counsel for CTAs or !Bs\ and an" communications from CTAs or IBs to the CFTC re,,ard,n~ whether CTAs or IBs ma" be sub eel to SEF 

From Jan. 1, 2018 through the present: -Any records, letters, meeting notes and emails (IncludIng attachments) sent or received by the Designated other Reasons • No records 

Agency Ethics Off1c1als or other agency ethics off1c1als to and from the Office of the Inspector General regarding referrals to the OIG for conflicts of 

interest. Any communications between agency ethics off,c,als and the Office of Government Ethics regarding conflicts of interest Any records sent or 

rece,ved by the Office of Inspector General or by agency staff regarding eth,cs violations referred to the Justice Department (Date Range for Record 

23-00028-FOIA 11/1/2022 the materials described on the commission's frequently requested documents page as "Victoria UnIvers,ty Commun,cat,ons," file number 19-00088 Granted ,n Full 

23-00029-FOIA 11/3/2022 I request a copy of every OGE Form 278e filed with the agency In 2021 and 2022, along with all supporting documentation that may have been other Reasons • Public Records 

13-00048-FOIA 11/18/2022 I am seeking all messages sent and received by representatives from the CFTC and the firm FTX between 11/5/2022 and 11/18/2022 other Reasons· Records not reasonably 

13-00049-FOIA 11/18/2022 I am seeking all emails sent by accounts associated with CFTC Chairman RostIn Be~nam and SEC c~airperson Gary Gensler between 11/1/2022 and Other Reasons - No records 

23-00050-FOIA 11/18/2022 I am seeking complaints submitted to CFTC regarding the firm FTX between 1111/2022 and 11/18/2022 Denied in Full 
23-00051-FOIA 11/21/2022 Please see the attached. Denied In Full 

23-00052-FOIA 11/21/2022 11/20/2022 Rosemary Killroy Assistant General Counsel (FTC FO]A Office, Three Lafayette Centre 1155 2 !st Street, NW Washington, DC 20581 Re. Other Reasons - No records 

Freedom of Information Act Request Ms. K1llroy: Under the Freedom of Information Act (5 U.5.C. Section 552), l am respectfully requesting that l be 

provided the following 1nformat1on: 1.) All emails, text messages, letters, documents, and correspondence In the custody, control, or possession of the 

Commodity Futures Trading Commission sent between any member of Congress or their agents and any employee of the Commodity Futures Trading 

Comm,ss,on that relate ,n any way to FTX cryptocurrency exchange"s business practices, compliance w,th US. laws. use of investor funds. use of 

customer funds, custody of user funds, solvency, marketing or advertIsIng strategy, or paid promoters; 2) All emails, text messages, letters, 

documents, and correspondence in the custody, control, or possession of the Commodity Futures Trading Commission relating in any way to monetary 

donations made by Samuel Bankman-Fried or FTX to any member of Congress; and, 3.) All emails, text messages, letters, documents, and 

correspondence In the custody, control, or possession of the Commodity Futures Trading CommIssIon relating to any member of Congress and their 

financial investment ,n FTX, their ownership interest in FTX, or their monetary donations made to FTX. r respectfully request that copies of the requested 

information be produced ,nan electronic format. Please note that 5 U.S.C. Section 552(a)(4)(A)(Iv)(ll) requires that you provide the first 100 copies to 

me at no charge. However, lam requesting a waiver of all fees under 5 U.S.C. Section 552(a)(4)(A)(11i). The information I seek is ,n the public interest 

because ,twill contribute sIgn1fIcantly to the public's understanding of the operations and act,v,tIes of ,ts elected officials ,n government and because this 

request will serve no commercial interest to me Consequently, I believe l meet the criteria for a fee waiver recognized by both the US Justice 

Department In its policy guidance of April 1987, and by the federal courts. (See Project on Military Procurement v. Department of the Navy, 7 JO F, 

Supp, 362 363, 365 (D.C.D. 1989)), First, my request concerns the operations or act1v1ties of government, FTX operates within the United States and 

provides services to United States citizens, and as such, is subJect to the Jurisdiction of the United States. Pursuant to that iurisd1ct1on, the United State 

government has exerted its authority to regulate the operations of and services provided by FTX cryptocurrency exchange via the CFTC and the holding 

of committee hearings. For example, the FTX previously applied to the CFTC to provide cryptocurrency derivatives products. On December 8th, 2021, 

the House Financial Services Committee held a hearing ,n which FTX cryptocurrency exchange founder Samuel Bankman-Fried test1f1ed to members of 

Congress on how to regulate cryptocurrency Further, the House Financial Services Committee recently announced it plans to hold a hearing ,n 

December 2022 that will spec,f,cally concern FTX cryptocurrency exchange. Thus, my request for the above requested information directly concerns 

operations and activities performed t,y the Unites States government. Second, the information I seek has informative value and potential for 

contrit>ut1on to public understanding. Please note the decision in El1Zabeth Eudey v, Central Intelligence Agency, 478 F, Supp, 1175 1176 (D.C.D. 1979) 

(even a single document has the potential for contributing to public understanding), The 1nformat1on lam requesting has a high potential for 

11/21/2022 l am requesting 1nformatIon or records regarding the CFTC's 1nvest1gatIon ,nto vIolat1ons of the Commodity Exchange Act and Commission Regulations Den,ed ,n Full 23-00053-FOIA 

by Sam lkkurty (aka Sreenivas J Rao}, Rav1shankar Avadhanam, Jafia LLC, ]kkurty Capital LLC (dba Rose City Jncome Fund), Rose City Income Fund ll C 

I am requesting information or records regarding two recent events: l the Commodity Futures Trading Commission's approval for kalshi.com to operat 

as a Designated Contract Market, and 2. the Commodity futures Trading Comm1ss1on"s withdrawal of the No-Action letter issued to Victoria University of 

Wellington and under which Pred1ctlt operated from 2014 to present. 1. emails to or from Brian Quintcnz sent/received AFTER April 13, 2020 

mentioning '"Pred1ctlt" "'Victoria University" "Kalshi"', or "Designated Contract Market" 2. emails sent;received AFTER April 13, 2020 mentioning both 

Brian QuIntenz and also one or more of: "Pred1ctlt'", '"Victoria University", '"Kalshl", or "Designated Contract Market"' 3. emails sent;rece,ved BEFORE 

April 13, 2020 to/from/mentIon,ng Brian Qu,ntenz and also ment,on,ng one or more of: "Pred,ctlt", "Victoria University ', "Kalsh, ', or "Designated 

23-00054-FOIA 11/28/2022 Other Reasons - Records not reasonat>ly 

described 

23-00055-FOIA 12/13/2022 Any and all communIcatIons or documents 1nclud1ng but not l1m1ted to emails, transcripts, briefs, etc. between January 1, 2021 and November 28, 2022 

regarding FTX, Alameda Research 1nclud1ng: Sam Bankman Fried, Dan Friedberg, Michael KIvcs, Linda P. Fried, and Caroline Ellison (Date Range for 

Other Reasons - Records not reasonably 

described 

23-00056-FOIA 11/29/2022 lam looking for any meetings or calls that CommIssIoners Johnson, Goldsmith Romero, or Mersinger had with employees or representatives of FTX, 

FTX.US or LedgerX. Most likely IndIvIduals representing those firms would be Samuel (Sam) Bankman-Fned, Mark Wetjen and Ryne Miller 

23-00057-FOIA 

23-00058-FOIA 

11/29/2022 

11/29/2022 

lam looking for any meetings or calls that Chair Behnam had with employees or representatives of FTX, FTX.US or LedgerX. Most likely IndIvIduals

',, 

any l1St/table of all litigation to which the Commodity Futures Trading Commission was/,s currently a party on rules required by the Dodd-Frank Wall 

Street Reform and Consumer Protection Act (Dodd-Frank). More generally, any list of litigation related to CFTC rules and regulations since 2010 would 

be responsive to this request. CFTC Rulemak,ng ,s defined to mean any ( 1) concept release or other guidance document, (2) proposed rule or advanced 

notice of proposed rulemaking, or (3) interim or final rule published to the Federal Register. As an example of the kinds of records that would t>e 

responsive to this request, I would note that the Federal Reserve Board makes available these kinds of records as part of ,ts annual reports under the 

other Reasons • No records 

23-00076-FOIA 12/27/2022 Kindly send me any and all non-public records compiled In investigations and consumer complaints against LedgerX LLC for the period of 05/29/2014- Other Reasons - Records not reasonat>ly 

23-00077-FOIA 12/27/2022 First, Is CFTC FO]A file number 22-00075, titled "the LedgerX LLC Communications." Second, lam writing to you to request a copy of all emails between Granted/Denied in Part 

CFTC Chairman Rostin Bchnam and FTX CEO Sam Bankman-Fricd (sam@ftx.us), FTX general counsel Rync Miller (ryne@ftx.us), and Mark WetJen 

(mwetJcn@m1am1-hold1ngs.com) between the dates of Aug. 1, 2021 and Nov. 15, 2022. Please include emails and email chains to and from these 

23-00078-FOIA 12/27/2022 all CFTC and CEA Commitments of Traders Reports from 1962-1986 other Reasons - Public Records 

23-00079-FOIA 12/27/2022 documents that arc listed in the CFTC's FO!A Library but are not made available onl1ne. Specifically, I'm seeking these documents: 22-00075 

'' 

Granted ,n Full 

23-00080-FOIA 12/27/2022 l request disclosure from the CFTC the following records from the /lie numbers below 1. 22-00075 2, 22-00083 Granted In Full 

23-00081-FOIA 12/27/2022 Chairman Rost,n Behnam's calendar from Sept 1, 2021 to present 
23-00082-FOIA 12/28/2022 all communications between CFTC commissioners and staff, including Chairman Rost,n Behnam and Chief of Staff and Chief Operating Officer under 

Chairman Behnam David Gillers, with representatives of FTX, FTX US and FTX US Derivatives (also known as LedgerX) , 1nclud1ng Samuel Bankmanother Reasons· Records not reasonably 

described 

23-00083-FOIA 1/17/2023 I am requesting all e-mails, reports, messages, phone calls, 1nvestigatIons, summaries and meetings where GameStop (and/or GME) was a topic of 

conversation, This includes GameStop being mentioned in an email, message or on a phone call or was a topic at a meeting, I am also requesting all 

other Reasons - Records not reasonably 

described 

23-00084-FOIA 12/30/2022 J. All records, including emails, memos, letters, text messages and reports sent or received by CFTC staff, counsel, commissioners and chairmen from 

Jan. 1, 2019, through the date that the search for responsive records Is conducted, regarding FTX and aff1l1ated companies, 1nclud1ng FTX US, FTX.com, 

LedgerX and Alameda Research, and their current and former executives and attorneys, This should include Samuel Bankman-Fried, Ryne Miller, Zach 

Dexter, Jill Sommers, Mark WetJen and Brett Hamson. This request should cover former and current CFTC chairmen (RostIn Behnam, Heath Tarbert and 

Christopher Giancarlo), John Dunfee, David G1llers, Laura Gardy, Lucy Hynes, Erik Remmler and all commissioners during this time period. The 11st of 

commissioners Is comprised of Kristin Johnson, Christy Goldsmith Romero, Summer Mersinger, Caroline Pham, Dawn Stump, Dan Berkovitz and Brian 

QuIntenz. The request includes the entire e-mail chain In which the employee Is a sender or recipient (including a "cc" or "bee") of one or more e-mails 

in the chain. This request also includes any attachments. 2. All briefing books prepared for meetings attended by these (FTC leaders and employees to 

discuss FTX and related entities, 3. All meeting minutes and summaries for meetings involving FTX entities, FTX executives and FTX representatives 

from Jan. 1, 2019, through the date the search for responsive records Is conducted, 4, Calendar and appointment books during the period from Jan. ,, 

13-00085-FOIA 113/2023 On November 20, 2020, the CFTC published a report titled, Interim Staff Report Trading In NYMEX WT! Crude 01lfutures Contract up to, on, and 

aroundApril 20, 2020. Please provide the following 1nformat1on referenced ,n theCFTC report: • The "'multiple sources of 1nformat1on, collected and 

maintained by the CFTC covering end-of-dayposit1ons, aggregated Intraday transactions, and market depth 1nformat1on from the electronic central limit 

orderbook" relating to the period April 19 - April 21, 2020. CFTC Rep ,s -"[A]II relevant, reportedderivat1vetransactIons InvolvIng the May Contract 

during the spot period, April 17 to April 21. Staff of those dIv1s1onsanalyzed approximately 500,000 futures transactions," as well as data relating to "the 

use of commodity swapshedged with WTJ Contracts" relating to the period April 17, 2020 to April 21, 2020. (FTC Rep, JS, including butnot limited to: 

Reportable futures posItIons by significant market partIcIpants; Large trader reporting obta1ncdt~rough Form 40 filings required under Regulation 18.04; 

Part 20 1nformat1on for large traders for phys1calcommod1ty swaps; Parts 45 and 46 swap data recordkecping and report1ngsubmiss1ons made by various 

marketparticipants ,n swaps and options; and Trade 1nformat1on provided by Designated Contract Markets (DCMs) under Part16. -for the period from 

April 1, 2020 through July 1, 2020, all reportable futures posItIons by s1grnf1cantmarket partIcIpants, large trader reporting obtained through Form 40 

r.lings required under CFTC Regulation 18.04, Part 20 information for large traders for physical commodity swaps, Parts 45 and 46 swap data 

recordkeep1ng and reporting subm1ss1ons made by various market partIcIpants In swaps and options, and trade information provided by DCMs under 

Part 16. CFTC Rep. 15 n.59. -The underlying data used to create "Table 2: Reportat>le Trader Positions in May Contract" on pages 17-18 of the (FTC 

Report reflecting the numt>er of commercial and non-commercial traders in the May Contract at various points in April, along with their long and short 

posItIons. -The underlying data for t~c breakdown of market partIcIpants holding May Contracts 01 on April 20, 2020 going into the trading session 

presented ,n Figure 11; the underlying data for t~e analysis of the reduction ,n Open Interest during the trading session on April 20, 2020 depicted In 

Figured 12; and the breakdown of market partIcIpants holding May Contracts OJ going into the trading session on April 21, 2020. CFTC Rep. 20. ·The 

"comprehensive transaction dataset collected by the CFTC/' referred to on page 23 of the CFTC Report {"C. Intraday Trading"), which was used to 

analyze aggregated Intraday trading actIvIty, 1nclud1ng but not limited to· 1ntraday prices; volumes; and specific facts cond1tIon1ng on customer account 

details -The data collected from Vertex Analytics referred to on page 28 of the CFTC Report ("D. L1quId1ty & Order Book Analysis"). Please provide the 

underlying data being referred to, specifically daily market depth files and reconstructed limit order books for April J7-2 L 2020. -All records relating to 

the "DCBs" and "VL events" referenced on page 36 of the CFTC Report, including t>ut not limited to records reflecting the time when each DCB was 

triggered and each VL event occurred as well as a brief description of what caused t~c trigger/event, and t~e underlying raw data used to produce the 

grap~ on page 36 of the CFTC Report. -Any document requests the CFTC has received from the Chicago Mercantile Exc~ange Group ("CME") 

Granted/Denied in Part 

13-00005-FPA 1117/2023 all records, files, both hard and soft copy, all emails, notes written or type, all reports, schedules, statements, securities, CUSIP numbers, symbols, and 

any documentation related to (b)(6) that your agency has maintained records in various database, records, indexes, or 11st ,n Its possession 

under Title 5 U.S.C. §552, and the Comm1ss1ons rules contained in Title 17 CF R §I462(k) [ .] all Informat1on related to the symbols related to the 

Security Name(b)(6) in specific ticker symbol "FSEHX" FIdel1ty Advisor Short Duration High Income Fund- Class A 

other Reasons· Records not reasonably 

described 

23-00086-FOIA 1/5/2023 any available information on this ageny's regulation of CRYPTOCURRENCY In general and, spec1fIcally, COMMODJTY TOKENS, including, but not limited 

'"" " 

other Reasons - Public Records 

23-00087-FOIA 116/2023 Kindly provide me with copies of any and all correspondence between the CFTC and LedgerX LLC for the period of 05/29/2014·01/04/2023. other Reasons • Not a proper FOIA 

13-00006-FPA 1120/2023 any and all records concerning my name and SSN other Reasons • Not a proper FOIA 

13-00088-FOIA 116/2023 Kindly provide me with copies of any and all correspondence between the CFTC and North American Derivatives Exchange, Inc. {'NADEX', NFA ID other Reasons· Duplicate Request 

23-00089-FOIA 116/2023 We arc requesting an Excel spreadsheet that shows all CFTC registered firms as of October 31, 2022. Can you send me an Excel spreadsheet? Other Reasons - Public Records 

23-00090-FOIA 1/9/2023 I am seeking any and all records involving, - a referral of(b)/6) to the inspector general related to potential v1olat1ons of the Commodity 

Exchange Act - any communIcatIons between ethics off1c1als and the O!G related to (b)/6) - any referrals to the DIG in 2022 involving s~ort 

Denied in Full 
23-00091-FOIA 1111/2023 I request disclosure from the CFTC of any requests to social media companies (including, but not limited to: Twitter, Facebook/Meta, Google, ReddIt, other Reasons • No records 

T1kTok) for social media accounts or posts to be taken down or made non-public. The relevant time period would be from Jan. 1, 2016 to the present. 

These records are most likely held by the enforcement d1vIsIon, office of general counsel, and/or the office of public affairs, but may be held in other 

offices or div1s1ons, These requests may have been sent directly to the social media companies or sent to div1s1ons of the Federal Bureau of Investigation 

(FB]) or Department of Homeland Security (DHS), or the State Department's Global Engagement Center (GEC), (Date Range for Record Search: From 

21-00005-FOIA 10/9/2020 J. Records identifying policies and procedures, training materials, contracts, proposals or requests for proposals, and communications regarding the 

ImplementatIon and use of virtual communication tools, programs, and other meeting platforms, including but not l1m1tcd to Microsoft Teams, Google 

Duo, Zoom, Slack, Go-To-Mcct1ng/Go-To-Wcb1nar, or bespoke solutions on both class1f1cd and unclass1f1ed systems. 2. Records documenting or 

analyzing applied agency practices, including records documenting technical assistance, for the capture, preservation, and management of records from 

virtual communIcatIon tools, programs, and other meeting platforms utilized by the agency The time period for all requests Is from October 1, 2019 

Granted/Denied in Part 

21-00006-FOIA 

21-00001-CONS 

10/15/2020 

10/16/2020 

Could you provide us with any information available In relation to answering "Yes" to Question I , ,n the Canvas Capital SA 7R form - Regulatory 

Disclosures section? Question J, Is the firm or sole proprietor a party to any action, or Is there a change pending, the resolution of which could result in 

" 

The requester is seeking records related to all policies, procedures, guidelines, formal or informal guidance, advisories, directives, and memoranda 

concerning the acquIsItIon, processing, retention, or d1sscm1nat1on of data collected or generated through CBP's biometric services and infrastructure, 

1nclud1ng biometric templates concerning use of facial rccognItIon technology. Upon review of the responsive documents ,twas determined that 6 pages 

may be of interest to your agency. Please review the enclosed documents and return them to this office with your e~emptions and recommendations so 

Granted/Denied in Part 

Granted in Full 

21-00007-FOIA 10/16/2020 Any subpoenas or other documents related to concerns about v1olat1ons of the banking secrecy act with regards to the following companies or proJccts: 

1) BInance Holdings Limited 2) coInMarketcap opco, LLC 3) b1tFlyer, Inc 4) ByBit 5) Bequant Exchange Ltd 6) FTX Trading LTD 7) Huobi Group 8) OKeX 

Other Reasons - No records 

11-00008-FOIA 

21-00009-FOIA 

10/19/2020 

10/21/2020 

b)(6) Form 8-R outlines that he has been subject to dIscIplInary actions with respect to criminal disclosure matters. 

I am requesting documents 1 and 3 from file number RF05-003 In Category B, placed on the public record 05/18/2005, The first document Is from 

George R. Neumann, UnIversIty of Iowa to Chairman Gramm, Concerning 1992 Iowa Pres1dcnt1al Stock Market, dated 12/05/1991 and Is 2 pages long. 

The third document Is from George R. Neumann, UnIvcrsIty of Iowa, to Tina P. Shea, DIvIsIon of Trading and Markets, Concerning Iowa Electronic 

Denied In Full 

Other Reasons - No records 

21-00010-FOIA 10/21/2020 I am writing on behalf of our d1ent,(b)(6) to hereby request the following CFTC records: All records, created from November L 

2008 to May 31, 2017, that discuss or describe any invest1gat1on(s) of our client,(b)(6) for any alleged violations of the Commodity 

Exchange Act, 7 U.S.C. 1 et. seq,, or the 1mplement1ng regulations for that statutc,17 C.F.R. 1.1 et. seq., induding any and all records or evidence used 

to support the allegations directed against our client In the federal court action 1dent1f1ed as/h1/R1 

(SDNY), and all communications to or from the CFTC, from November 1, 2008 to the present, that discuss or describe any alleged or claimed vIolatIons 

of the above referenced Act and ,ts ImplementIng regulations pertaining to actions by our client, sent to or from any CFTC staff, any other federal 

agencies, any state or local government staff, and any other nongovernmental persons or business entities 

Granted/Denied in Part 

Granted ,n Full 

Trading of Event Contracts for Educational Purposes. The response to the document I am requesting Is CFTC Letter No 14-130, dated October 29th, 

2014 to Neil Quigley, Deputy Vice-Chancellor of Research at Victoria University of Wellington from Vincent McGonagle, Director of the 01vIsIon of Market 

Oversight, therefore, the letter I am requesting would be dated sometime t>efore October 29th, 2014, lt should also be from Neil Quigley and would 

11-00011-FOIA 10/21/2020 I am requesting Victoria University of Wellington's Request for No-Action Letter regarding the Operation of a Small-Scale, Not-for-Profit Market for the

10/27/2020 the Commodity Futures Trading Commission President's Budget and Performance Plan prepared for the Committee on Appropriations for fiscal yea cs Granted In Full - Public Records 21-00012-FOIA 

10/27/2020 On June 25, 2019, the CFTC settled charges against Merrill Lynch Commodities, Inc. ("'MLCI'') for spoofing, manIpulatIon and attempted manipulation. ' 21-00013-FOIA other Reasons • Fee-related reason

-'" 

11-00014-FOIA 10/27/2020 I request the case Ille and supporting data used as evidence against Tower Research Capital LLC {"Tower") Other Reasons • Fee-related reason

10/27/2020 any consumer complaints filed with the CFTC regarding Safeguard Metals, Lear Capital, American Hartford Gold Group (aka Hartford Gold Group), Granted/Denied in Part 

' 

21-00015-FOIA 

21-00016-FOIA 10/27/2020 I request the case file and supporting data used as evidence against Hard Eight Futures, LLC and Chernomzav whom the (FTC settled with on Other Reasons - Fee-related reason

'" 00,0 

21-00017-FOIA 11/6/2020 Any and all correspondence, 1nclud1ng but not l1m1ted to electronic communications since December 2019· Between the CFTC and Sen. Kelly Loeffler or 

the CFTC and the Office of Sen, Kelly Loeffler, regarding the following topics or keywords, Mortgage-t>acked securities, Intercontinental Exchange (ICE) 

or ICE Clear Credit or Bakkt, Dodd-Frank (PL 111-203), CARES Act (PL 116- 136); COVJD- J 9 or coronavirus, Cryptocurrency or b1tcoin; "financial 

market ut1l1ty"; or, SIFMU. If any records arc withheld or redacted, I request that you state the specific legal and factual grounds for w1thhold1ng any 

documents or portions of documents, please 1dent1fy each document that falls with scope of this request but Is withheld from release. If requested 

documents are located in another 1nstallat1on or bureau, I request that you please refer this request or any relevant portion ofth1s request to the 

appropriate installation or bureau. To the e~tent that the respondent records are available ,n electronic format, I would prefer to receive the information 

via email, particularly 1f provId1ng the information reduces the time or expense involved Otherwise, I will expect to receive the 1nformatIon in paper 

form, 'Date Rannefor Record Search From 12/1/2019 To 11/6/2020' 

other Reasons - No records 

11-00018-FOIA 11/2/2020 I am requesting a copy of any emails sent between Citadel staff (emaildomains:@citadel.com and@c1tadelsecunt1es.com) and CFTC staff (email

- Granted/Denied in Part 

21-00019-FOIA 11/13/2020 The registrant replied pos1t1vcly to Question J under the Financial Disclosures section. Would It be possible to provide more 1nformat1on on this 

' 

Granted ,n Full 

21-00020-FOIA 11/16/2020 I would like to request all relevant information regarding Case No. 16-cv-32-M (W.D. Okla,) One of the daimants in that case was (b)(6) 

h1/R1 /h1/R1 ' "" 

Granted in Full 
21-00021-FOIA 11/20/2020 A copy of all detailed statement of facts, prosecution documents, and agreements of the following market price manIpulatIon cases to be provided to 

me. The details of their misconduct, especially, when, how, and what consequences are the key information l am looking fore 1 JP Morgan Chase 

ManIpulatIon of U.S. Treasuries Markets and Commodity Markets, both at cash markets and future markets (As shown 

https://www.cftc.gov/PressRoom/PressReleases/8260-20} 2. Citigroup manipulation of U.S. treasury markets, both at cash markets and future markets. 

3. Deutsche Bank manipulation of U.S. treasury markets and commodity markets. (As shown https.//www.cftc.gov/PressRoom/PressReleases/pr7682-

18) 4. All other cases related to price man1pulat1on In treasury bonds, bills, notes, and futures markets. 5. Merrill Lynch CommodItIes Inc Manipulation o 

U.S. Commodity Markets 6. The Bank of Nova Scotia Manipulation of U.S. CommodItIes Prices 7, All other cases related to price manipulation In 

commodity markets. 8. JIongsheng Zhao, of Australia, with spoofing and engaging in a manIpulatIve and deceptive scheme In the E-mIn1 S&P 500 

futures contract market. I am Finance Scholar at University of Southern Cal1fornia,and this request is made for a scholarly purpose and not for a 

commercial use Disclosure of the renuested information to me ,s In the ~ubl,c interest because ii ,s lIkel" to contribute SI n1fIcantl to our understand,n 

Granted In Full 

11-00022-FOIA 11/24/2020 a copy of any emails sent between Dorothy DeWitt or Meghan Tente or Nancy Markowitz or Mel Gunewardena and Citadel staff (email domains: 

' ' 

other Reasons· Request withdrawn 

11-00023-FOIA 11/23/2020 1. All records ma1nta1ned or created by the Commodity Futures Trading Commission related to active or closed InvestIgatIons into dealers of precious 

metals. 2. All customer complaints received by the Commodity Futures Trading Commission related to any dealer of precious metals. 3. Copies of all 

subpoenas or requests for 1nformat1on issued by the Commodity Futures Trading Commission to any dealer of precious metals. 4. Copies of all 

subpoenas or requests for 1nformatIon issued by the Commodity Futures Trading Commission to any self-directed IRA adm,n,strator related to precious 

metals. 5. All communications between a representative of the Commodity Futures Trading Commission and any self-directed IRA custodian or 

administrator related to precious metals. 6. All communications regarding policy related to regulation of precious metals dealers t,y the Commodity 

Granted/Denied in Part 

11-00024-FOIA 11/24/2020 Electronic copies of any and all email correspondence sent from any of the following U.S. Commodity Futures Trading Commission off1c1als that mention 

any of the below keywords in the body, subject or attachment of the email from Sept 7, 2018, to the day this request is processed. Please include any 

attachments that were a part of these files, such as word documents, or PDFs or other types of documents U 5 Commodity Futures Trading 

Comm,ss,on Officials· - Chairman J. Christopher Giancarlo - Commissioner Brian D QuIntenz - Commiss,oner Rost,n Behnam - CommIss,oner Dawn 

DeBerry Stump - Commissioner Dan M. Berkovitz Keywords, - "climate change" "global warming" "extreme weather events" "greenhouse gas" -

Granted/Denied in Part 

21-00025-FOIA 11/24/2020 Please produce all documents including any writings, drawings, graphs, charts, photographs, records, communications, letters, correspondence, e-mails 

and attachments thereto, reports, samples, video or audio recordings, pleadings, affidavits, dedarations, motions, memoranda, briefs, exhit,1ts, answers 

to interrogatories, responses to requests for adm1ss1ons, transcnpts, oral testimony, summaries, notes, abstracts, databases, version control systems, 

source code and object code, data including derivatives and InterpretatIons, and/or any other document that is derived from or In connection with an 

InvestIgation, complaint, or admInistratIve or JUd1c1al proceeding, ongoing or completed concerning the lawsuit: Commodity Futures Trading Comm'n v. 

Tall,nex, No 2:17-cv-00483-DN (D Utah July 9, 2018); or, any of the persons or entities below or their registered agents, principals, or related entities: 

General Trader Fulfillment, LLC; Try Day Trading, LLC; Tall,nex; Co,nexx; Capital City Markets Freedom Wealth Group; Kev,n Jones; Ryan Van Dorn 

Other Reasons - Request withdrawn 

21-00026-FOIA 11/25/2020 A copy of the documents which bear Bates number ICUS 11.01.19 (1) • 000001 to ICUS 11.01.19 (1) • 000006. Referenced in this conf1dent1al1ty Denied In Full 

11-00027-FOIA 11/25/2020 A copy of any emails sent between CFTC staff and Citadel staff {email domains: ·:1l·citadel.com & @c1tadelsecunt1es.com) over the past 2 years. Include 

any attachments from the respons,ve emails. Please consult with your IT staff to conduct an agency wide email search. A 2018 audit conducted by the 

National Security Archive found that the CFTC was able to conduct th,s type of agency wide email search See https://nsarch,ve gwu edu/newsother Reasons· Request withdrawn 

11-00028-FOIA 11130/2020 I am requesting a copy of all emails sent or received by Heath P. Tarbert on September 29 and 28th, 2020. I also request any emails sent or received 

0 " 

Granted/Denied in Part 

21-00029-FOIA 11/30/2020 In the 45J415MRAU - most recent Annual Update for NB Alternatives Advisers LLC, there Is a positive answer for one of the questions, "Question E. Jn 

any case brought by a U.S. or non-U.S, governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the 

result of a settlement, consent decree or other agreement, to: have violated any provision of any investment-related statute or regulation thereunder; 

or have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, 

counterfe1t1ng, false pretenses, briber,, gambling, racketeering or misappropriation of funds, secuntIes or property; orO have willfully aided, abetted, 

counseled, commanded, induced or procured such vIolat,on by any other person; or[ have failed to supervise another person's act1v1ties under any 

investment-related statute or regulation thereunder? Yes." Please, would you be able to provide me w,th information as to what exactly this ,s about> 

Granted in Full 

21-00030-FOIA 11/30/2020 Records related to complaints that any 1nd1v1dual or entity has submitted about Tradestat,on Securities, Inc. (NFA JD 0307871) for the period of 

Oo o~o , oO 

Granted/Denied in Part 

21-00031-FOIA 1212/2020 Exhibit B: Deliverable Supply Analys,s and Exhibit D: Trucking Index Methodology to cert1f1cation letter of Nodal Exchange for National Van Freight Rate 

Futures dated March 22, 2019 and stored at https://www.cftc.gov/sites/defaull/f1les/f1l1ngs/ptc/19/03/plc032219nodaldcm041 pdf 

Denied In Full 

21-00032-FOIA 12/3/2020 A copy of the meeting minutes for the Monday, September 28th 2020 meeting/call t>etween Chairman Tarbert and Stephen Berger (citadel), 

additionally request a copy of the meeting/call minutes for the March 19th 2020 meeting between Chairman Tarbert and Kenneth Griffin (citadel). 

' Other Reasons - No records 

21-00033-FOIA 12/3/2020 I am requesting a copy of any emails sent between [FTC staff and Renaissance Technologies staff (email domain:@rentec.com) over the past JO years, ,o 

Granted/Denied in Part 

21-00034-FOIA 12/3/2020 Job Descriptions and Position Descriptions for all levels of Investigators and Futures Trading Specialists from 2009 to the present. Granted in Full 

21-00035-FOIA 12/3/2020 Any communIcatIons (including emails and other correspondence) between U.S. Sen. Kelly Loeffler and the CFTC on or after Dec. 3, 2019. This would 

include requests for Informat,on about funding for the agency and the extent of ,ts rule-making authority and comments about proposed rules 85 FR 

11596 regarding Pos,tIon L,m,ts for Derivatives, 84 FR 21044 regarding Certain Swap Data Repository and Data Reporting Requirements, and 85 FR 

21516 regarding Real-Time Public Reporting Requirements. (Date Range for Record Search: From 12/3/2019 To 12/3/2020) 

other Reasons • No records 

21-00036-FOIA 12/3/2020 Copy of all bids received for [FTC Consolidation Project at 77 W Jackson Blvd. Chicago, IL 60604 Other Reasons - No records 
21-00001-AP 12/3/2020 Appeal of FOIA No. 21-00015, for any consumer complaints filed with the CFTC regarding Safeguard Metals, Lear Capital, American Hartford Gold Group .. . Completely Affirmed 

21-00037-FOIA 1217/2020 I am requesting all records, at all CFTC offices, 1nclud1ng HQ, field offices, legal attaches, and fac1l1t1es that maIntaIn records under the CFTC's control, 

concerning Charles "Chad"' Hadley McAllister and Bullion Direct Inc. McAllister owned and operated Bullion Direct Inc., an online precious metal exchange 

from 1999 until 2015. It was based ,n Aust,n, Texas Please search for any and all records concerning the subject, Bullion Direct Inc., and anyone who 

worked for Charles Hadley McAllister and/or Bullion Direct, Inc. as either an employee or a contractor Please produce all records with their 

administrative markings intact, and all reports, memos and documents to include any and all administrative pages. ln excising material, please black ou 

rather than white out or cut out material. Please provide these records in a digital format since the law states that a governmental entity must provide 

d1g1tal records In a searchable or sortable format 1f the records exist In that format. 

Denied In Full 

21-00001-FPA 12/14/2020 Kindly provide me with copies of any and all CFTC records in which my name (b)(6) ,s mentioned for the period of 07/21/2010 12/13/2020 

" 

Other Reasons - Records not reasonably 

21-00038-FOIA 12/15/2020 -LabCFTC Study/Report, A CFTC ~ Primer on Virtual Currencies, also any reports or studies "crypto currencies mining" Granted in Full 

21-00039-FOIA 12/17/2020 all 1nformat1on pertaining to "swap transactions involving flip clauses" that the Commission either used or uses in establishing that it "believes" that the 

"standardized market risk capital charges" ,n Commodity Futures Trading Comm,ss,on "Capital Requirements of Swap Dea lees and Major Swap 

Participants" (September 15, 2020) 85 FR 57465 are "effective and appropriately calibrated" "The standardized market risk capital charges be,ng 

adopted are generally based on existing Commission and SEC standardized market risk charges for positions ,n foreign currencies, commodities, U.S. 

treasuries, equities and other instruments, which, ,n the Commission's long experience, have generally proven to be effective and appropriately 

calibrated to address potential market risk In the posItIons. The Commission believes at this time that this approach, In conJunctIon with other charges 

discussed herein, appropriately accounts for the wide variety of possible uncleared swap transactions that FCMs, fCM-SDs, and covered SDs may 

engage in, ,nclud Ing bespoke swap Ira nsact,ons InvolvIng flip clauses or other unique features." 

Granted/Denied in Part 

21-00040-FOIA 12/18/2020 Wolverine Asset Management replied Yes to one of the regulatory disclosures questions· Question E. Would it be possible to arrange for the CFTC to ., • 

Granted ,n Full 

21-00041-FOIA 12/21/2020 A copy or printout of the YouTube Creator's Page for the CFTC, which shows nonpublic videos on the agency's YouTube account. This page is available 

from the agency person responsible for the agency's YouTube account. To clarify, this request is for a lIstIng of all videos uploaded to your agency's 

YouTube channel, but are marked as UNLISTED or PRIVATE. I will agree to accept a printout of the YouTube's content channel page, lIstIng only those 

videos shown as UNLISTED or PRIVATE (this ,s eas,ly created using the "filter" button at the top of the v,deo lIst,ngs). 

Other Reasons - No records 

21-00042-FOIA 12/28/2020 All electronic correspondence, and any accompanying information, ,nclud,ng also, any attachments, a) sent to or from or which cop,es (whether as cc o 

bcc) Rostin Benham, that, b) includes, anywhere, 1) @googlegroups com, Ii) tsmilh@lbostontrust com, and/or 111) the phrase "climate risk disclosure" 

that ,s c) dated from July J, 2019 through the date you process this request, 1nclus1ve. 1) We request entire "threads" of which any responsive electronic 

correspondence Is a part, regardless whether any portion falls outside of the above time parameter, To narrow this request, please consider as nonresponsive electronic correspondence that merely receives or forwards newsletters or press summaries or 'cl1pp1ngs', such as news services or stories or 

opInIon pieces, 1f that correspondence has no comment or no substantive comment added by a party other than the original sender In the thread (an 

electronic mail message that includes any expression of opinion or viewpoint would be considered as including substantive comment; examples of nonresponsive emails would be those forwarding a news report or opinion piece with no comment or only "fyi"', or ("'1nterest1ng'"). Additionally, please 

consider all published or docketed materials, IncludIng pleadings, regulatory comments, ECF notices, news articles, and/or newslettecs, as 

nonrespons,ve, unless forwarded to or from the named persons with substantive commentary added by the sender. Energy Policy Advocates requests 

• a, '" 

Granted/Denied in Part 

21-00043-FOIA 12/28/2020 A copy of the listing of CFTC Office of Inspector General Investigations closed during Calendar Year 2020. Jf this request was submitted incorrectly to Granted in Full 

21-00151-FOIA 9/21/2021 I request the following records from the CFTC lntergovernmental Affairs Branche A copy of the most recent (or else possibly the "standard" or "canned ·1 

Legislative/Hill briefing on EACH of the following topics for which that office has such briefings, Funding, I) RJNS Markets, 2) Aluminum, 3) 

FinTech/LabCFTC/virtual currencies regulatory oversight, 4) Automated/High-Frequency/Electronic Trading, 5) Position Limits and Bona Fide Hedge 

Exemptions; 6) End-User related Concerns; 7) "Bad Actor" waivers w1th1n the Enforcement context; 8) Live Cattle Futures. I lImIt this request to a 

Granted ,n Full 

21-00152-FOIA 9/22/2021 A copy of the Economic Research report prepared for CFTC by consultant/contractor Economic Research Associates, Inc. under CFTC contract action ... Granted ,n Full - Public Records 

21-00153-FOIA 9/22/2021 A copy of each report on the investigation into a potential ant1-defic1ency act (ADA} v1olat1on. ]n FY 2014, CFTC did not freeze the pay of certain senior 

officials pursuant to an FY 2014 government wide appropriation provIsIon that has remained In each subsequent appropriation through FY 2018 

Granted/Denied in Part 

21-00154-FOIA 9/22/2021 A copy of the Fiscal Manual prepared at CFTC during the last three or four years with the aid of consultant Kearney & Company, P.C. w1th1n the scope of 

contract Order CF95232Y16FFMB0208 mod1f1cat1ons POOOOS through P00012 from GSA parent contract GSOOF031DA. If there Is no completed fiscal 

Manual, then I instead request a copy of the draft table of contents. If the draft table of contents is not releasable or available, then I request a copy of 

emails to and from Kearney regarding the development of the Fiscal Manual, and ,n order to m,nim,ze any admInistratIve burden, I agree to lImIt this 

Granted ,n Full 

21-00156-FOIA 9/23/2021 See request form. other Reasons • Not a proper FOIA 

21-00004-AP 9114/2021 The requestor has submitted an appeal for erroneously redacting and w1thhold1ng documents pursuant to Exemption 4 and 5, falling to provide adequate 

details concerning the contents of the pages entirely withheld, and constructive den1al/fa1lure to produce responsive records pursuant to Requests 2 

a " " 

Partially Affirmed & Partially 

Reversed/Remanded 

21-00155-FOIA 9/29/2021 Information concerning any oversight or investIgatIon of Young Myoung Kim and/or Hyundai LNG Sh1pp1ng and his, ,ts, or their man1pulat1on (IncludIng 

but not limited to manipulation through spoofing) or attempted manIpulat,on of prices for oil or oil futures (1nclud1ng but not limited to NYMEX Crude Oil 

futures and NYMEX E-m,nI Crude Oil futures) that relate to the period from January 1, 2019 - April 30, 2021. (Date Range for Record Search· From 

other Reasons • No records 
12-00135-FOIA 

12-00136-FOIA 

12-00137-FOIA 

12-00138-FOIA 

17-00011-FPA 

17-00012-FPA 

17-00013-FPA 

17-00014-FPA 

17-00018-FPA 

17-00019-FPA 

17-00020-FPA 

17-00021-FPA 

17-00022-FPA 

17-00146-FOIA 

17-00147-FOIA 

17-00148-FOIA 

19-00048-FOIA 

19-00049-FOIA 

19-00050-FOIA 

22-00001-FOIA 

22-00002-FOIA 

7/19/2012 

7/19/2012 

8/1/2012 

7/27/2012 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

8/28/2017 

9/18/2017 

9/18/2017 

9/18/2017 

3/14/2019 

3/15/2019 

3/18/2019 

1011/2021 

10/4/2021 

Peregrine Financial Corp report filed with the CFTC following its enforcement action against the firm on September 7, 2000 

In the Matter of Barclays PLC, Bardays Bank PLC and Barclays Capital, Inc. 

Correspondence to Senator Tim Johnson 

CFTC Enforcement Action Involving Peregrine F1nanc1al Group, Inc. 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)(6) that your agency have ma1nta1ned records ,n various databases, records, indexes, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to /bl/61 that your agency have ma1nta1ned records ,n various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to /bl/61 hat your agency have maintained records 1n various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)(6) that your agency have maintained records in various databases, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)(6) that your agency have maintained records in various databases, records, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP 

numbers, symbols, and any documentation related to 1(b)(6) that your agency have maintained records 1n various databases, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSIP - numbers, symbols, and any documentation related to /h1/R1 that your agency have ma1nta1ned records ,n various databases, 

Requesting all records, files, both hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to /h1/R1 that your agency have ma1nta1ned records in various datat>ases, records, 

Requesting all records, files, t>oth hard and electronic copies, all emails notes written or typed, all reports, schedules, statements, securities, CUSJP 

numbers, symbols, and any documentation related to (b)(6) that your agency have maintained records in various databases, records, 

Copies of: (1) all emails between CFTC spokeswomen Erica Richardson and Donna Faulk-White from September 13, 2017 to September 14, 2017. 

Please include emails from both their government email accounts and work-related emails on any personal accounts. (2) all emails between agency 

spokeswoman Erica Richardson and agency off1c1al Michael Gill from September 13, 2017 to September 18, 2017. Please include emails from both their 

government email accounts and work-related emails on any personal accounts. (3) all emails between agency spokeswoman Donna Faulk-White and 

agency official Michael Gill from September 13, 2017 to September 14, 2017. Please include emails from both their government email accounts and 

work-related emails on any personal accounts. (4) all emails between agency officials Michael Gill and Christopher Giancarlo from September 13, 2017 

to September 18, 201 7. Please include emails from t>oth their government email accounts and work-related emails on any personal accounts. (5) all 

emails between agency off1c1als Erica Richardson and Christopher Giancarlo from September 13, 2017 to September 18, 2017, Please include emails 

from both their government email accounts and work-related emails on any personal accounts. (6) all emails sent to or received by Erica Richardson, 

Christopher Giancarlo or Michael Gill from September 13, 2017 to September 18, 2017 that include any of the following terms: Faturech1, Crowell, 

Pr0Publ1ca, pro publ1ca or LedgerX. Please include emails from both their government email accounts and work-related emails on any personal accounts. 

(7) all emails between agency official Michael Gill or CFTC spokeswoman Erica Richardson (both from their government email accounts and work-related 

emails on any personal accounts) and Crowell employee Richard Holbrook (either at his work email address rholbrook@crowell com or any personal 

email address) from Septemt>er 13, 2017 to September 18, 2017 (8) all emails between agency official Michael Gill or CFTC spokeswoman Erica 

Richardson (both from their government email accounts and work-related emails on any personal accounts} and anyone with the email domain 

Copies of all emails between agency spokeswoman Erica Richardson or agency off1c1al Michael Gill and CFTC general counsel Daniel J. Davis from 

September 13, 2017 to Septemt>er 18, 201 7, Please include emails from both their government email accounts and work-related emails on any personal 

""'· Copies of all emails between agency official Michael Gill and anyone with the email domain@crowell.com This request spans from October 1, 2016 to .. Requesting all Commodity Futures Trading Commission Congressional Correspondence Logs or other records that track Congressional communications, 

including those maintained t,y component, regional or program offices, for correspondence received between January l, 2007, and December 31, 2018. ... ·~ Copies of any and all documents -- 1nclud1ng but not l1m1tcd to correspondence, filings, 1nvcst1gat1on memoranda, reports, studies, and surveys -- which 

are ,n the CFTCs possession, custody, or control that relate to, refer to, or concern leveraged or margin trading of Ethereum (ETH) at Payward, Inc. 

Requesting any email communications between the CFTC and Gain Capital Holdings, Inc. 

To clarify I would like the records of all scam reports that have been made to the CFTC that relate spec1f1cally to foreign exchange (forex) scams. 

available, I would l1~c these records for each year between 2016 and 2020. If records arc also kept that show the amount that has been lost to such " 

Investigation files relating to Cumberland DRW LLC, a cryptocurrency trading firm that 1s part of DRW Holdings Inc. 

Granted/Denied in Part 

Denied in Full 

Granted 1n Full 

Granted/Denied in Part 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Other Reasons - No records 

other Reasons • No records 

other Reasons - No records 

Other Reasons - No records 

Granted/Denied in Part 

Granted/Denied in Part 

Granted/Denied in Part 

Granted in Full 

Other Reasons - Duplicate Request 

other Reasons· Request withdrawn 

Other Reasons - Records not reasonably 

described 

Other Reasons • No records 
22-00003-FOIA 

22-00004-FOIA 

22-00005-FOIA 

22-00006-FOIA 

22-00007-FOIA 

22-00008-FOIA 

22-00009-FOIA 

22-00010-FOIA 

22-00011-FOIA 

22-00012-FOIA 

22-00013-FOIA 

22-00014-FOIA 

22-00015-FOIA 

10/6/2021 

10/6/2021 

10/6/2021 

10/6/2021 

10/7/2021 

2/8/2022 

10/7/2021 

1017/2021 

1017/2021 

1017/2021 

218/2022 

10/7/2021 

10/12/2021 

22-00016-FOIA 10/12/2021 

22-00017-FOIA 

22-00018-FOIA 

21-00044-FOIA 

21-00045-FOIA 

10/18/2021 

10/19/2021 

114/2021 

1/6/2021 

11-00046-FOIA 117/2021 

21-00047-FOIA 1111/2021 

21-00048-FOIA 1/14/2021

21-00049-FOIA 

21-00050-FOIA 

1114/2021 

1/15/2021 

The full files on the following reparation cases: /bl/61 was the Respondent In these 2 case. 

Pursuant to the Freedom of Information Act, 5 U.S.C. § 552, please provide me, • ]n the case Cr. No. 20-539 (ENV} which 15 USA v. Vitol Inc. at the 

District Court Eastern District of New York in December 2016, the Commodity Futures Trading Commission ((FTC) and the Department of Justice (DO]) 

reached a Deferred Prosecution Agreement with the company v,tol on a Foreign Corrupt Practices Act (FCPA) case, I sec~ the documents gIvIng 

evidence In the case. In particular, I sec~ documents gIvIng evidence on the Mexico scheme descnbed on the DPA released on December, J 2020 from 

Granted/Denie

Other Reasons 

d 

-

,n Part 

Not an agency record 

21-00051-FOIA 1/19/2021 I would like to ot>tain all documents for Comment File Number 92--004, as listed in this link: https://www.cftc.gov/foia/commentarch1ve2/fo192- Other Reasons - Request withdrawn 

I request a copy of the most recent CFTC Enterprise Risk Assessment, Enterprise Risk Profile, and/or Enterprise Risk Report. The Exact name for the nsk Granted/Denied in Part 

I request a copy of the InvestIgatIon letter sent by the CFTC Office of the Inspector General to the Senate during 2008, The letter was entitled "Report o 

I hereby request a copy of each email containing the word (b)(6) OR the misspelled word (b)(6) In the email account of Judith Ringle covenn1 ,, Can you please send me copies of the newest version of the notices of the existence+ character of each of it's system of records? See 17 CFT 146.11 

" I request a list of all Requests for Confidential Treatment made t,y companies to the CFTC over the past 20 years, Please provide responsive records in 

I request a copy of all emails sent or received by LabCFTC@cftc.gov since the creation of the email account. 

I request a 11st of all requests for meetings with LabCFTC since the beginning of the program See https://forms cftc gov/forms/LabCFTC aspx 

I request a copy of any emails sent between CFTC staff and anybody with the email domain ·:1l·cargometrics.com over the past 10 years. 

I request a copy of all emails sent or received over the past 4 years by Brian A. Hunt, a member of the division of enforcement, that include the nonI request a copy of all emails sent or received by cdo@cftc.gov since the creation of the email account. 

I request a copy of all emails sent or received by mar~ctreports@cftc.gov since the creation of the email account. 

I request a copy of all the CFTC server logs for wet>sites that match the following regex query: https://www.cftc.gov/dea/• 

I request a copy of all emails between large tradecs and the CFTC's data and technology staff relating to testing and implementing any Informat1on 

technology standards or systems necessary to accommodate compliance with CFTC Large trader reporting rules between 2010 and 2020. See for more 

information: https://content.next. westlaw.com/2-551-5446? IrTS- 202 I 0209080914353&trans,tionType -Default&contextData- % 28sc.Default% 29 

I request a copy of all briefing materials prepared by the Commission as part of their briefings to the Permanent Senate Subcommittee on Investigations 

relating to the Abuse of Structured Financial products See https://www.hsgac.senate gov/1mo/media/doc/REPORT- , 0 0 0 0 0 0 _ 00 _ 0 0 _ 00 _ 

I request a copy of all Closure Recommendation Memorandum created by the CFTC OJG over the past 10 years. 

A list 1nclud1ng name, rank, and email address of any Emergency Medical Technician, Paramedic, Military Corpsman, M1l1tary Medics, or other first 

A d1g1tal/clcctron1c copy of the transItIon briefing document(s) (late 2020) prepared by CFTC for the IncomIng B1den AdmInistratIon. 

l. The name of the last 2 most recent speakers, facilitators, or trainers for Dr. Martin Luther King Jr. observations and their fee received, 2. The name o 

the last 2 most recent speakers, facilitators, or trainers for Black History Month observations and their fee received. 3. Two email messages from the 

committee, agency point of contact, organizer, and/or program manager In charge of black affairs to the spea~er, fac1l1tator, or trainer for the 2 most 

recent Dr. Martin Luther King Jr, observances. 4. Two email messages from the committee, agency point of contact, organizer, and/or program manager 

In charge of black affairs to the speaker, fac1l1tator, or trainer for the 2 most recent Black History Month observances. 5. This Is for the headquarters 

All transcnpts of the E~amInatIons under Oath taken of Stephen Stroh mer and Igor Oystacher, including but not lImIted to, those taken on December 

'" '" "' 

Under the Freedom of Information Act, 5 USC Section 552, I am requesting 1nformat1on or records regarding the number of InvestIgatIons that the CFTC 

has opened into violations of the Commodity Exchange Act earned out through foreign corrupt practices for each of the years 2017, 2018, 2019 and 

2020 (the type of conduct referenced In this speech by former CFTC enforcement director James McDonald: 

httpsc//www.cftc.gov/PressRoom/SpeechesTest1mony/opamcdonald2) L1kew1se. I am also requesting the number of foreign corrupt practices 

Copies of the NFA reference documents submitted to the CFTFC In connection with the Swap Dealer Model Approval Program The specIfIc documents I 

am looking for are listed In footnote 11 of the CFTC's approval letter (https· //www.cftc gov/csl/21-03/download ) and consist of: First Day Request 

Letter CFDL"); Model Development Questionnaire ("Model Dev."'), Model Risk Management Questionnaire ("Model Risk"'); VaR Risk Questionnaire 

("VaR"'), Stressed VaR Risk Questionnaire ("SVaR"}, Market Risk Questionnaire ("Market"'), Credit Risk Questionnaire ("Credit"); Incremental Risk 

QucstIonnaIrc ("Incremental"); Comprehensive Risk Questionnaire ("Comprehensive'"); Spec1f1c Risk Questionnaire ( 'Spec1f1c"), 

Other Reasons - No records 

Granted/Denied In Part 

Other Reasons - Fee-related reason 

Granted in Full 

Other Reasons - Records not reasonably 

other Reasons - Not a proper FOJA 

other Reasons· Records not reasonably 

other Reasons· Records not reasonably 

Other Reasons - Records not reasonably 

Other Reasons - Records not reasonably 

Granted in Full 

other Reasons - Records not reasonably 

described 

other Reasons • No records 

Other Reasons - Fee-related reason 

Other Reasons - No records 

Granted/Denied ,n Part 

Granted/Denied in Part 

other Reasons • Not a proper FOJA 

Other Reasons - No records 

Denied In Full 
21-00052-FOIA 1/19/2021 Transcripts of conversations and communication that were collected as part of (1) Foreign Exchange Benchmark Cases, settled 2014-2015 (2) LIBOR 

Benchmark Cases, settled 2012-2015, and (3) ISDAFIX Benchmark Cases, settled 2015-2017. Examples of these communications have been disclosed 

on Press Release Number 7527-17, "Examples of Misconduct In Private Chat Rooms" dated May 20, 2015, and an undated document of the same name 

released by the CFTC Office of Put>lic Affairs, I will admittedly ask for too much as lam unsure what Is ava1lat>le, so would prioritlle complete 

communication d1sdosure so there is not bias introduced t,y incomplete files or transcripts. The relevant cases that may included these transcripts are. 

Foreign Exchange Benchmark Cases In re Barclays Bank PLC (May 20, 2015) ($400 m1ll1on penalty) (CFTC Press Release 7181 -15) In re C1t1bank, N.A. 

(November 11, 2014) ($310 million penalty) (CFTC Press Release 7056-14) In re JPMorgan Chase Bank, N.A. (November 11, 2014) ($310 million 

penalty) {CFTC Press Release 7056-14) In re The Royal Bank of Scotland pie (November 11, 2014) {S290 m1ll1on penalty) (CFTC Press Release 7056-14) 

In re UBS AG (November 11, 2014) {S290 million penalty) (CFTC Press Release 7056-14) In re HSBC Bank pie {November 11, 2014) ($275 million 

penalty) (CFTC Press Release 7056-14) LIBOR Benchmark Cases In re Citibank, N A , and affiliates (May 25, 2016) ($175 million penalty) (CFTC Press 

Release 7372-16) In re Deutsche Bank AG (April 23, 2015) ($800 million penalty) (CFTC Press Release 7159-15) In re UBS AG and UBS Securities 

Japan Co., Ltd. (December 19, 2012) (.POO million penalty) (CFTC Press Release 6472-12) ]n re Codperatieve Centrale Ra1ffe1sen-Boerenleent>ank BA 

(Rabobank) (October 29, 2013) ($475 million penalty} (CFTC Press Release 6 752- 13) In re The Royal Bank of Scotland pie and RBS Securities Japan 

Limited (February 6, 2013) ($325 million penalty) (CFTC Press Release 6510-13) In re Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. (June 

27, 2012) ($200 m1ll1on penalty) (CFTC Press Release 6289-12) In re Lloyds Banking Group pie and Lloyds Bank pie (July 28, 2014) (5105 m1ll1on 

penalty) {CFTC Press Release 6966-14) In re ICAP Europe LImIted (September 25, 2013) ($65 m1ll1on penalty) (CFTC Press Release 6708-13) In re RP 

Martin Holdings Limited and Martin Brokers (UK) Ltd. {May 15, 2014) (S1.2 million penalty) (CFTC Press Release 6930-14) ISDAFIX Benchmark Cases: 

In re The Royal Bank of Scotland pie (February 3, 2017) ($85 million penalty) In re The Goldman Sachs Group, Inc, and Goldman, Sachs & Co, NA, 

(December 21, 2016) ($120 million penalty) (CFTC Press Release 7505-16) In re C1t1bank, NA, (May 25, 2016) ($250 million penalty) (CFTC Press """"- "To n,n n. n .n,n n n. oL '"" .on our, er··" .. , n """"-

Denied In Full 

21-00053-FOIA 1121/2021 I request a copy of each email In the email accounts of each person in the CFTC Office of Legislative Affairs which contains ANY of the following words: 

CAPITAL, CAPITOL, POLICE, ATTACK, MOB, VIOLENCE, or TRUMP. I lImIt this request to emails on January 6 and January 7th. Please include TO, FROM 

and CC emails. You may omit compilations of news clippings I am researching the violent and deadly attack on our Nation's Capitol and on Congress 

other Reasons • No records 

21-00054-FOIA 1/22/2021 Email received by the Acting Chairman from January 21, 2021, to the present, from any 1nd1v1dual using the domain emailaddress"@who.cop.gov" Other Reasons - No records 

21-00055-FOIA 1/27/2021 I am searching for the Commodity Futures Trading Commission's contingency plan documentation for a lapse in government funding from 2017-2020. 

Spcc1f1cally I am looking for the number of total employees compared to the number exempt with the following subcategories of exempt employees from 

a lapse of appropriations: not compensated with annual appropriations, perform actIvItIcs authorized by law, perform actIvItIcs 1mpl1ed by law, discharge 

Granted in Full 

21-00056-FOIA 1/28/2021 Details of the regulatory disclosure that drove the "Yes" answer to Question E7 Granted In Full 

21-00057-FOIA 1/29/2021 Most recent 8R only. Denied In Full 

21-00058-FOIA 2/5/2021 I hereby request the production of the following documents:• All records pertaining to In the Matter of: John Edmonds, CFTC Docket No. 19-16, dated 

July 25, 2019; • All records pertaining to ]n the Matter of, Christian Trunz, CFTC Docket No. 19-26, dated September 16, 2019, • All records pertaining 

to In the Matter of: JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., and J.P. Morgan Securities LLC, CFTC Docket No. 20-69, dated September 29, 

2020; and• All records previously released by the CFTC relating to JP Morgan for the time period of January 1, 2008 to the present. 

Granted/Denied in Part 

21-00059-FOIA 2/9/2021 All documents relating to In the Matter of C1t1bank, N.A., CFTC Docket No. 15 - 03, which resulted in submission of an Offer of Settlement and Consent 

Order (entered November 11, 2014 ). This request includes, but is not lImIted to submissions, letters, white papers, presentation materials, notes of 

Other Reasons - Request withdrawn 

21-00060-FOIA 2/9/2021 1. All documents released In response to any FOIA request dated January 1, 2010 to present that requested documents relating to: A· I {see request 

descnptIon). 2. All documents and/or data produced to any of the following on or about January 23, 2020: Ranchers Cattlemen Action Legal Fund United 

Stockgrowers of America ("R-CALF USA"), Farmers Educational and Cooperative Union of America ("NFU"), WeInre1s Brothers, Charles "Chuck" We1nre1s, 

Eric Nelson, James "Jim" Jensen, Lucky 7 Angus, Richard "Rick" Chambers as trustee of the Richard C Chambers Living Trust, and/or Steven Graham. 

3. All documents submitted to the CFTC on or after January 1, 2015 t,y or on behalf of Ranchers Cattlemen Action Legal Fund United Stockgrowers of 

America CRCALF USA"), Farmers Educational and Cooperative Union of America ("NFU"), Weinre1s Brothers, Charles "Chuck" We1nreis, Enc Nelson, 

James "Jim" Jensen, Lucky 7 Angus, Richard "Rick" Chambers as trustee of the Richard C. Chambers Living Trust, and/or Steven Graham, 1nclud1ng but 

not l1m1ted to any "tips" or "complaints," relating to: A - B (sec request description), 4, All documents relating to a January 5, 2018 wh1stleblowcr 

complaint filed with the CFTC alleging manIpulatIon of the live cattle futures contracts market in January 2018. 5. All documents prepared or maIntaIned 

by the CFTC dated January 1, 2015 to present that discuss, analyze, study, or refer to any effects that trading by managed money, and/or large, 

Granted/Denied in Part 

21-00061-FOIA 2/12/2021 All Informat1on on myself other Reasons - Records not reasonably 

21-00062-FOIA 2/16/2021 REPORTS REGARDING POLITICAL APPOINTEE BURROWJNG. I am requesting releasable copies of reports regarding pol1t1cal appointees whom ,, Granted In Full 
21-00063-FOIA 

21-00064-FOIA 

11-00065-FOIA 

21-00066-FOIA 

21-00067-FOIA 

21-00068-FOIA 

21-00069-FOIA 

21-00070-FOIA 

21-00071-FOIA 

2/17/2021 

2/18/2021 

2/18/2021 

2/18/2021 

2/19/2021 

2/19/2021 

2/19/2021 

2/22/2021 

2/26/2021 

For any employee who, between June 1, 2020 and January 31, 2021, entered into a nonpolItIcal position• at the Commodity Futures Trading 

Comm1ss1on as an attorney or economist at CT-13 or above (including those who have accepted an offer of employment within the given time period) 

a. The posItIon into which the employee entered; and b. The resume provided by the 1nd1v1dual to the agency when applying for the position or 

determining the appropriate salary for the individual, or, if those are not available, a recent resume contained within the agency's records, We have no 

ol>Ject1on to the redaction of contact information (addresses, telephone numbers, email addresses) for the employee or references, or to the redaction o 

past salary i nformat1on, Employment, education, and professiona I association information is not exempt and we obJect to any redactions of such 

1nformat1on. ~For purposes of this request, please consider any employee In a PAS posItIon, a presidentially appointed posItIon, a non-career SES 

posItIon, a Schedule c position, or any adm1nistrat1vely determined posItIon to be a "pol1t1cal appointee," and thus outside the scope of this request. 

other emplo"ees who meet the above criteria should be included In this request. '" Copies of the documents listed below related to the following natural gas companies (hereinafter, "the Gas Companies"), Xcel Energy Jnc., Northern 

States Power Company, Dynegy Illinois Inc, (f/k/a Dynegy, Inc.): DMT G.P. L.L.C. (successor to DMT Holdings, L.P), Dynegy GP Inc., Dynegy Marketing 

and Trade; E Prime Inc.; The W1ll1ams Companies, Inc.; Williams Power Company, Inc. (f/k/a W1ll1ams Energy Marketing & Trading); and W11i1ams 

Merchant Services Company, Inc. This request Is limited to any documents related to one or more of the Gas Companies· activItIes that occurred during 

the time period of January 1, 2000 through October 31, 2002 (the "Relevant Period'"), unless otherwise stated. Spec1f1cally, we request the following 

documents· I. All communIcatIons, 1nclud1ng emails, telephone logs, correspondence, notes, meetings, and/or memoranda between CFTC employees, 

officials, agents, and/or contractors and the Gas Companies relating In any way to one or more of the Gas Companies' act1vil1es during the Relevant 

Period, 2. All internal communications, including emails, telephone logs, correspondence, notes, meetings, and/or memoranda among CFTC employees, 

officials, agents, and/or contractors relating In any way to one or more of the Gas Companies' act1v1ties during the Relevant Period. 3. All 

communIcatIons, 1nclud1ng emails, telephone logs, correspondence, notes, meetings, and/or memoranda between CFTC employees, officials, agents, 

and/or contractors and any and all other government departments, agencies, and/or bureaus relating In any way to one or more of the Gas Companies" 

actIvItIes during the Relevant Period. This request seeks all documents within Its scope that are In your possession and all such documents contained 

within the files and records of the CFTC, including, but not limited to: memoranda, internal communIcatIons, studies, findings, reports, InvestIgatIon 

notes, requests, appl1cat1ons, files, inquiries, surveys, witness surveys, telephone logs, 1nlerv1ew notes, Journals, referrals to other government 

copies of the documents listed below related to the follow1ng natural gas companies (hereinafter, "the Gas Companies"): AEP Energy Services, Inc.; 

American Electric Power Company, Inc.; Cantera Gas Company, LLC (f/k/a CMS Field Services, Inc.); CenterpoInt Energy Services, Inc. (f/k/a Reliant 

Energy Retail, Inc.), CMS Energy Corporation (a/k/a CMS Energy); CMS Energy Resource Management Company (f/k/a CMS Marketing Services & 

Trading Company); Coral Energy Resources, L.P.; Duke Energy Carolinas, LLC {f/k/a Duke Energy Corporation); Duke Energy Trading and Marketing, 

L.L C., El Paso Marketing, L.P. (f/k/a El Paso Merchant Energy, LP): Oneok Energy Services Company, LP (f/k/a Oneok Energy Marketing and Trading 

Company, L.P ): Oneok, lnc, Reliant Energy, Inc., (f/k/a Reliant Resources, Inc); and Reliant Energy Services, Inc. This request Is limited to any 

documents related to one or more of the Gas Companies' activities that occurred during the time period of January I, 2000 through October 31, 2002 

(the "Relevant Period"}, unless otherwise stated, Spec1f1cally, we request the following documents: 1 All communications, including emails, telephone 

logs, correspondence, notes, meetings, and/or memoranda between CFTC employees, off1c1als, agents, and/or contractors and the Gas Companies 

relating In any way to one or more of the Gas Companies' actIvIties during the Relevant Period. 2. All internal communications, including emails, 

telephone logs, correspondence, notes, meetings, and/or memoranda among CFTC employees, officials, agents, and/or contractors relating in any way 

to one or more of the Gas Companies' act1vil1es during the Relevant Period 3. All communications, 1nclud1ng emails, telephone logs, correspondence. 

notes, meetings, and/or memoranda between CFTC employees, officials, agents, and/or contractors and any and all other government departments, 

agencies, and/or t>ureaus relating In any way to one or more of the Gas Companies' act1v1ties during the Relevant Period, This request seeks all 

documents w1th1n ,ts scope that are in your possession and all such documents contained w1th1n the files and records of the CFTC, including, but not 

l1m1ted to: memoranda, internal communIcatIons, studies, f1nd1ngs, reports, InvestIgatIon notes, requests, appl1cat1ons, files, InquIries, surveys, witness 

surveys, telephone logs, IntervIew notes, Journals, referrals to other government agencies, correspondence, emails, and other communicatIons or 

All documentary evidence ma1ntaIned by the CFTC related to (b)(6) cooperation With the ICAP 1nvestigatIon, I e, copies of statements he provided, 

copies of depos1t1on transcripts, correspondence with (b)(6) counsel, etc. Also, should the CFTC have 1nvestIgated (b)(6) personally for his actions .. I would like to request copies of the resumes including appl1cat1on responses and ratings of those applicants including criteria (minus any Pl] data) of 

KalshiEX LLC ("kalshi") has recently been approved for des1gnat1on as a contract market, as described in this order, 

https ://www.cftc.gov/sites/default/files/fil1ngs/docu ments/2020/orgkex kalsh1des1g nation20 11 03.pdf J would like to see Ka lsh1's original application, '"' 

l) All documentation that shows whether $920 million in fines and restitution cited in this press release has t>een paid by JP Morgan -

https://www.cftc.gov/PressRoom/PressReleases/8260-20 Documentation would include, but not be l1m1ted to how much has been paid and date of 

each payment and type of payment (1.e. fine, restItutIon, etc). 2) All documentation that shows whether $127.4 m1ll1on In fines and restItutIon cited In 

this press release has been paid by Bank of Nova Scotia· https://www.cftc.gov/PressRoom/PressReleases/8220·20 Documentation would include, but 

not be limited to how much has been paid and date of each payment and type of payment (i.e. fine, restItutIon, etc). 

Any e-mails, including attachments, to or from the commissioners from January 1, 2018 through present that include the below terms· I. "Elon Musk" 2 

" 0 ' 

All wh1stleblower complaints regarding actual or perceived political 1ntetference, improper influence from political appointees, or White House influence 

or interference in agency hiring processes for career officials submitted to the Commodity Futures Trading CommIss1on Office of Inspector General, 

personnel thereof, and any agency deputy ethics counselors and ethics coordinators Please provide responsive records from January 20, 2017 through 

Granted/Denied in Part 

Other Reasons - Request withdrawn 

Other Reasons - Request withdrawn 

Denied In Full 

Granted/Denied In Part 

Granted/Denied In Part 

Granted/Denied In Part 

Granted/Denied in Part 

other Reasons • No records 
2/26/2021 All questions, complaints, or concerns regarding actual or perceived political 1ntetference, improper influence from polItIcal appointees, or White House other Reasons· Request withdrawn 

influence or interference In agency hiring processes for career officials submitted to the Commodity Futures Trading Comm1ss1on Ethics Div1s1on, 

personnel thereof, and any agency deputy ethics counselors and ethics coordinators Please provide responsive records from January 20, 2017 through 

21-00072-FOIA 

Copies of the newest version of the Notices of the Existence and Character of each of it's system of records. Sec 17 C.F.R. 146.11. Published In federal Granted ,n Full 

'" ' ' 

11-00073-FOIA 2/26/2021

21-00074-FOIA 1/4/2021

11-00075-FOIA 313/2021

Given the fact there appears a "leak" in the CFTC wh1stleblower program, specifically to out confidentiality of 1nformat1on submitted there under the Granted/Denied in Part 

wh1stleblowcr program I request you provide the following: 1. All 1nformat1on as 11 relates to the company you arc employed by as a "contractor" for the 

CFTC 2. All employment records of purported attorncy(b)(6) 3. What regulatory rules former attorneys of the CFTC do not need to follow for 

the private companies they are now employed by like purported LouIsIana/Texas Attorney(b)(6) 4. All 1nformat1on concerninq /bl/61 

(b)(6) who lays claim to a special status with the CFTC and seat on a board of the CFTC 5 All d1sc1plInary records of both(b)(6) 

(b)(6) (we not,(b)(6) is no longer registered with FINRA but still claims a special CFTC status) 6. All safety handling procedures of 

Information on the NFA Form for Semper Capital Management LP (NFA ID: 0422976) outlines a regulatory disclosure, Granted ,n Full 

21-00076-FOIA 3/11/2021 I am requesting any and all information on lnternatIonal Markets Live Inc., their CEO Christopher Terry, and their CFO Isis De La Torre, from other Reasons - Records not reasonably

21-00077-FOIA 3/15/2021 I would like to study the impact that the 1ntroduct1on of commod1tIes futures and options had on firm exposed to that commodity in the 2000-2020 Granted In Full

period, l would like a list of commodity name, commodity code, date of introduction, contract market name and written date from the Contract Market 

21-00078-FOIA 3/17/2021 The CFTC interview of Michael Nowak, formerly of JPMorgan, on August 3 and 4, 2010, taken as part of the CFTC's 1nvestigat1on from 2008 to 2013 into Granted/Denied in Part

alleged man1pulat1on of silver prices; and the CFTC IntcrvIew of Christopher Jordan, formerly of JPMorgan, on September 15 and 16, 2010, taken as part 

21-00079-FOIA 3/17/2021 Information regarding Andre Gu1lhcrmc Brandao Denied ,n Full

21-00080-FOIA 3/17/2021

21-00081-FOIA 3/17/2021

21-00082-FOIA 3/18/2021 1. All Documents concerning Communications from January 1, 2013 to November 11, 2014 relating to JPMorgan's November 11, 2014 entry into a Granted/Denied in Part 

consent order with the CFTC assessing, questioning, or d1sput1ng whether InteractIons between JPMorgan 's forc1g n exchange spot traders and traders at 

other banks constituted "'coordinated trading," whether such InteractIons amounted to an attempt to manipulate prices ,n v1olat1on of 7 U.S.C. §§ 9, 13b 

and 13(a){2), and whether the CFTC had 1urisdIctIon over the conduct ,n question. 2. All Documents concerning Communications from January 1, 2013 

to November 11, 2014 relating to the basis for the $310 million civil money penalty imposed on JPMorgan as part of the November 11, 2014 consent 

order t>etween JPMorgan and the CFTC, including t>ut not limited to Communications relating to whether and to what extent the amount of the penalty 

imposed was t>ased on the conduct of Richard Usher, the conduct of other JPMorgan foreign exchange spot traders, and JPMorgan's alleged failure to 

implement adequate controls to prevent its traders from engaging In allegedly improper communications with traders at other banks, 3. All Documents 

concerning CommunIcatIons from January 1, 2013 to November 11, 2014 (1nclud1ng but not l1m1ted to submIssIons, letters, white papers, presentation 

materials, or notes from meetings or phone calls) to the CFTC by JPMorgan or ,ts attorneys relating to the factual or legal basis for charges ,n the CFTCs 

InvestIgation of foreign exchange spot trading by JPMorgan, the November 11, 2014 consent order between JPMorgan and the CFTC, or Richard Usher, a 

former foreign exchange spot trader at JPMorgan 4. All Documents relating to witness interviews conducted by the CFTC or any other entity during 

1nvest1gations of foreign exchange spot trading, IncludIng but not limited to notes or memoranda from witness interviews conducted by the CFTC or 

other government entities or financial institutions, and any (FTC-created notes from meetings with other entities regarding such interviews, 

21-00083-FOIA 

21-00084-FOIA 

3/22/2021 

3/22/2021 

The following orders, any prior/related orders mentioned ,n them, and their dates: Dando Corp. - Decision of Judgment Officer Troy Mertz - Final Order Granted/Denied in Part 

,c ,d 

Any documents related to the following case: CFTC Docket No.· 89-RJOO Respondent: Calvin Lee Word, In particular, a "1992 default Judgment" against Granted ,n Full 

J. Unredacted copy of all "corporate character's'" for your agency that been filled and/or recorded with the State and/or the United States, from the Other Reasons - No records 

founding of your agency to this present day. 2. Un redacted copy of all "assumed name registrations" for your agency that have t>een filed and/or 

recorded with the State and/or the United States, from the founding of your agency to this present day, 3. Unredacted copy of your agency's "public 

1. All registrations recorded and on file under the data-base known as "system for award management," which clearly ident1r.es each and all of the other Reasons - Not an agency record 

following a entity's full name as registered, b entity's complete ma1lIng address; c. entity's "DUNS" number or transaction number for records; d 

entity's "cage-code"; e. entity's status; f. entity's expiration date, g. entity's purpose of registration; h, name and contact information of last person whr 

updated registration, i. name and contact information of entity's main point of contact, J- entity's recognition of t>eing what type of owned business; k. 

exact 1dent1f1cat1on and purpose of entity's use of all "PCS codes," "NAICS Codes," and "primary codes" as listed In entity's "SAM" registration and data21-00085-FOIA 3/23/2021 The following records from the CFTC from the time period January 1, 2013 to the present: 1. All records concerning the CFTC's communications with the 

SEC regarding XRP, Ripple, On-Demand Llqu1d1ty (formerly known as xRap1d), Bradley Garling house, and/or Christian A. Larsen. 2. To the extent not 

already produced in response to the previous request, all records concerning any statements made by the SEC with respect to whether XRP or Ripple's 

transactions Involv1ng XRP were subject to regulation under the federal securities laws. 3. All records concerning the CFTCs communIcatIons with the 

SEC regarding b1tco1n and ether. 4. All communications referenced by then-Chairman Tarbert when he stated In January 2020 that the CFTC had been 

"working closely with the SEC over the last year or so to really think at>out which falls in what t>ox," and documents sufficient to identify the CFTC and 

SEC employees who engaged in those discussions and who "work[ed] closely" on that issue. 5. All communications t>etween CFTC and third parties 

about XRP, 1nclud1ng but not l1m1tcd to communications concerning XRP's legal status or regulation by any governmental agency, InquIncs received by 

the CFTC from third parties, or the CFTC's response to such InquirIcs. 6. All communIcatIons to or from any industry groups regarding the regulation of 

virtual currencies, 1nclud1ng but not l1m1ted to XRP, b1tco1n or ether. 7. All communications to or from the Lcg1slat1vc or Jud1c1al Branches of the U.S. 

Government, or any State, terntonal, or local agency, LegIslatIve, or Jud1c1al branch, regarding the regulation of virtual currencies, including but not 

limited to XRP, bitco,n or ether. 8. All speeches and public statements ,n which any CFTC off1c1al expressed uncertainty or lack of clarity (as Chairman 

Granted/Denied in Part 
21-00002-AP 3/26/2021 Appeal of FOIA No. 21-00078, for the CFTC interview of Michael Nowak, formerly of JPMorgan, on August 3 and 4, 2010, taken as part of the CFTC's 

1nvest1gation from 2008 to 2013 into alleged manIpulatIon of silver prices; and the CFTC IntervIew of Christopher Jordan, formerly of JPMorgan, on 

September 15 and 16, 2010, taken as part of the CFTC's invest1gatIon from 2008 to 2013 into alleged manipulation of silver prices. 

Completely Reversed/Remanded 

11-00002-CONS 3/24/2021 The attached FOIA request and nine responsive pages, which contain information of primary interest to your office, arc forwarded for your review and Granted ,n Full 

consultation. The documents were 1dcnt1f1cd by the DoD Defense Advanced Research ProJect Agency (DARPA) as being responsive to the attached FOIA 

request from Mr. Os1pov1ch. Please provide this Office with your views regarding disclosure of the enclosed nine pages, applying any recommended FOIA 

exemptions. Please note that this record is undergoing concurrent reviews by other equity holders. For the CFTC's awareness DARPA's recommended 

21-00086-FOIA 3/30/2021 March 30, 2021 FOIA Compliance Officer: Under the Freedom of Information Act, 5 USC Section 552, I am requesting 1nfom,at1on or records regarding other Reasons • No records 

Navinder Singh Sarao, a UK resident the CFTC charged in 2015 for Price Man1pulat1on and Spoofing. I would spec1f1cally like to request copies of any 

videotaped 1ntervIews (or transcripts) from any meetings between NavInder Singh Sarao and Jeff Le Riche and/ or other members of the CFTC 

(Commodity Futures Trading Commission) on or around 8 November 2016 I believe these meetings took place at the Dirksen Federal Building, Chicago. 

I agree to pay any search, review, or copying fees that may be incurred in processing this request, up to a limit of SSOO. If you have any questions 

at>out the handling of this request, you may telephone me at+ 44 7988 677 780 or email me at adamt@outlineproductions.co.uk Sincerely, Adam 

Townsend Outline Productions Ltd Bankstock Bu1ld1ng (2nd floor) 42-44 De Beauvoir Crescent London Nl 5SB 

21-00087-FOIA 3131/2021 An electronic copy (e.g. pdfs on a CD-ROM or v,a email) of any records that 1nd1catc membership on a hiring committee that hired, since January 1, Other Reasons - No records 

2017, IndIvIduals into a non-pol1t1cal pos1t1on* at the Agency as an attorney or economist at the CT-13 level or higher. 'for purposes of this request, 

please consider any employee ,n a PAS position, a presIdentIally appointed position, a non-career SES posItIon, a Schedule C position, or any 

administratively-determined position to be a "'pol1t1cal appointee," and thus outside the scope of this request. All other employees who meet the above 

13-00092-FOIA 1/13/2023

23-00093-FOIA 1/17/2023

Good afternoon, In June 2021, President BIden signed an executive order directing federal agencies to "increase the avaIlabIlIty and use of dIversIty, Granted/Denied in Part 

equity, InclusIon, and accessibility training programs for employees, managers, and leadership." Under the Freedom of Informat,on Act, I am requesting 

copies of any training materials presented to employees, managers or leadership on the topic of d1vers1ty, equity, inclusion and access1bil1ty. Please 

begin the search on Jan 1, 2022, and end the search on the date that the request IS fulr.lled. Please include traInIngs regardless of whether they 

preexisted President Biden's executive order mentioned above, To the extent that participation in such trainings is statistically tracked, please provide 

that data as well.Jam also requesting any vendor contracts, agreements or proposals related to the creation and/or presentation of those training 

materials, Please consider waIvIng fees, since the 1nformat1on Is being sought In the public interest by a media organization. If there arc fees for this 

request, please advise before ,tis fulfilled. If you deny any part of this request, please explain under what exemption the 1nformat1on Is being withheld. 

Thanks--! appreciate "Our help. I'm at: 917-324-0842. best, K le •• K"le Peterson The Wall Street Journal 

CFTC's 1nvest1gation of UBS Financial Services, Inc. and UBS Securities, LLC (collectively, "UBS") which resulted In the CFTC's Order Jnstituting Other Reasons - Public Records 

Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions issued on or about 

September 27, 2022 In CFTC Docket No. 22-42, captioned In the Matter of UBS AG, UBS F1nanc1al Services, Inc., and UBS Securities LLC ("CFTC 

Order"), Spcc1f1cally, the materials requested arc as follows: 1. Documents and/or communications sufficient to 1dent1fy the CFTC personnel who were 

involved with the investIgatIon that resulted ,n the CFTC Order. The above requests are designed to discover the relevant custodians with respect to the 

CFTC Order, and ultimately discover information relating to, among other things, the CFTC's investIgatIon into the use of off-channel and unpreserved 

communications at broker dealers in general, and the CFTC Order perta1n1ng to UBS In particular 

23-00094-FOIA 1/17/2023 All rulings and fines levied against NInjaTrader Brokerage, LLC ("NTB'") and NInJaTrader Clearing, LLC (''NTC') since 2010 other Reasons • Public Records 

23-00095-FOIA 1/17/2023 I request disclosure of all records consIstIng of, concerning, referring to, or relating to complaints or reports filed to CFTC concerning so-called "recovery Granted/Denied In Part 

sea ms," Sec: https://www .cftc.gov/LcarnAnd Protect/Adv1soricsAndArt1clcs/Rccovcryfrauds, html If necessary, pica sc search your email records using 

the following list of non-exhaustive search terms: "'recovery/ "'cryptocurrency," "Ethereum," "Bitco,n," '"recovery scam." Spec1f1cally this request Is to 

include any and all releasable personnel records, any and all commendations, internal and external correspondence, agendas, memos, guidelines, 

talking points, guidances, legal briefs, presentations, manuals, and/or instructions pertaining to cryptocurrency-related recovery scams. This request 

applies specifically to any and all relevant images, graphics, illustrations, video or audio recordings, and datasets In your agency's possession (Date 

23-00100-FOIA 1/23/2023 Information from vIsItor logs at CFTC headquarters referring to vIsIts by employees of FTX and its affiliates between Jan. 1, 2021 and Dec. 31, 2022. For Granted In Full 

any records that turn up, please include the date and time of the visit, and the names of any CFTC off1c1als that appear in the vIsItor log. Please be sure 

to include representatives from the following companies who vIsIted the CFTC: -FTX -LedgerX ·Alameda -FTX US Derivatives -FTX US -West Realm 

Shires lf not captured by the previous search parameters, please also include any vIsIts by following 1ndiv1duals, regardless of company name· -Sam 

Bankman-Fried -Mark WetJen -Ryne Miller -Eliora Katz -Ryan Salame -Gabriel Bankman-Fried -Nishad Singh -Gary Wang 

23-00101-FOIA 1/23/2023 Any calls or text messages between the mobile phone of CFTC Chairman Rost1n Behnam and the numbers (650)906- 9179 or (202) 277-9518 

13-00102-FOIA 1/23/2023 From Jan. 1, 2020 to Dec. 31, 2022, emails between sam@ftx.com and any of the following CFTC off1c1als: Rost,n Behnam, Summer Mersinger, Caroline Denied In Full 

13-00007-FPA 1/30/2023 I am requesting any and all information or records regarding a compla1nt(b)(6) including any decIsIon or response Granted/Denied in Part 

h,, h1/R1 

23-00008-FPA 1130/2023 I am requesting any and all 1nformat1on or records regarding a TCR complaint (b)(6) Granted ,n Full 

/h1/R1 

23-00105-FOIA 1/30/2023 Kindly furnish me with copies of any and all complaints against LedgerX LLC received t,y the CFTC Division of Enforcement and the CFTC Wh1stleblower Granted/Denied in Part 

Office, along with copies of any and all responses or dec1s1ons rendered by the CFTC, for the period of 05/29/2014-01/30/2023. Please refer to my FO!A 

.. "' 
23-00106-FOIA 1/30/2023 Between Jan. 1., 2020 and Dec. 31, 2022, the number of emails sent from saml)Ht~.com and each of the following CFTC commissioners: Rostin other Reasons • Not a proper FOIA 

Behnam, Summer Mersinger, Caroline Pham, Kristin Johnson, Christy Goldsmith Romero, Brian QuIntenz, Dawn Stump, and Dan Berkovitz For the request for some other reason 

same time period, please also tally the number of emails sent from the aforementioned CFTC commissioners to sam@ftx com Please note that I am not 

requesting copies of the emails at this time, but rather a count of emails sent between these parties, The information being requested Is similar in 

23-00001-AP 

23-00103-FOIA 

23-00104-FOIA 

211/2023 

2/3/2023 

2/6/2023 

nature to information voluntarily provided t,y CFTC Chairman Rost1n Behnam in testimony t>efore the Senate Agriculture Committee about the numt>er of 

times he had met with Sam Bankman-fried (the owner of the email address), In add1t1on, 1f possible, please inform the date of each email. 

I ask that my request be given expedited processing because there Is an urgency to inform the public about federal government actIvIty before, during other Reasons· Appeal Based Solely on 

and after the collapse of FTX and related entities, and lam a pecson primarily engaged In d1ssem1natIng information. Denial of Request for Expedited Processing 

information or records regarding Jeffrey E Epstein (1/20/1953-8/10/2019) other Reasons - Records not reasonably 

Memoranda, calendar entries, or scheduling emails, meeting Inv1tations, or any other record regarding the scheduling of In person or virtual meetings 

between: a) Sam Bankman-Fried, Mark Wetjen, Ryne Miller, El1ora Katz, Ryan Salame, Gabriel Bankman-Fried, Nishad Singh, Gary Wang or any other 

23-00107-FOIA 218/2023 

individual who at the time of the meeting was a known employee or representative of FTX, LedgerX, Alameda Research or West Realm Shires. AND b.} 

Any employee, office or d1v1s1on of the Commodity Futures Trading CommIssIon during the calendar years 2021 and 2022 

l. Any written authority from the Office of Personnel Management (OPM} to the CFTC to allow the CFTC to deviate from OPM's position classification Other Reasons - No records 

standards to spcc1f1cally include attorney positions; 2. Any written communications from the CFTC to OPM seeking to or informing OPM that the CFTC w,I 

use class1f1cat1on standards that do not follow OPM class1ficat1on standards; 3. Any written communications between OPM and the CFTC concerning the 

CFTC's application of class1f1cat1on standards to CFTC positions; 4. Any written CFTC policy, procedure, practice or guidance stating the standards the 

23-00108-FOIA 218/2023 

agency applies to class1ficat1on matters to include whether the CFTC strictly applies OPM class1f1cation standards or class1ficat1on standards that differ 

from OPM; and 5 Any OPM reports or audits concerning the number ofCT-15s that the agency has on staff or that otherwise address CFTC staffing 

l. Copies of all dass1f1cat1on standards used since 2015 to classify attorney CT J4's and CT !S's positions, within the Office of the General Counsel, or Other Reasons - Public Records 

the Legal DIvIsIon, depending on the name of the office during this t1meframe; 2. Copies of all class1/lcat1on standards used since 2015 to classify CT 

23-00109-FOIA 219/2023 

14's and CT 1s·s posItIons within the DivIsIon of Administration, or Executive Director's Office depending on the name of the office during this 

We respectfully request any or all communication between Mob1us Risk Group ("MRG"} and the CFTC regarding sequential execution, Specifically, MRG Other Reasons - No records 

states on their website that "We engage with a single potential counterparty at a time to solicit and negotiate pricing terms for a client's swap 

transaction, and ,f trade terms cannot be agreed, only then do we move on to engage with another potential countcrparty." Such correspondence may 

also be related to them, as a CTA Commodity Trading Advisor, being required to be registered as a Swap Execution facility ("SEf") and/or a 

23-00110-FOIA 

23-00111-FOIA 

23-00112-FOIA 

23-00113-FOIA 

23-00002-AP 

23-00114-FOIA 

23-00115-FOIA 

23-00001-REF 

23-00116-FOIA 

23-00117-FOIA 

23-00118-FOIA 

2110/2023 

2113/2023 

2123/2023 

2/23/2023 

2127/2023 

3/2/2023 

3/6/2023 

3/6/2023 

3/6/2023 

317/2023 

3/8/2023 

determInatIon that their activities may or may not be comprised of assistance between multiple clients transacting swaps with multiple counterpart,es. 

Please limit the focus of the request to Market Oversight {DMD) and/or Market PartIcIpants DivIsIon {MPD) from September 1, 2022 to present. 

From January 20, 2021, through the date this request Is processed, records of communications and meetings - including emails, text messages, phone Other Reasons - No records 

records and call logs, Teams or Zoom meetings information and chats, calendar inv1tat1ons, and messages sent on encrypted messaging applications -

conducted between Senator Amy klobuchar and her staff (domain: @klobuchar.senatc.gov) and the CFTC off1c1als spcc1f1cd below regarding FTX, FTXrelated companies Alameda and LedgerX, and/or Sam Bankman-Fned: Chairman RostIn Behnam; Chief of Staff David G1llers; Deputy Chief of Staff 

Laura Gardy; Chief Counsel John Dunfee; Fin Tech Policy and Technology Advisor Jason Somensatto; Commissioner Kristin N. Johnson; Chief Counsel 

Bruce Fekrat; Comm1ss1oner Christy Goldsmith Romero; Chief of Staff and Senior Counsel Joseph R. Cisewski; Comm1ss1oner Summer K Mersinger; 

Chief of Staff and Counsel Chris Lucas; Commissioner Caroline D. Pham; Chief of Staff Meghan Tente; Chief Counsel Gates S Hurand and Dan 

Berkovitz. (Date Range for Record Search, From 1/20/2021 To 2/10/2023) 

Any and all information relating to any correspondence, 1nvest1gation, analysis, review, account, communication, and/or electronically stored information Other Reasons - Records not reasonat>ly 

Dear Sir/Madam, I would like to inquire 1f there is any progress towards the below fraud case, /bl/61 Other Reasons - Not a proper FOJA 

h1/R1

I would like to submit a request for an inventory of all active CFTC leases. SpecIf1c Informat1on that I am looking for Is· rent per square foot, annual rent other Reasons - Not an agency record 

lessor name, square footage occupied, Lease commencement/expiration, and address, Please provide the document in excel spreadsheets. 

Appeal of the January 24, 2023 denial of FOIA Request No. 23-00098-FO]A, Completely Affirmed 

Open an onlIne banking System account other Reasons • Not a proper FOIA 

Please provide me with the number of crypto-related scam reports during the following years: 2022 2021 2020 2019 2018 Other Reasons • Not a proper FOIA 

FGI requests records for calendar years 2018, 2019, 2020, and 2021 of the total aggregate hours of leave used by all employees from all federal Granted ,n Full 

agencies for which the National Finance Center processes the transactions ,n the following categories:• Annual leave• Restored leave• Compensatory 

All records related to Its InvestIgation into GoldlIne, Inc., IncludIng but not limited any closing letters, closing reports or Wells notices other Reasons • No records 

All written communIcatIons between lawyers for FTX Trading at law firm Sullivan & Cromwell (particularly Dan Friedberg) and the CFTC relating to CFTC Other Reasons - Records not reasonably 

1nformat1on requests about the ava1lab1l1ty of FTX Trad1ng's cryptocurrency exchange to persons In the United States and know Your Customer pol1c1cs described 

and procedures. Time period Is from July 1, 2021 until July 2, 2022. (Date Range for Record Search: From 711/2021 To 712/2022) 

09/27/2022 Citibank - docket 22-46 Bank of America - docket 22-38 Granted in Full 
23-00009-FPA 3/13/2023 a copy of my privacy records being held at CFTC. other Reasons· Records not reasonably 

13-00133-FOIA 3130/2023 an index log of all FO!A requests concermng or referencing Jeffrey Epstein. Granted/Denied In Part 

23-00134-FOIA 3/31/2023 Taylor Research Group ('TRG"} hereby requests access to copies of any and all records in the possession, custody, or control of the Commodity Futures 

Trading Commission (the "CFTC"), Michael Frisch, Jeffery Gomberg, and/or Brigitte Weyls related to the subpoena duccs tecum served on BIttrcx, Inc. 

("B1ttrex'") on May 15, 2018 In connection with the CFTC"s InvestIgatIon regarding In re IFInex Inc., BFXNA Inc., and BFXWW Inc., CFTC Docket No, 22-

" " 

Denied in Full 

23-00135-FOIA 4/6/2023 From December 1, 2022, through March 24, 2023, records of commun,cat,ons between the following 11st of Signature Bank executives and the 11st of 

CFTC officials, CFTC Officials: a) Chairman Rostin Behnam b) Chief of Staff David Gillers c} Deputy Chief of Staff Laura Gardy d} Chief Counsel John 

Dunfee e) Fin Tech Policy and Technology Advisor Jason Somensatto f) Commissioner Kristin N. Johnson g) Chief Counsel Bruce Fekrat h} Commissioner 

Christy Goldsmith Romero 1) Chief of Staff and Senior Counsel Joseph R. C1sewsk1 J) Commissioner Summer K. Mersinger k) Chief of Staff and Counsel 

Chris Lucas I) CommIssIoner Caroline D. Pham m) Chief of Staff Mcghan Tentc n) Chief Counsel Gates s. Hurand Signature Bank executives: I. Scott A. 

Shay, Executive Chairman II. Walter Rabin, President & CEO-Signature FInancIal III. Bnan Twomey, Chief Credit Officer & Senior Vice President IV. 

Thomas Kasulka, Chief Lending Officer & Executive Vice President V. Maggie TImoney, Director VI. John Tamberlane, Vice Chairman Vil. Bnan 

Wyremsk,. Director-Investor Relat,ons Vlll. lames Canepa, Manag,ng Group Director & Senior V,ce President lX. Mara Huntington, Managing Gp DirNational Lending-Venture Bkng Gp X Keisha Hutchinson, Chief Risk Officer & Sen,or Vice President XI. Joseph l. DePaolo, President, Chief Executive 

Officer & Director X]J. Eric R, Howell, COO, Executive VP-Corporate & Business Development Xlll. Stephen Wyremsk1, Chief F1nanc1al Officer & Senior 

~ •rn ~ "' •• • la"' ~ "' "'" r 

other Reasons - No records 

23-00136-FOIA 4/6/2023 From December I, 2022, through March 24, 2023, records of communications and meetings - including emails, text messages, phone records and call 

logs, Teams or Zoom meetings 1nformat1on and chats, calendar InvItatIons, and messages sent on encrypted messaging applIcatIons - conducted 

between Senator Elizabeth Warren and/or her staff {domain: ·:1l·Warren.senate.gov) and the CFTC off1c1als specified below regarding Signature Bank. 

CFTC Officials: a) Chairman Rostin Behnam b) Chief of Staff David GIllers c) Deputy Chief of Staff Laura Gardy d) Chief Counsel John Dunfee e) FInTech 

Policy and Technology Advisor Jason Somensatto f) Commissioner Kristin N Johnson g) Chief Counsel Bruce Fekrat h) Commissioner Christy Goldsm,th 

Romero 1) Chief of Staff and Sen,or Counsel Joseph R. Cisewski J) Commissioner Summer K Mersinger k) Chief of Staff and Counsel Chris Lucas I) 

Commissioner Caroline D. Pham m} Chief of Staff Meghan Tente n) Chief Counsel Gates S. Hurand 

Other Reasons - No records 

23-00137-FOIA 4/10/2023 All purchase orders (POs), task orders (TOs), and related contract documentation for computer-assisted legal research (CALR) services provided by Granted/Denied in Part 

21-00088-FOIA 4/7/2021 I request a copy of the proposed but unreleased CFTC order regarding ErisX self-cert,f,ed NFL futures contracts ("Order"), as described ,n Comm,ss,oner 

Brian D. Qu,ntenz' public statement dated Mar 25, 2021, and posted on the CFTC's website at 

www.cftc.gov/PressRoom/SpeechesTestimony/qu1ntenzstatement032521 The order is referred to by Commissioner Quintenz where he states 

"Commission staff proposed an Order that found the ErisX NFL contracts involved gaming, were prohibited by regulation, and were also contrary to the 

public interest. This proposed Order (which for s1mpl1c1ty's sake I will refer to Just as the Order) was rnculated to the CommIssIon for a vote, ut1l1z1ng a 

process where the Order Is considered by the most Junior CommIssIoner first then moving to the next CommIssIoner In seniority, Just hours before this 

voting process could conclude, and likely ,n antIcIpation of the Order's approval by the Commission, ErisX decided to withdraw their cert1f1cat1on, 

preventing the Order from being fully and formally considered by the CommIssIon and publicly issued.'" Commissioner Quintez statement, para. 2. This 

request IS ,n the public interest for reasons which include those stated by Commissioner Qu,ntenz: the CFTC's "staff"s analysis and working law that was 

appl,ed to the ErisX NFL contracts may apply In current or future direct (staff] discussions With exchanges to similar contracts, and outside of the 

purview of the Commissioners or the public. But the legal analysis and interpretations will remain secret until forced into the open by another, bolder 

exchange's decision to see a selkertif1cation process through to a conclusion." ", para. 3. Commissioner Qu,ntenz performed a valuable public service 

by provIdIng insight into the analysis and application of law In the CFTC"s preparation of the unreleased Order regarding ErisX"s self-cert1f1ed NFL futures 

contracts. However, this insight remains incomplete without public disclosure of the Order. Former CFTC Chairman Heath P. Tarbert, under whose 

tenure the Order was prepared, stated that the CFTC '"serve[s its] markets best when [111 actfsl with the benefit of public input and dialogue," and that 

the CFTC "'owe[s] 11 to those who rely on our derivatives markets to regulate in the open." See Heath P. Tarbert, statement before open meeting, 

"Tripling Down On Transparency" (Dec 10, 2019), https://www cftc gov/PressRoom/SpeechesTestimony/tarbertstatement121019 

Den,ed ,n Full 

21-00089-FOIA 4/13/2021 Copies of any subpoenas sent out by the CFTC mentIonIng any of the following companies: 1) BInance Holdings Limited 2) co,nMarketCap OpCo, LLC 3) 

b1!Flyer, INC 4) ByBIt 5) Bequant Exchange Lid 6) FTX Trading LTD 7) Huob1 Group 8) OKeX 9) Uniswap 10) Bisq 11) Airswap Protocol 12) !DEX 13) 

Bancor 14) Kyber Network 15) Decred DEX 16) SushiSwap 17) DeFI Money Market 18) Cha1nl1nk 19) Wrapped BItcoIn 20) AAVE 21) Compound 22) 

Other Reasons - No records 
21-00090-FOIA 5/5/2021 1. All records relating to the June 26, 2018 meetings or discussions between and among staff of the Commodity Futures Trading Commission ("'CFTC"), 

Arthur Hayes of HDR Global Trading L1m1ted ("HDR"), and Ken Raisler of Sullivan & Cromwell LLP, ,nclud,ng but not limited to any records memorializing, 

summarizing, or d1scuss,ng the meetings or d1scuss1ons 2 All records relat,ng to the CFTC D,v1s1on of Enforcement's December 17, 2015 letter to ICBIT 

Tradrng Inc. d/b/a Orderbook,net ("ICBJT"), ICBJT's December 18, 2015 letter to the CFTC Div1s1on of Enforcement, or the CFTC Division of 

Enforcement's March l, 2016 letter to ICBJT (collectively, the "ICBJT Letters"}, 1nclud1ng but not limited to. a, All communications with ICBJT or ,ts 

representatives relatrng to the ICBIT Letters; b. All internal CFTC records, 1ndud1ng communications by or among any current or former CFTC staff, 

Comm1ss1oner, or Chairperson, relating to the ICBIT Letters; c. All communications with any other government agency or enforcement authority relating 

to the ICBIT Letters; and d. All similar letters sent by CFTC D1v1s1on of Enforcement staff to any other companies or 1nd1v1duals offering digital asset 

products or services. 3. All records relating to the registration of LedgerX LLC or ,ts aff1l1ates with the CFTC as a designated contract market ("DCM'"), 

derivatives clearing organization ("DCO"), and Swap Execution Facility ("SEF"), 1nclud1ng but not l,m,ted to the CFTC's cons1derat1on and approval of 

LedgerX's reg,strat1on appl,cat,ons and any determ1nat1on as to whether LedgerX or any of ,ts affiliates was required to register as a futures comm,ss,on 

merchant ("FCM"), 4, All records relating to the registration of Eris Exchange LLC or ,ts affiliates with the CFTC as a DCM and DCO, 1ndud1ng but not 

limited to the CFTC's consideration and approval of ErisX's registration appl1cat1ons and any determrnat1on as to whether ErisX or any of ,ts affiliates was 

required to register as an FCM. 5. All records relatrng to the reg1strat1on of Kalsh1EX LLC or its aff1l1ates with the CFTC as a DCM, 1nclud1ng but not l1m1tec 

to the CFTC's cons1derat1on and approval of Kalsh1EX's reg1strat1on applications and any determ1nat1on as to whether Kalsh1EX or any of its affiliates was 

required to register as an FCM. 6. All records relating to the reg1strat1on ofTeraExchange LLC or ,ts aff1l1ates with the CFTC as a SEF, 1nclud1ng but not 

limited to the CFTC's cons1derat1on and approval of TeraExchange·s registration applications and any determ1nat1on as to whether TeraExchange or any 

of its aff1l1ates was required to register as an FCM. 7. All records relating to the registration of Cantor Futures Exchange, LP or ,ts affiliates with the 

CFTC as a DCM, 1nclud1ng but not limited to the CFTC's consideration and approval of Cantor Futures Exchange's registration applications and any 

determination as to whether Cantor Futures Exchange or any of its affiliates was required to register as an FCM. s. All records relatrng to the registration 

, C ,, ,C ,. ' ' 

other Reasons • Not a proper FOIA 

request for some other reason 

21-00091-FOIA 5/5/2021 FBI FOIA request FBI referred 1 page of responsive records to CFTC for direct response to the requester. Granted/Den,ed in Part

5/5/2021 All documents and commun1cat1ons, 1nclud1ng, but not l1m1ted to, transcripts, notes, memoranda, summaries, or presentations, concerning the CFTCs other Reasons • No records 

external call with the CME Group on August 23, 2010 referenced on the CFTCs External Meetings webpage at https·//www cftc gov/node/173416 

11-00092-FOIA 

5/10/2021 I would like to submit a request for an inventory of all act,ve CFTC leases. Spec1f,c 1nformat,on that I am looking for 1s· rent per square foot, annual rent other Reasons - No records 

lessor name, square footage occupied, Lease commencement/expiration, and address, Please provide the document in excel spreadsheets. 

21-00093-FOIA 

Any and all documents in the possession of the CFTC that refer, relate or evidence either Anka Metcalf (a/k/a Cristina Metcalf) or TradeOutLoud, LLC Other Reasons - No records 

(currently a Florida based LLC), In particular, I am seekrng records regarding complaints or 1nvest1gat1ons into either Ms, Metcalf or her company 

21-00094-FOIA 5/12/2021

C 

21-00095-FOIA 5/12/2021 Request amended to: "A copy of all subpoenas or rnvest1gatory requests sent our regardrng the 2017 'Flash Crash' of Ethe re um," (Date Range for Other Reasons - No records •c '"' 

21-00096-FOIA 5/12/2021 Request Amended to: '"A copy of subpoenas mentioning the keywords '"FTX or "Sam Bankman-Fried'" (Date Range for Record Search: From 1/1/2019 To Other Reasons - No records

21-00097-FOIA 5/12/2021 Request Amended to: '"A copy of subpoenas sent out by the CFTC containing the word 'Ethereum' '"(Date Range for Record Search: From 1/1/2019 To Granted/Denied rn Part

On April 23, 2007, approximately 12 ,48pm EDT/EST local time, Jared and Susan Martinez stated that there was/is a four million dollars Granted/Denied rn Part 

complaint/investigation from the NFA/government. Subject 1s Market Traders Jnstitute, Jnc. and I Trade FX, LLC. both of Florida, Request for records on 

21-00098-FOIA 5/20/2021

All information relative to the RBC Capital Markets, LLC., and specifically CFTC Docket No. 19-47; also 1n reference to Notice of Covered Action Other Reasons - No records 

Publ1cat1on Date: 10/14/2020; Notice Number 2020-022 - 1nclud1ng proposed Amendments to part 37 regulations; published by the Commission 

November 30, 3018. Requester Clari/led: Seeking rnvest1gat1on records and records that show where the Royal Bank of Canada (RBC) may have 

violated the CEA, or CFTC rules or regulations relating to Docket No. 19-47; and particularly where (b)(6) may have appeared or mentioned 

21-00099-FOIA 5/28/2021

21-00100-FOIA 5/28/2021 Kindly furnish me with any and all non-public records compiled ,n 1nvest1gat1ons and consumer complaints against Tether (Tether Limited) and B1tf1nex Granted/Denied in Part C 

21-00003-CONS 5/21/2021 FOIA Consult from Treasury (2 pages) for Calendar entry records. Granted/Denied rn Part

Granted ,n Full 

' '"" ' C 

21-00101-FOIA 5/28/2021 Current organ,zat,on chart show,ng CFTC staff under each CFTC D,v1s1on or Office Director In particular, please provide staff under the D,v1s1on of

'" ' 

4/10/2023 My email attachment will show you a conversation between me and Cannaccord Genu,ty about MMTLP and how they would not be named on routing other Reasons - Not a proper FOIA 

report The issue ,s, Cannaccord Genu,ty did route the orders of MMTLP on October 7th 2021 to (ME) and others. Th,s is an ,ssue and I am d,gg,ng ,nto 

23-00138-FOIA 

request for some other reason 

I am requesting any information rn regards to MMATl options as shown in the attachment. These options included Series A Preferred Stock from 06/ Other Reasons - No records 

2021 AdJusted Meta Materials Inc. - Further AdJustment AdJusted Option Symbol: MMATl Date: 6/28/21 Settlement Allocation: MMAT: 95% MMTLP: 

5% CUSIPs: MMAT (New): 59134N104 MMTLP: 59134N203 Request: Why did these options come with MMTLP I CUSIP 59134N203 1nlcuded. The series 

23-00139-FOIA 4/12/2023

4/12/2023 Any documents relating to(b1(6r -.,a- Dr Typhon Capital Management relating to· the MF Global bankruptcy, PFG bankruptcy, (b)/6) role as other Reasons - No records 

a Board Member and/or Executive Committee Member of the National Futures Assoc,at1on, or any audits of Typhon by the NFA or CFTC 

23-00140-FOIA 

23-00141-FOIA 4/13/2023 To whom it may concern, lam requesting a copy of the CFTC office lease at 1155 21st St NW, Washington, DC 20581. Other Reasons - Not an agency record
23-00142-FOIA 4114/2023 Scheduling emails, calendar appointments, memos and call logs between CFTC commissioners and staff In the Enforcement, Market Oversight and 

Market PartIcIpant divisions and representatives of Calpine, Constellation, Luminant, NRG, Rockland Capital, TexGen, Vistra and WattBridge referencing 

conversations relating to the intrastate natural gas market and pipeline industry In Texas beginning Jan. 1, 2021 lhrough present. 

23-00143-FOIA 4114/2023 Inside these emails, you will notice a stock Symbol MMTLP and this was created via an options chain and an ADR into the OTC market exchange. My 

request. CUSIP 59134N203 was originally linked to an option chain from June 2021. My data request Is anything with CUSIP 59134N203 Thank you 

Other Reasons - Not an agency record 

23-00150-FOIA 4/26/2023 I would like all emails and communIcatIons between the CFTC ( Commodities Futures Trading CommIssIon and the SEC (Securities Exchange 

Comm1ss1on) and/or FINRA (F1nancIal lndustry Regulatory Authority) regarding the ticker symbol MMTLP and all related correspondence "Time frame 

other Reasons· Records not reasonably 

described 

23-00151-FOIA 4/26/2023 I am requesting "LedgerX LLC Commun1cat1ons" (File Number, 22-00075) Granted In Full 

23-00152-FOIA 4127/2023 '" other Reasons· Records not reasonably 

23-00011-FPA 511/2023 I am requesting 1nformat1on on my American bank notes which is on the bottom of my birth cert1f1cate. I am the share holder of my stock number on m 

birth cert1f1cate I want my original authenticated cert1f1cate returned to me through the vital records In Washington DC and the effects and collateral 

that are to be paid to me as the shareholder In the United States Corporation through the Treasury and Federal Reserve. With all due respect I want my 

natural1zatIon records as a US cItIzen as well and anything that Is attached to the stock number of my birth cert1r.cate and social security number. This 

country and any land attached to It is my inheritance and birth right to life, liberty, and pucsuit of happiness and I demand It back with interest one 

Other Reasons - Records not reasonably 

described 

23-00154-FOIA 5/1/2023 Please see the request letter for more details, FG] requests from the Commodity Future Trading Commission all records from January l, 2022, to the 

date the search begins meeting the following criteria, • All records of external and internal communications containing any of the following terms. o 

Environmental, Social, Governance o ESG o Climate risk o Socially responsible InvestIng o SRI o Carbon report o Susta1nab1l1ty report o Ethical supply 

chains o Fair wages o Employee engagement o Carbon Footprint o Carbon Offsets o Corporate Social Respons1b1l1ty o CSR o Decarbonizat1on o Financed 

Emissions o Greenwashing o Net Zero o Sustainable Development Goals o Value Chain Emissions o Diversity, equity, and inclusion o DEi o SustaInabIlIty 

Accounting Standards Board o SASB • Please search the records of the following custodians: o CommIssIoners > RostIn Behnam, Chairman> Kristin N. 

Johnson> Christy Goldsmith Romero 7 Summer K Mersinger 7 Caroline D. Pham o Office of Public Affa1rS > Steven Adamske, Director, Media Relations 

Branch o Office of Leg1slatIve and Intergovernmental Affairs> Ann Wright, Director o David Gillers, Chief of Staff o Bruce Fekrat, Chief Counsel o Joseph 

R. Cisewski Chief of Staff and Senior Counsel o Chris Lucas Chief of Staff and Counsel o Menhan Tente Chief of Staff o Gates S. Hurand Chief Counsel 

23-00153-FOIA 5/3/2023 I'm requesting electronic copies of the following files: 19-00088 21-00011 Granted In Full 

23-00155-FOIA 5/2/2023 Publishers Clearing House LL[ Gwy .19500 Gwy, 2 1000 Other Reasons - Records not reasonat>ly 

23-00156-FOIA 5/3/2023 This IS a request for records under the Freedom of Information Act ( 'FOIA"), 5 U.S.C § 552 and the Privacy Act, 5 U.S C § 552a. This request should 

t>e considered under t>oth statutes to maximize the release of records. Requester Jnformation Name. Colin Aamot Position: Freelance Jnvestigative 

Journalist Address, /bl/61 Records Sought J 

request disclosure on the following records: Full FOIA Logs, years 2000-present Full FOIA Appeal Logs, years 2000-present If responsive records are 

found please include the all documents, all attachments, and all pertinent records regardless of format. If the agency's posItIon Is that records are 

exempt from disclosure, please provide an index as required under Vaughn v. Rosen 484 F.2d 820 (D.C. Cir. 1973.). Under 5 U.S.C(a)(4)(11i), 

"Documents shall be furnished without charge. 1f disclosure of the 1nformat1on is In the public interest because it Is likely to contribute s1gn1f1cantly to 

public understanding of the operations or act1vitIes of the government and Is not primarily In the commercial interest of the requester " Disclosure In 

this case meets the statutory criteria, as the records sought to detail the operations and the actIv1tIes of the government. The public interest in this 

sIg n 1ficant expansion of public understand Ing of government operations far outweighs any commercial interest of my own In the requested release, If I 

am not granted a complete fee waiver, I request to be considered a member of the news media for fee purposes, I am w1ll1ng to pay all reasonable 

expenses incurred In the process of the FOIA request. My previous Journal1st1c work has been featured In Muckrock, the Centcom press portal, local 

21-00102-FOIA 614/2021 • Daily traders posItIons from LTRS (Large Trader Reporting System)• Intraday transaction data Requester Clarified: "the data I need Is aggregated per Other Reasons - Not a proper FOIA 

21-00103-FOIA 6/4/2021 I am requesting: l the first page (1.e., Face Page) of the current contract award, and first 15 pages of the Performance Work Statement or Statement 

of Work for the exIstIng contract # 9523ZY17FODT0165 2. Security/Fac1l1ty Clearance Requirement, 1f any: 3. for the existing 

contract, who Is currently assigned as: TM/POC (govt technical manager or govt owner of the requirement), COR (Contracting Organ1zat1on 

Granted in Full 

21-00104-FOIA 6/4/2021 1. Any Documents reporting the disaggregated Commitments of Traders positions of Livestock Slaughterers, showing their daily live Cattle Futures and 

delta adjusted options positions from January 1, 2013 to November 2, 2016 and December 16, 2019 to the present date. To clarify, we are seeking an 

extended data set of what was produced pursuant to FOJA Request# 19-00135, which were the daily live Cattle Futures and delta adjusted options 

Granted In Full 

21-00105-FOIA 6/8/2021 CORRECTED· [Reference FGI/r21·72256] Relevant to GS35F0048L CFTC Order 9523ZY17FODT0109, we seek copies of the following (1) Copy of the 

Task Order 9523ZY1 7FODT0109 with SOW/PWS (conformed ok) (2) complete and original sol1c1tation/RFP With all amendments and attachments, and 

Granted/Denied in Part 

21-00106-FOIA 6/8/2021 I request a copy of any emails sent between CFTC staff and Rentec staff (email domain• @rentec.com) over the past 20 years (or as far back as CFTC Granted/Denied in Part 

21-00107-FOIA 6/8/2021 "most recent SR" applIcatIon for "Laurent Marquis" Granted/Denied in Part 

21-00108-FOIA 6/10/2021 Adm1n1strat1ve DetermInatIon No 51 (March 17, 1938) published by CFTC's predecessor Commodity Exchange Authority Granted In Full 
21-00109-FOIA 6/21/2021 Pursuant to the Freedom of Information Act, 5 U.S.C. § 552, Lovell Stewart HalebIan Jacobson LLP hereby requests copies of the following documents ,n 

the proceedings before the Adm1n1strat1ve Law Judge ("AU") and the Commodity Futures Trading Commission ("CFTC" or "Commission") in In the 

Matter of Anthony J. Placido, CFTC Docket No 01-23 (CFTC filed Aug 21, 2001). 1. Memorandum of law submitted by and/or on behalf of the CFTC's 

D1v1s1on of Enforcement ("DOE") In the proceedings before the ALJ relating to Anthony), Placido prior to the issuance of the Initial Dec1s1on, dated 

September 14, 2004. In the Matter of Anthony J_ Placido, CFTC Docket No. 01-23, Comm. Fut. L. Rep. P29866, 2004 WL 2036910 (CFTC Sep, 4, 2004) 

("ln1t1al Dec1s1on"), 2. Memorandum of law submitted by and/or on behalf of the DOE In the proceedings before the Commission relating to Anthony J. 

Placido prior to the issuance of the Op1n1on and Order, dated November 5, 2008. In the Matter of Anthony J. Placido, CFTC Docket No. 01-23, Comm. 

Fut. L. Rep. P30970, 2008 WL 4831204 (CFTC Nov. 5, 2008) ("Opinion and Order"'). 3. The docket {or other list of filings) showing memoranda of law 

submitted b" and/or on behalf of the DOE In the above proceedInns prior to the issuance of the Initial DecIsIon by the AU and the OnInion and Order by 

Granted ,n Full 

I am requesting information and records regarding the activities of Ceres Global Ag. Corp. (or its affiliates or subsidiaries, including t>ut not limited to Denied in Full 

R1verland Ag Corp. and Savage R1verport LLC) concerning the markets for oats or oat futures during the period of January l, 2016 through December 

31, 2020. Requester Clari/led: '"To be more spec1f1c, I am seeking 1nformat1on concerning the CFTC's oversight of Ceres Global Ag Corp, (or its aff1l1ates 

or subsidiaries) and/or information related to any CFTC InvestIgatIon or enforcement activity concerning Ceres Global Ag Corp. (or ,ts affiliates or 

21-00110-FOIA 6/25/2021

-The CFTC trading records from April 1, 2011 - May 31, 2011 -The CFTC trading records from January 1, 2021 - June 1, 2021 -JP Morgan chat Denied ,n Full 

transcripts (similar to what was released by Deutsche Bank) during the time period during which they've already confessed to rigging the gold and silver 

21-00111-FOIA 6/29/2021

6/29/2021 I would like copies of the public volume {I.e., portion of the filing readily releaseable as non-conf1dent1al) of the applIcatIons for Part 30 relief that are Granted ,n Full 21-00112-FOIA 

•'° ·'" 

6/29/2021 Pursuant to the federal Freedom of Information Act, 5 U.S.C. § 552, I request access to records responsive to show any former Treasury Secretary Granted/Denied in Part 

Steven Mnuch,n's unredacted calendar events. This should include but not lImIted to all of Secretary Mnuch,n's meetings and events from January 2017 

to January 2021 Also pucsuant to the federal Freedom of Information Act, 5 USC § 552, I request access to records responsive to show any email 

messages from Secretary MnuchIn's time In office, January 2017 to January 2021, that include the following words: - cryptocurrency - virtual currency -

digital currency - d1g1tal asset - virtual convertit>le currency - convertible virtual currency - cyber currency - blockcha1n - Co1nbase - Kraken - Gemini -

21-00004-CONS 

21-00113-FOIA 7/6/2021 Could we have more information pertaining to the t>elow Question found in the Two Sigma Jnvestments LP Disciplinary Information Filed on 28 April Granted in Full

' ,, '" ' ' 

21-00114-FOIA 7/6/2021 Kevin Lemmer (NFA 1D: 0458991) replied Yes to one of the regulatory disclosures questions - Question E. Would It be poss1t>le to arrange for the (FTC Denied in Full . 21-0000S-CONS 7/6/2021 "the word 'Mulvaney' in the last 200 emails ' for Brian Johnson and Kathy Kran1nger." Granted In Full

Granted ,n Full 

include: Name, Title, Pay Plan, Series, Grade, Base Salary, Total Salary, SCD Leave Date, CFTC Start Date, Date ,n Grade, Division Monetary Award for 

21-00115-FOIA 717/2021 I am requesting 1nformat1on or records regarding the follow,ng: Please provide a listing of all current CFTC staff as of July 8, 2021. For each IndivIdual

~ 

21-00116-FOIA 7/13/2021

21-00117-FOIA 7/13/2021

Each of these requests relates to the matter of United States of America v. Tower Research Capital, LLC referred to in CFTC Release No. 8074-19 dated 

November 7, 2019. Based upon this press release, l understand that, In addIt1on to a matter brought In the United States District Court Southern DIstnc 

of Texas, Houston DIv1s1on, the Commodity Futures Trading Commission also brought action and settled charges against Tower Research Capital, LLC. l 

respectfully request under FOJA the following documents: 1 The complaint or complaints, 2. Consumer complaint or complaints; 3. Communications 

from third-parties' attorneys; 4. Witness statements; 5. Letters from the Commission to Tower Research Capital, LLC; 6. Letters from Tower Research 

Capital, LLC to the Commission; 7. Emails from the Commission to Tower Research Capital, LLC; 8. Emails from Tower Research Capital, LLC to the 

CommIssIon; 9. Communications ,n electronic or paper format between any representative or attorney on behalf of Tower Research Capital, LLC to the 

CFTC; 10. The order(s) arising from the CFTC action; 11. The document regarding the settling of charges brought by the CFTC against Tower Research 

Capital, LLC; 12. Submissions by or on behalf of Tower Research Capital with respect to the settlement of charges, admissions or denials of charges; 

and 13. Communications by the 01vIsIon of Enforcement staff membecs involved In this matter, IncludIng Rachel Hayes, Rebecca Jelinek, Allison 

Granted/Denied in Part 

I am requesting information or records regarding documents provided by LekhraJ Investment 2 LLC and Nadira LekhraJ with regard to U.S. Middle Other Reasons - No records 

· ~, _,-,.n1 

21-00003-AP 

21-00118-FOIA 

7/13/2021 

7/16/2021 

Appeal of denial of fee waiver, provides additional info on why it's not in his commercial interest. 

-Emails, memos or communications creating by CFTC personnel regarding funding for CFTC Labs during the FY 2022 year Emails, memos or 

communications creating by CFTC personnel regarding CFTC funding mentioning "bitco,n" -Emails sent to Cindy Hyde-Smith; Jerry Moran; John 

Boozman; John Kennedy; Chris Van Hollen; Chris Coons; Dick Durbin; Joe ManchIn containing keywords CFTC +Funding+ BItcoin - Emails sent to 

Cindy Hyde-Smith; Jerry Moran; John Boozman; John Kennedy; Chris Van Hollen; Chris Coons; Dick Durbin, Joe Manch1n containing keywords Arthur 

Hayes -Emails sent to Cindy Hyde-Smith; Jerry Moran, John Boozman; John Kennedy; Chris Van Hollen; Chris Coons, Dick Durbin; Joe Manchin 

containing keywords Bitcoin Derivatives Date for all: Jan 1 - June 1 2021 (Date Range for Record Search: From 1/1/2021 To 6/1/2021) 

Other Reasons - Fee-related reason 

Granted ,n Full· Public Records 

21-00006-CONS 

21-00119-FOIA 

7/19/2021 

7/19/2021 

Any Department of the Treasury e-mails, phone logs, meeting notes, transcripts, or other documents concerning Executive Order 12631 (the "plunge ., 'fo '" A copy of the l&A {Just1f1cation & Approval) Log found in the CFTC contractIng/acquisItIon Office, covering the last three years. Note: The l&A Log lists 

each l&A prepared by the contractIng/acquisitIon office for other than full and open competition. I also request a copy of each l&A document during 

Granted/Denied in Part 

Granted/Denied in Part 

21-00120-FOIA 7/23/2021 a copy of all text messages sent or received by CFTC staff (on their work cell phones) over the past 5 yea cs that contain any of the following non-case 

sensitive strings· "Leon Black" "Steve Cohen" "Ken Griffin" "Citadel" "Goldman" "]ho Low" ''Tim Le1ssner" "rentec" "Kushner" "011" AND "negative" Please 

contact the CFTC JT department to conduct an agency wide text message search, Many other agencies, such as the FBI, can conduct this type of search 

other Reasons - Fee-related reason 

21-00121-FOIA 7/26/2021 I request how much CFTC spent on PACER over the past 10 years. Please include invoices from US Courts and a breakdown by year. Granted ,n Full 
21-00122-FOIA 7/26/2021 The FOIA request log for 2019 and 2020. Granted/Denied in Part 

21-00123-FOIA 7/27/2021 [Reference FGJ " 2 I -74455] Relevant to GSOOQJ 7NSD3009 Task Order 9523ZY2 !FOO! (CFTC} [WE SEEk NO PRJCJNG] CLEARLY RELEASABLE OK, we 

seek copies of the following (1) Copy of the Task Order's title page (1st page only), and (2) copy of the Task Order's CURRENT Statement of 

Granted/Derned rn Part 

11-00124-FOIA 7/28/2021 The FOIA log for CY201g and CY2020 other Reasons· Request withdrawn 

21-00125-FOIA 7/28/2021 I am requesting all rnformat1on, documents, and records, from January I, 2013 up to and 1ndud1ng September 30, 201 9, related to the 1nvest1gation 

and settlement of the charges agarnst PNC Bank, National Assoc1at1on referenced rn (i} Release Numt>er 8043- l 9, dated Octot>er L 201 9, of the 

Commodity Futures Trading Comm1ss1on and (11) the Order Inst1tut1ng Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, 

Making Findings, and Imposing Remedial Sanctions, dated September 30, 2019, ,n In the Matter of: PNC Bank, National Association, CFTC Docket No.19 

Granted/Derned rn Part 

21-00126-FOIA 7130/2021 Any complaints or leads that may have led to an rnvcst1gat1on for Saeg Capital. (Date Range for Record Search: From 711/2019 To 7/30/2021) Denied ,n Full 

21-00127-FOIA 8/4/2021 Information on DSAM Partners London Limited Denied in Full 

21-00128-FOIA 8/9/2021 Please provide the accounting of funds received from the $920.2 m1ll1on fine imposed upon JP Morgan ,n September 2020 for 'rigging' the precious 

metals market. (charges against JPMorgan Chase & Company (JPMC & Co.) and ,ts subs1d1anes, JPMorgan Chase Bank, N.A., and J.P. Morgan Securities 

LLC (JPMS) (collectively, JPM). for manipulative and deceptive conduct and spoofing that spanned at least eight years and involved hundreds of 

thousands of spoof orders ,n precious metals and U.S. Treasury futures contracts on the Commodity Exchange, lnc, the New York Mercantile Exchange, 

and the Chicago Board of Trade. This case is brought in connection with the Div1s1on of Enforcement's Spoofing Task Force,) The D1v1s1on of Enforcement 

staff members responsible for this case arc Mark A. Picard, David C. Newman, Trevor Kokal, Patrick Marquardt, Jordon Grimm, Steven I. Ringer, Lenci 

Granted/Denied in Part 

21-00129-FOIA 8/12/2021 I request all records compiled ,n connection With the CFTC's Adm,n,strat,ve Proceeding 1nst1tuted by the Order at CFTC Docket No 20-25, ln the Matter 

of· INTERACTIVE BROKERS LLC, 1nclud1ng all records compiled ,n the ,nvest,gation leading thereto. The Order ,s dated August 10, 2020 This request IS 

-" 

Granted/Denied in Part 

21-00130-FOIA 8/13/2021 -Legal briefings or guidance prepared for CFTC regarding Miner Extractable Value (MEV) and the Ethereum blockchain -Date· March 1 - Aug 1 2021 Granted ,n Full 

21-00131-FOIA 8/17/2021 All complaints received by the CFTC relating to the Chicago Mercantile Exchange for the period 1 January 2018 to now (Date Range for Record Search· 

" - Granted/Denied in Part 

21-00132-FOIA 8/19/2021 I would like to request the following documents from the CFTC. Below is all the information l have to go on (Seek,ng Dec,s,on for] -Global Asset 

Management Alliance, LLC and Joseph Tsal1k - Decision, Docket No. 12-R30. No date, but before or during 2015 [Seeking· Op1n1on, Order, and Initial 

Dec1s1on on Remand for] -Robert Sean Skelton and Transact Futures, f/k/a York Business Associates - Opinion and Order, Docket No. 08-R045, dated 

July I, 2013, and lrnt1al Decision on Remand, dated September JO, 2014 [Seekrng dec1s1on for] -Alvarez, et al - Dec1s1on, Docket No. 12-R004. No 

Granted ,n Full 

21-00133-FOIA 8/25/2021 I would like information about Commissioner Brian Qu1ntenz's recent interactions with the cryptocurrency industry, specifically decentral,zed finance, or 

'"DeFi." The t1meframe that rnterests me 1s July and August. J would like to search for meetings and calls that Commissioner Quintenz took with industry 

players, Helpful search terms would rndude '"crypto" "digital assets" "f,na ncial technology'" "decentralized frnance'" "def,'" "virtual currency" and "wet,3", 

Granted/Denied in Part 

21-00134-FOIA 8/25/2021 Please provide the following· 1) All 1nvestigat1ons, memorandums, reports, witness statements, documents, data and aud10/v1deo recordings ,n 

connection with the case of CFTC v. Oasis Internat,onal Group, Oasis Management, Michael DaCorta, et al. (case 8· 19-cv-886-VMC-SPF) From t,me 

period of 2012 until 2020. 2) Any complarnt against Michael Dacorta and all invest1gat1ve documents associated with said complaint from time period of 

2000 until 2020. 3) All investigations, memorandums, reports, witness statements, documents, data and audio/video recordings in the complaint aga1ns 

Intcrnat,onal Currency Traders and/or Michael Dacorta rn connection with JCT for the year 2005 until 2019. 

other Reasons - Request withdrawn 

21-00135-FOIA 8/26/2021 All pleadings ,n case number 20-R019 Granted/Denied rn Part 

21-00136-FOIA 8/26/2021 See request form other Reasons - Not a proper FOIA 

21-00137-FOIA 8/26/2021 I am requesting 1nformat1on or records regarding the CFTC's Order lnstituting Proceedings Pursuant to Sections 6(C) and 6 (D) of the Commodity 

exchange Act, Making Frnd1ngs and Imposing Remedial Sanctions, including t>ut limited to, all documents gathered, collected, or obtained by the CFTC 

Den,ed ,n Full 

22-00019-FOIA 10/25/2021 A 11st of all CFTC employees currently enrolled 1n the federal retirement system, Granted in Full 

22-00020-FOIA 10/25/2021 A copy of each email ,n the email account of Michael C. Short (lo/from/cc) that contains the word Trump. Granted/Denied in Part 

22-00021-FOIA 10/25/2021 A copy of the CFTC Congressional Correspondence Logs covering t~c time period CY2018 to present. Other Reasons - No records 

22-00001-CONS 10/28/2021 74 pages with CFTC equ1t1es Granted ,n Full 

22-00022-FOIA 10/28/2021 Any and all documents concerning the asset reser,e composition details backing the stablecoin Tether ($USDT) for Tether Operations Limited that were 

provided to, or discovered by the CFTC during its 1nvest1gat1on into Tether's reserves between June 1, 2016 and Feb 25, 2019, wh,ch was settled earlier 

this year. I'm specifically looking for information about what ,s backing Tether's reserves, and any commun1cat1ons between Tether executives during 

Denied 1n Full 

22-00023-FOIA 10/28/2021 Any and all emails sent to or from CFTC Comm1ss1oners, the Secretary of the Comm1ss1on, or the enforcement d1v1s1on staffers listed below since 

October 15, 2021 wit~ either of the followrng URLs: ~ttps://tether, to/statcment-on-tethers-scttlcment-w1t~-the-cftc/ or 

https ://twitter.com/Tether_to/status/1449031920009064448. Please search the emails of the fol lowing enforcement d ,vision staffers: Candy Haan, 

Bryan Hsueh, Cristina Covarrubias, Benjamin Jackman, Ray Lavko, El,zabeth N. Pendleton, Scott R. Williamson, and Robert T. Howell, as well as former 

Other Reasons - No records 

22-00024-FOIA 1112/2021 SR Information on Vanous Individuals Denied 1n Full 

22-00025-FOIA 1112/2021 I was wondering 1/ 1t would be possible to request any 1nformat1on/documents regarding the pos1t1on l1m1t that was voided during early 2021 for Other Reasons - No records 
22-00001-FPA 

12-00026-FOIA 

22-00002-CONS 

12-00027-FOIA 

12-00028-FOIA 

12-00001-AP 

12-00002-AP 

22-00029-FOIA 

22-00030-FOIA 

22-00031-FOIA 

22-00032-FOIA 

22-00033-FOIA 

22-00034-FOIA 

22-00003-AP 

22-00035-FOIA 

22-00004-AP 

22-00036-FOIA 

22-00037-FOIA 

22-00003-CONS 

22-00038-FOIA 

1112/2021 

11/10/2021 

1,we require copies of any and all records or documents featuring one or more of the following titles; (b)(6) 

(b)(6) 

For each whistleblower award made under the CFTC's whIstleblower program tram the program's InceptIon through January 20, 2021 (1nclus1ve): (1) the 

date the award was issued; (2) the dollar amount of the award; and (3) the law firm(s) and individual attorney(s) representing the whistleblower {1f 

11/15/2021 Consult regarding EO 13940 

11111/2021 DIscussIons regarding two recent instances of commodity market spikes. I would like to search commissioner correspondence or calendars for any 

mention of both "Walmart" and "Llteco1n" (or "LTC") since September 13. I would also like to search commissioner correspondence or calendars for any

- 11/16/2021 

11/17/2021 

A list of all Associated Persons, IncludIng NFA ID Numbers, with StoneX Financial Inc. (formerly INTL FCStone Financial Inc. and others), NFA ID ,, 'fo 

Appeal of denial of records compiled In connection with the admInistratIve proceeding of CFTC Docket No. 2025, In the Matter of Interactive Brokers, 

' - '' - 11/17/2021 Appeal of FO!A Appeal No. 21-00090-FO!A, regarding the w1thhold1ng and denial of records responsive to Part 5 of May 4, 2021 FOIA request. 

11/16/2021 Any records pertaI n Ing to the creator of '"B1tco1n'" using the al1as "Satosh I Nakamoto." 

11/29/2021 Copy of all entries in any of the CFTC web access logs that show an IP address with the first three octets· 216.223 240 v,s,ting a CFTC webs,te over the 

3/11/2022 1. Please provide all records that are or contain communications between Comm,ss,oner Benham and IndIv1duals or entities outside of the United Slates 

government regarding the Report prior to ,ts release on September 9, 2020 ' Please provide all records that are or contain communications between 

any CFTC employees and individuals or entities outside of the United States government regarding the Report prior to its release on September 9, 2020. 

3. Please provide all records that are or contain communications between Commissioner Rostin Benham and CFTC employees regarding the Report prior 

11/30/2021 I request a copy of the following confidential treatment requests/records: 2015-E-0000028 2015-E-0000029 2015-E-00001 78 2015-E-00001 79 2015 e- 0000471 2015-E-0000472 2015-E-0000473 2015-E-0000474 2015-E-0000475 2015-E-0000476 2015-E-0000477 2015-E-0000478 2015-E-0000479 

2015-E-0000480 2015-E-0000481 2015-E-0000482 2016-E-0001155 2016-E-0002770 2017-E-0001860 2020-E-0001203 2020-E-0001204 2017-E0005288 2016-E-0004888 2016-E-0004889 2016-E-0004890 2016-E-0004899 2016-E-0004900 2016-E-0004901 2019-E-0000618 2019-E-0001278 

2019-E-0004305 2020-E-0000226 2020-E-0000227 2016-E-0000333 2015-E-0002331 2015-E-0002332 2015-E-0002265 2016-E-0005523 2016-E0005524 2015-PM-000010 2 2015-PM-0000106 2015-PM-0000107 2015-PM-0000111 2015-PM-0000112 2015-PM·O 000116 2015-PM-0000108 2015· 

PM-0000109 2015-PM-0000110 2015-PM-0000113 2015 ·PM-0000114 2015-PM-0000115 2015-PM-0000103 2015-PM-0000104 2015-PM-0000105 

11/30/2021 All emails received and sent to/from RostIn Behnam for the dates of Jan. 26, 2021 to Feb. 2, 2021. These should include messages sent to and received 

by financial organ,zat,ons such as but not limited to J.P. Morgan Chase, Goldman Sachs. LBMA, etc. Personal emails may be redacted, as to we have no .. 11/30/2021 I need the results of the National Futures Association invest,gat,on case 2021COINV00624. The case was opened about August 11, 2021 and the review 

was completed before September 14, 2021. /h1/R1 AMP GLOBAL CLEARING, a registered FCM. AMP GLOBAL CLEARING made a trade for 

/h1/R1 I believe the trade should not have been made, AMP will not send me all of the details of the trade, I asked the NFA to help 

get the required trade 1nformat1on. An InvestIgatIon was started,completed and reviewed, The NFA will not give me the results of the InvestIgatIon. 

12/7/2021 Appeal of the determination issued by the Commodity Futures Trading Commission ("Commission" or '"[FTC") by letter dated September 7, 2021 

("Determ1nat1on Letter"), In respect of the Freedom of Information Act ("FOIA") request, 21-00088-FOIA, which was made on April 6, 2021 ("FO!A 

1218/2021 I request the following records In possession of the Commodity Futures Trading Commission under the Freedom of Information Act: • All Commodity 

Futures Trading CommIssIon records regard1ngany correspondence with Kelly Ayotte (DoB: June 27, 1968) since January 3, 2017, o Direct 

correspondence between the Commodity Futures Trading CommIssIon and Kelly Ayotte should include letters, emails, text messages, reports, and other 

relevant materials. o Potential phone numbers include: (b)(6) o Physical addresses include: (b)(6) 

(b)(6) If any records are withheld or redacted, I request that you state the specif,clegal and factual grounds for withholding 

any documents or portions of documents Please ,dent,fy each document that falls within the scope of this request but ,swIthheld from release. If 

requested documents are located in another office ordepartment, J request that you please refer this request or any relevant portion of thisrequest to 

the appropriate department or office, To the extent that the respondentrecords a re avaI la ble In electronic format, I wou Id prefer to receive the 

1nformat1onv1a email or CD, particularly 1f prov1d1ng the 1nformat1on reduces the time or expense1nvolved, Otherwise, I will expect to receive the 

information In paper form. To helpassess my status for copying and maIlIng fees, please note that I am gathering1nformat1on for research purposes and 

not for commercial actIvItIes. I am willing topay all reasonable costs incurred In locating and duplIcatIng these materials. Butplease contact me pnor to 

12/10/2021 Kaplan Hecker & Fink LLP ("KHF'") writes to appeal the Commodity Futures Trading Commission's ("CFTC") continued denial and w1thhold1ng of records ., '" 12/14/2021 I request that a copy of the following document(s) be provided to me. 1. All records of consumer complaints filed with the [FTC about Payward 

Ventures, Inc. (d/b/a Kraken) (hereinafter "Kraken") from January J, 2017 to the present. 2. All records compiled in [FTC 1nvestigat1ons and/or 

adm1n1strat1ve actions against or 1nvolv1ng Kra~en, without lImItatIon. 3, All records of CFTC examInatIons of Kraken, without l1m1tat1on, 1nclud1ng agency 

12/16/2021 

115/2022 

All Informat,on regarding current/ongo,ng and f1nIshed invest,gat,ons ,nto Binance or Binance Holdings especially regarding the accusat,on of insider 

' C " FBI Consult re Coinbase 

115/2022 Information regarding Andrew Downs' Form 8-R 

other Reasons· Records not reasonably 

Granted/Denied In Part 

Granted ,n Full 

Granted/Denied In Part 

other Reasons· Request withdrawn 

Partially Affirmed & Partially 

Partially Affirmed & Partially 

Other Reasons - No records 

other Reasons - No records 

Granted/Denied in Part 

other Reasons· Records not reasonably 

described 

other Reasons - No records 

Completely Affirmed 

Other Reasons - No records 

Completely Reversed/Remanded 

Granted/Denied in Part 

Den,ed ,n Full 

Granted/Denied in Part 

Granted In Full 
22-00039-FOIA 115/2022 This Is a request under the Freedom of Information Act, 5 U.S.C. § 552, I am requesting the following information and records regarding the CFTC's 

,nvest,gation and settlement of charges against Tether Holdings Llm,ted, Tether L1mIted, Tether Operations L,m,ted, and Tether Internat,onal Limited, 

(collectively "Tether") (CFTC Docket No. 22-04), and iFInex Inc, BFXNA Inc., and BFXWW lnc, (collectively '"B1tfInex") (CFTC Docket No.22-05) on or 

Granted/Denied in Part 

22-00040-FOIA 115/2022 I request a 11st of all non-CFTC user accounts for the CFTC sFTP server. Search as far back as records arc maIntaIned. Denied ,n Full 

22-00041-FOIA 1/5/2022 Pursuant to a research paper on the '"deliberative process privilege'" (OPP), lam requesting 1. All documents withheld under the OPP by the CFTC, and Other Reasons - No records 

all documents in which it explains ,ts rationales for withholding under the OPP (e.g., the original FO]A request and response, the briefs in the case), in 

response to all FOIA requests at issue ,n the following cases: a. Hunt v. Commodity Futures Trading Commission, 484 F. Supp. 47 (D.D.C. 1979). 2. Any 

summary tables or databases of Vaughn 1nd1ces about records created before twenty-five years ago that the agency has still retained, 

22-00042-FOIA 1/5/2022 I am requesting copies of records released under dosed FO]A requests 20-00114 and 20-00125. Granted in Full 

22-00043-FOIA 1/5/2022 I am seeking the vacancy announcements of all Sen,or Executive Service-level posItIons that the CFTC has posted from January 1, 2021 through 

0, 

Granted ,n Full 

22-00044-FOIA 3/22/2022 Any and all records related to complaints that any IndIvIdual or entity has submitted about Interact,ve Brokers LLC (NFA ID 258600) for the period of 

07/21/2010-12/20/2021 and any resulting completed (closed) invest,gat,ons by the CFTC stemming from those complaints over the spec1fIed period of 

other Reasons· Records not reasonably 

described 

22-00048-FOIA 1/28/2022 Your agency's previous (FY21} and current (FY22) contract for you FOJA case processing software with cost information included, I'm interested in what 

your agency expends on this line of business and am analyzing 11 vs, other agencies to get a sense of what the federal government expends on FOJA 

software solutions. 2. Any add1t1onal contracts and costs directly related to FOIA processing (for example, Adobe, V1dco/Aud10 redaction software, 

contract support), I understand that costs can more than Just your FOIA case processing software and want to paint a complete picture with my 

research. 3. Your agency's Annual Budget for your FOIA team- looking for a total cost of operation. I have the FTE's and costs from your annual report; 

however, I'm looking for the actual budget item to add to the analysis. 4. Training materials on FOIA case processing. This could be PowerP0Ints, 

Handbooks, lob Aides, Videos, Guidebooks, etc. I'm interested ,n comparing how agencies lra,n their FOIA Officers to work with FOIA software. 

Granted/Denied in Part 

Granted ,n Full 

" 

22-00049-FOIA 1/28/2022 I would like copies of any bylaws, other written rules, or legal opinions which serve as precedent governing meetings of the Commission. Please provide

22-00050-FOIA 1131/2022 I request a 11st of all internal git repositories at the CFTC. Please consult with a subJcct matter expert ,n the IT department. Denied ,n Full

The Commitment of Traders reports currently provide the percents of open interest held t,y the largest four and eight reportat>le traders, without regard Other Reasons - No records 

to whether they arc class1f1ed as commercial or non-commercial (1.e., concentratIon ratios). I would like to request 1nformat1on or records regarding the 

concentrat,on ratios for the commercial and non-commercial trader groups respectively. The time period would be from 1990 to date. 

22-00051-FOIA 2/1/2022

22-00045-FOIA 1/11/2022 A log of all requests that the CFTC has received under the FOIA, from August 1, 2020 to October 31, 2020. Granted/Oen,ed in Part

22-00046-FOIA 1/18/2022 Copies of the application package and materials (cover letter, resume, ECQs, writing sample, etc.) for the successful candidate for the CD 17 Chief Granted/Denied in Part

22-00047-FOIA 1/25/2022 All calendars or calendar entries for Rost,n Behnam, including any calendars ma1nta1ncd on his behalf (e.g., by an adm1n1strat1vc assistant), from Granted/Denied in Part

',o '"" 

22-00052-FOIA I am seeking the CFTC's master 11st of employees who filed 278 f1nanc1al disclosure reports from 2017 through 2021. This 11st should include both Granted ,n Full 

" ' 

22-00053-FOIA 

212/2022 

2/2/2022 Any and all records contaimng(b)(6) Other Reasons - No records

22-00054-FOIA 212/2022 Any and all 1nformat1on regarding (b)(6) other Reasons· Request withdrawn

22-00004-CONS 219/2022 I respectfully request copies of the following listed items below: Ycllen's Emails Regarding Domestic Finance Appointment: I am requesting releasable 

1ncom1ng-and-outgo1ng email correspondence (1nclud1ng attachments) of Secretary Janet Ycllen's regarding thcappoIntmcnt of the position of Under 

Secretary of the Treasury for Domestic Finance from January 26, 2021, to April 28, 2021. Yellen's Emails Regarding Nellie Liang or with Nellie Liang: I 

am requesting releasable IncomIng-and-outgoing emaIlcorrespondence {1nclud1ng attachments) of Secretary Janet Yellen's regarding Nellie Liang or 

email correspondence with Nellie L,ang from January 26, 2021, to April 28, 2021 Adeyemo's Emails Regarding Domest,c F,nance Appointment· lam 

requesting releasable 1ncomIng-and-outgoing email correspondence (including attachments) of Deputy Secretary Wally Adeyemo's regarding the 

appointment of the position of Under Secretary of the Treasury for Domestic Finance from March 26, 2021, to April 28, 2021 Adeyemo's Emails 

Regarding Nellie Liang or with Nellie Liang I am requesting releasat>le incoming-and-outgoing email correspondence (including attachments) of Deputy 

Secretary Wally Adeyemo's regarding Nellie Liang or email correspondence with Nellie Liang from March 26, 2021, to April 28, 2021. N1sanc1's Emails 

Regarding Domestic Finance Appointment: I am requesting releasable incomIng-and-outgoIng email correspondence (1nclud1ng attachments) of Chief of 

Staff DIdem Nisanci's regarding the appointment of the position of Under Secretary of the Treasury for Domestic Finance from January 20, 2021, to April 

28, 2021. NIsancI's Emails Regarding Nellie Liang or with Nellie Liang lam requesting releasable ,ncom,ng-and-outgo,ng email correspondence 

(1nclud1ng attachments) of Chief of Staff Didem N1sancI's regarding Nellie L,ang or email correspondence w,th Nellie Liang from January 20, 2021, to 

April 28, 2021. Johnson's Emails Regarding Domestic Finance Appointment. I am requesting releasat>le incoming-and-outgoing email correspondence 

( 1nclud ,ng attachments) of Deputy Chief of Staff Alfred J. Johnson's regarding the appointment of the position of Under Secretary of the Treasury for 

Domestic Finance from January 20, 2021, to April 28, 2021. Johnson's Emails Regarding Nellie Liang or with Nellie Liang: I am requesting releasable 

1ncom1ng-and outgoing email correspondence (1nclud1ng attachments) of Deputy Chief of Staff Alfred I. Johnson's regarding Nellie Liang or email 

corrcspondcncew1th Nellie Liang from January 20, 2021, to April 28, 2021. Siegel's Emails Regarding Domestic Finance Appointment: I am requesting 

releasable incoming-and-outgoing email correspondence (including attachments) of Deputy Chief of Staff Julie Brinn Siegel's regarding the appo,ntment 

of the position of Under Secretary of the Treasury for Domestic Finance from January 20, 2021, to April 28, 2021. Siegel's Emails Regarding Nellie Liang 

or w,th Nellie L,ang I am requesting releasable incoming-and outgoing email correspondence (1ndud1ng attachments) of Deputy Chief of Staff Jul,e Brin 

Granted/Denied in Part 
22-00055-FOIA 2/10/2022 My name 1s(b)(6) and I am reaching out on behalf of (b)(6) who Is requesting 1nformat1on from his previous licenses· a Series 7 other Reasons • Referrals

and 24 (l believe) We need the details of(b)(6) dates of regIstrat1on and de-regIstrat1on, license number, and detailed reason for termInat1on of 

2/11/2022 On Oecember 16, 2021 a Commodity Futures Trading Comm1ss1on (CFTC) was posted on the Federal Register: The Commodity Futures Trading 

Commission (CFTC or Commission} is establishing a new system of records, CFTC-57, Reasonable Accommodations Records, to receive, track, process, 

and report on requests for reasonable accommodations. Pursuant to the Freedom of Information Act, J respectfully request the following documents (or 

documents containing the following information): 1. A screenshot of the system of records sufficient to 1dent1fy all categories of collected 1nformat1on. 

Please redact all personally 1dent1f1able 1nformat1on. 2.Documents sufficient to 1dent1fy the total number of IndIvIduals who have their 1nformat1on stored 

,n the system of records. To the extent that potentially responsive documents contain agency notes or 1nformat1on on internal agency delIberatIons, I 

respectfully request that these records be provided with such 1nformat1on redacted. Additionally, 1f you believe that any potentially responsive records 

include any personal, commercial, or proprietary information, I respectfully request that these records be provided With such 1nformat1on completely 

22-00056-FOIA other Reasons - No records 

2/15/2022 Any and all complaints, d1sc1pl1nary actions, human resources disputes, lawsuit complaints, settlements related to (b)(6) Denied In Full 

h1/R1 especially with regards to an allegation of age discrimination related to firing/layoffs/early retirements. Any and all of 

the same with respect to l/bl/61 (CFTC 2017-2019) and /h1/R1 (2005-2021) as well, Further requesting compensation for all three, 

22-00057-FOIA 

2/15/2022 I request all emails to and from (cc, bee) employees ,n the CFTCs Office of LegIslatIve and Intergovernmental Affairs and any email address aff1l1ated Granted/Denied in Part 

with the U.S. Senate that include the following keyword "Tuberville." The l1meframe for this request Is from Sept. 1, 2021 to Feb. 13, 2021 

12-00058-FOIA 

2/15/2022 Any and all email correspondence, letters, and memorandums sent by staff members of OMO and the Chairman's office related to contracts self-certified Granted/Denied in Part 

by Kalsh1EX LLC between the dates June 29, 2021 and August I, 2021. The dates cited here refer to the days on which Kalsh1 notified the Commission 

22-00059-FOIA 

Requesting all written correspondence (including, but not limited to, emails and text messages) between the CFTC and LedgerX LLC. as well as any Other Reasons - Records not reasonat>ly 

internal CFTC communIcatIons (including, but not limited to, emails, text messages, memos, reports, and briefings) or CFTC communications with third 

22-00060-FOIA 3/1/2022

described 

The CFTC filed suit against Defendants David Gilbert Saffron aka David Gilbert and Circle Society, Corp, in 2:19:CV-1697- JAD-DJA in the US District Denied ,n Full 

Court, District of Nevada {the "claim"). I seek the following cert1f1ed copies of the referenced records: 1. All records compiled during your InvestigatIons 

prior to the f1l1ng of the claim against the Defendants; 2. Records complied during the InvestIgation after the claim was filed against Defendants; 3. 

Records you provided to Defendants pursuant to discovery requests In the claim; 4 Consumer complaints relating to or against the Defendants; 5. Any 

r.nd1ngs or public reports regarding the Defendants; 6 All witness statements relating to any complaint against the Defendants or the claim, 7. All 

correspondence you sent to or received from the Defendants or Defendants representatives prior to the filing of the complaint, and 8. Any criminal 

12-00061-FOIA 2/18/2022

12-00062-FOIA 2122/2022 I request a copy of all video of John D. Arnold test1fy1ng before the CFTC on August 5th 2009, Granted in Full

I am a salaried journalist for the Financial Times, so J'm not sure why I would not qualify as "a person primarily engaged in disseminating information" Completely Affirmed 

and with an "urgency to inform the public concerning actual or alleged Federal Government activity. 'lam trying to schedule an interview with the 

subjects at issue in this FO!A request for a story related to a potential pattern of conduct In former roles at CFTC and their current ones, I need this 

1nformat1on as soon as possible in order to give my IntervIewee the chance to respond to factual allegations that may exist in these records, which 

22-00005-AP 2/22/2022

12-00063-FOIA 2/23/2022 I am requesting lease data on all office space that CFTC leases directly from a private owner/building (1.e., those leases where CFTC Is located ,n a nonc,ty/County/Slate-owned building). Please note that this excludes leases negotiated through the General Services AdmInistratIon (GSA). I request that 

this information be provided in database Ille format such as Microsoft Excel (.xis) or Comma Separated Values (.CSV). Please include the following data 

r.eldsc - Location Code - Property Name - Property Address - Property City - Property Slate - Property Zip Code - Property Rentable SF - Property Usable 

Se - Lease Number - Agency Name - Agency Rentable SF - Agency Usable SF - Lease Type (Office, Storage, Warehouse, etc.) - Lease Effective Date -

Lease Expiration Date - Current Annual Rent - Renewal Options - Renewal Notice Date - Renewal Notice Type - Owner Contact Name - Owner Address -

Owner City - Owner Zip Code - Owner Phone Number - Lat1tude/Long1tude, 

22-00064-FOIA 3/7/2022 This request concerns materials which are In the actual or constructive possession of the Commodity Futures Trading Commission (CFTC) In connection 

with its investigation and court action in a case styled, United States Commodity Futures Trading Commission, pla1nitff v. Energy Transfer Partners, LP; 

Energy Transfer Company (a/kla La Grange AcquIsItIon, LP); ETC Marketing, LTD and Houston Pipeline Company, defendants In cause number 3-07-CV1301 -K In the United States District Court for the Northern District of Texas. By this request under FOIA, the requestor seeks: all documents (such term 

includes all materials, whether on paper or which were made or stored electronically or digitally) which were created, drafted, acquired or otherwise 

obtained or maIntaIned by the CFTC or any agent thereof, ,n connection with the above-styled case as well as all such documents and materials which 

exist In connection with the 1nvest1gatIon which preceded the filing of the case or which were made or acquired contemporaneously with the action In the 

civil case. This request includes, but Is not limited to· reports of 1nlerv1ew (ROI) of witnesses, witness statements, witness testimony (whether sworn or 

otherwise) and affidavits of all witnesses; charts, graphs and the electronic presentation or conf1gurat1on of all charts and graphs; documents which 

refiect income and profits made t,y any of the defendants In connection with commodities trades which were the sul>Ject of the at>ove case and 

InvestIgatIon; wInng d Iagrams and other depictions which show the corporate structure of the defendant entItIes 1nclud Ing the names of officers and 

Other Reasons - No records 

Granted/Denied in Part 

3/8/2022 2011-Present 1) All documents related to any action taken by Commodity Futures Trading Comm1ss1onJ regarding the dIg1tal asset XRP (sometimes Granted/Denied in Part 

known as "Ripple") and/or regarding and/or against Ripple Labs, Inc., 1ncludIng but not limited to any enforcement action, InvestigatIon, assessment of 

penalty and/or fine, and/or any other action undertaken by Commodity Futures Trading Commission. 2) All documents related to any action taken by 

the Commodity Futures Trading Commission against and/or regarding Payward, Inc.(d/b/a Kraken) and/or Payward Ventures Inc, (d/b/a Kraken) and/or 

Payward Ventures, Inc. (d/b/a Kraken), 1nclud1ng but not l1m1ted to any enforcement action, InvestIgatIon, assessment of a penalty and/or fine, and/or 

any other action undertaken by Commodity Futures Trading Commission. This request includes but is not l1m1ted to all documents related to In the 

22-00065-FOIA 
22-00066-FOIA 3/1/2022 I request all emails to and from (cc, bee) employees ,n the CFTCs Office of Legislative and Intergovernmental Affairs and any email address aff1l1ated 

with the U.S. Senate that include the following keyword "Tuberville." The t1meframe for this request 1s from Jan I, 2021 to Sept 1, 2021 (Date Range 

other Reasons • No records 

22-00005-CONS 3/3/2022 The Department of Treasury (Treasury) IS currently 1n l1tigat1on with American Oversight to obtain Treasury's senior leaders detailed calendar entries. 

During our review, we located two pages that contain Commodity Futures Trading Commission equities, enclosure 1 Enclosures 2 and 3 contain a copy 

of American Oversight's original FO]A request and complaint. Please review the documents, make any needed redactions, and return your response to 

our office by March 16, 2022, for us to meet our production schedule. Please let me know 1f you have any questions. Best, Alexis Colon (contractor) 

Granted 1n Full 

22-00067-FOIA 3/2/2022 I am requesting any and all records pertaining to Marex North America LLC (MNA), induding but not limited to all communications, correspondence, 

v1olat1ons, reports, acqu1sit1ons, and similar documents ranging from January 1st, 2019 to the present date [Mar. 1st, 2022] (Date Range for Record 

Denied in Full 

22-00068-FOIA 

22-00069-FOIA 

3/9/2022 

3/9/2022 

Relevant to GS35F0165Y Order 9523ZY18f0212 (CFTC) we seek copies of the following ( 1) Task Order with applicable Statement of Work/Performance 

Work Statement {SOW/PWS), Labor rates/categories, all mod1f1cations, Bidders list, and all purchase orders (2) List of companies who submitted 

proposals (3) winning proposal (4) Customer evaluation including agency evaluation/scoring notes for all submitter proposals and (5) ong,nal and 

-• 

positions for Californian allowances, ls there an excel were l can look up the history? https.//www.cftc.gov/dea/futures/dea1fedsf.htm 

Granted/Denied in Part 

Other Reasons - Public Records 

22-00070-FOIA 3/14/2022 I looking to obtain a full I1st of all CFTC registered CTAs and CPOs as of either 12/31/2020 or 12/31/2021 My preferred format 1s Excel. lam willing to 

'°'" 

other Reasons - Public Records 

22-00071-FOIA 4/5/2022 All emails sent or received by employees of your agency between December 1, 2014 and the date this request 1s processed containing the non-casesensitive phrase "shitco,n." Please include any attachments to the emails as well. If any part of these documents from disclosure, please be sure to 

review and release all reasonable segregable non-exempt portions of responsive documents, as the FOJA requires. (Date Range for Record Search· 

other Reasons· Records not reasonably 

described 

22-00072-FOIA 3/28/2022 Docs your agency publish legal notices ,n the Washington Post? If so, docs 1t pay for each 1nd1v1dua1 legal notice, or docs ,t have a contractual 

' 

Dther Reasons - Not a proper FOIA 

22-00073-FOIA 3/29/2022 I request the department provide the following records w1th1n 20 business days: For all employees who entered into a pos1t1on at the agency since 

January 201 7. Any con/I ,cts or ethics wa ,vcrs or authorizations for the , nd1v1dual, ,ndud, ng authorizations pursuant to 5 c. F.R. § 2635.502 and pursuant 

Granted/Denied in Part 

22-00074-FOIA 3/29/2022 Any information, files regarding CME group's NOTICE OF DISCIPLINARY ACTION in caselr 22-CH-2201 Other Reasons • No records 

22-00002-FPA 

22-00006-CONS 

3/29/2022 

3/31/2022 

REQUESTING INFORMATION ABOUT MYSELF, MY MASTER FJLE NUMBER: (b)(6) AND MY PASSPORT JNFROMATION. ALSO, I WILL SEND 

."' A copy of, any materials from Jan. 20 to present related to "representation funds ', which are used to pay for the secretary's executive dining room or 

other expenditures related to the executive dining room or the dining in the secretary's conference room, the allocated amount for that expense 

category as well as how much has been used by Secretary Mnuchin and others from Jan. 20 to present; any schedules for who Mnuch1n and others had 

breakfast, lunch and dinners with since Jan. 20; any emails or other internal communications related to the use and management of representation 

funds for the exec. dining room. Treasury has discovered 12 pages of responsive materials which relate to CFTC and required agency review. 

Other Reasons - Not a proper FOJA 

- Granted in Full 

22-00075-FOIA 414/2022 Requesting all written correspondence between CFTC Chairman Christopher Giancarlo (and his staff, including assistants) and LedgerX LLC, and any 

internal commun1cat1on between Mr. Giancarlo and his staff d1scuss1ng LedgerX LLC, and any external communication between Mr Giancarlo or his staff 

with third parties that mention or relate to LedgerX LLC between 1/1/2017 and 12/31/2019 (Date Range for Record Search, From 1/1/2017 To 

Granted/Denied in Part 

22-00076-FOIA 415/2022 Pursuant to the Freedom of Information Act, I hereby request the following records: a 11st of all Inspector General 1nvcst1gat1ons that were closed 1n 

2019, 2020, and 2021, respectively. I request that this 11st contain the subJcct matter of each invcst1gat1on. Further, I request that this document be 

Other Reasons - Public Records 

22-00077-FOIA 4/5/2022 Any report, 1nclud1ng any and all attachments, ans,ng from the 2021 management inquiry related to the CFTC's Kansas City Regional Office. Denied 1n Full 

22-00078-FOIA 

22-00079-FOIA 

416/2022 

4/26/2022 

We request all correspondence between the CFTC and any contacts at 1) @mob1usnskgroup.com and/or 2) @armencrgy.com and/or 3) ,. J. List of all correspondence between (FTC and the law firm Simpson Thatcher, 2. List of all correspondence between CFTC and any email address that 

originates with "stblaw.com' . 3. List of all correspondence containing the words "XRP" and "Ethcreum". 4. List of all correspondence to or from William 

Denied ,n Full 

Other Reasons - Records not reasonat>ly 

described 

22-00080-FOIA 4/12/2022 Please provide me with: 1) your agency's written policy document governing the publ1cat1on of legal notices either ,n print or onl1ne; 2) at least one legal Other Reasons - Public Records 

22-00081-FOIA 

22-00082-FOIA 

4/12/2022 

4/18/2022 

1. All email communications (1ndud1ng emails, email attachments, complete email chains, calendar inv1tat1ons, and calendar 1nv1tat1on attachments) sen Granted/Denied in Part 

or received by any of the agency off1c1als listed below conta1n1ng any of the following key terms: Key Terms: a, "Thomas Clerk" b. "Clerk World" c. 

"Ginn, Thomas" d. '"Justice Thomas"' e. "'Clarence Thomas'" f. Clanton g. Groundswell h. "'Liberty Consulting" 1. "'CNP Action" J. ·•council for National 

Policy" k. ·•conser,ative Action ProJect'" I. "United in Purpose" m. UIP n. Ziklag o. '"Third Century Group" 2. All email communications (1nclud1ng emails, 

email attachments, complete email chains, calendar inv1tat1ons, and calendar 1nvitat1on attachments) and text messages or messages on messaging 

platforms (such as Slack, GChat or Google Hangouts, Lyne, Skype, Twitter direct messages, Facebook messages, What5App, Signal, Telegram, or Parler) 

between (a) the agency officials listed below or any person communicating on their behalf, such as schedulers or assistants, and (b) Virginia "Ginni" 

Thomas or any person communicating on her behalf, including but not l1m1ted to Crystal Clanton, communications from an email address ending 1n 

@libertymc.co, or a phone number with the last four digits 8983. Agency Offlc1al(s} a) Heath Tarbert. (Date Range for Record Search: From 1/20/2017 

I request a copy of the letter entitled "Questions re: Treasury Markets·· dated May 8th 2020 from Renaissance Technologies LLC. Petal Walker, an Denied 1n Full 

attorney for Renaissance, requested confidential treatment of the letter on May 8th 2020 in a letter to the Assistant Secretary of the Commission for 
22-00083-FOIA 5/6/2022 Any and all correspondence (handwritten and/or typed) between the Commodity Futures Trading Comm,ssion (CFTC) and The Brooklyn Project; 

Ethereum Foundation; ConsenSys; Crypto Working Group (CWG); Messan; and/or Andreessen Horowitz (a16z) relating to the dIgItal asset ether (ETH) 

Granted/Denied in Part 

22-00084-FOIA 5/2/2022 I am requesting digital copies of several documents related to No Action Letters issued to the George R. Neumann at the UnIversIty of Iowa and 

documents related the No Action letters issued to Victoria University of Wellington, New Zealand, The documents I am requesting are as follows, The 

first two are listed here, https://www.cftc.gov/fo1a/repfoia(foirf05-003 J.htm DOCUMENT NUMBER: 1 George R, Neumann, Un1vers1ty of Iowa, to 

Chairman Gramm, Concerning 1992 Iowa Pres1dent1al Stock Market DATE: 12/05/1991 PAGES: 2 PDF SIZE: 226 KB PDF LINK: DOCUMENT NUMBER: 

George R. Neumann, UnIversIty of Iowa, to Tina P. Shea, DIvIsIon of Trading and Markets, Concerning Iowa Electronic Markets, !EM Trader's Manual ' Attached DATE: 03/16/1993 PAGES: 53 PDF SIZE: 2070 KB PDF LINK: Finally, I would like a copy of the following: (C) 21-00011 Request for No-Action 

other Reasons - No records 

22-00085-FOIA 5/20/2022 I hereby request the following records· All documents, emails, reports, notes and Informat1on relating to Alameda Research, a quantitative other Reasons - Records not reasonably 

22-00086-FOIA 5/9/2022 Public records under the control of a Federal government agency from which 1nformatIon about me as a legal subject is being retrieved by name or by 

oc " 

other Reasons - No records 

22-00087-FOIA 5/6/2022 1. All relevant correspondence (handwritten and/or typed) between the CFTC and ConsenSys' The Brooklyn Project regarding The Brooklyn Project's 

proposed implementation of a self-regulatory blockcha1n system contaInIng the cryptocurrency ether ("ETH" or "Ethereum") on or around May 10, 2018. 

We specifically request that the CFTC search for records responsive to this request within the CFTC's Div1s1on of Enforcement (DOE), the Division of 

Clearing and Risk (DCR), the D1v1s1on of Market Oversight (OMO), and the Division of Data (DOD}. 2. All relevant correspondence (handwritten and/or 

typed) between the CFTC and the Ethereum Foundation regarding discussions of Ethereum's proposed ETH-based futures contract to promote ETH's 

InstItutIonal adoption and/or 1mplementat1on of ETH's d1g1tal currency exchange-traded fund ("ETF") on or around May 7, 2019. We specifically request 

that the CFTC search for records responsive to this request within the CFTC's DIvIsIon of Market Oversight (OMO) and the DMO's Product Review Branch. 

3. All relevant notes {handwritten and/or typed) related to meetings between the CFTC and ConsenSys, Joseph Lubin, and/or the U.S. Securities and 

Exchange Commission ("SEC") regarding Ethereum, including but not l1m1ted to notes concerning the CFTC's calls with the SEC on April 10, 2018, July 

19, 2018, and August 22, 2018, respectively. We specifically request that the CFTC search for records responsive to this request within the CFTC's 

D1v1s1on of Enforcement (DOE}, the Division of Clearing and Risk (OCR), the Division of Market Oversight (DMO), and the D1v1s1on of Data (DOD), 4. All 

relevant correspondence (handwritten and/or typed) between former (FTC Chairman Heath Tarbert and ConsenSys and/or Joseph Lubin regarding and 

preceding Chairman Tarbert's decIsIon to declare ether a commodity at the Yahoo! finance All Markets Summit ,n New York, New York on October 10, 

2019. We spec1f1cally request that the CFTC search for records responsive to this request to/from former CFTC Chairman Heath P. Tarbert, the Office of 

the Chairman, and the Executive Leadership Team. 5. All relevant correspondence (handwritten and/or typed) between the CFTC and the President's 

Working Group on Financial Markets (''PWG'") regarding the "'protocol token"' ETH ahead of the Hearing before the House of Representatives Committee 

on Agriculture (115th Congress) on July 18, 2018, and/or the CFTC's call With PWG and former U.S Treasury Secretary Steven Mnuch1n on or around 

December 24, 2018. We specifically request that the CFTC search for records responsive to this request within the CFTC's Office of the Chief Economist 

(OCE}, the LabCFTC office, and the Division of Market Oversight (DMO). 6. All relevant correspondence (handwritten and/or typed) between the (FTC 

and Messari,lnc, ("Messari") regarding the digital asset ETH, and/or the CFTC and Messari's "effortsemerging with significant traction" related to selfregulatory-focused d1scuss1onssurround1ng crypto assets on or around the time of Steven Hatzak1s' February 20, 2018Comment for Orders and Other 

Announcements 83 FR 4643, available to the public on the CFTC's website. We specifically request that the CFTC search for recordsrespons1ve to this 

request within the CFTC's Technology Advisory Committee (TAC)and ,ts aff1l1ated subcommittees, the Distributed Ledger and Market Infrastructure 

Subcommittee and Virtual Currencies Subcommittee. 7. All relevant correspondence (handwritten and/or typed) between the CFTC and Andreessen 

Granted/Denied in Part 

22-00088-FOIA 5/10/2022 A dIgItal copy of the approved KalshiEX LLC Application for Designation as a Designated Contract Market (DCM) Granted In Full 

22-00006-AP 5/10/2022 I raise two issues on appeal. First, the requested disclosure was for all wh1stleblower awards, not merely the ones issued to whistleblowers represented 

by counsel. Second, the CFTC's statement that revealing the IdentIty of the attorney will "reasonably be expected to reveal the identity [of] a 

Partially Affirmed & Partially 

Reversed/Remanded 

22-00089-FOIA 5/11/2022 copies of emails sent and/or received by former Chairman Heath Tarbert. Please provide me with the following: -Any emails since 01/01/2017 that Mr. 

Tarbert sent to or received from Virginia "Ginni" Lamp Thomas or Justice Clarence Thomas. (Please include any emails sent to/received from Ms ~me 

Granted/Denied in Part 

22-00007-CONS 5/12/2022 '"On November 12, 2022 [sic]. a Notice by the General Services Administration (SSA) [sic] was posted on the Federal Register that: "This system of 

records clarifies GSA's procedures and authority to collect information related to reasonable accommodations. It does not create new authority to collect 

such 1nformat1on." The notice can be located at https://www.fcderalregister.gov/documents/2021/11/12/2021-24685/pnvacy-act-of-1974-new-systemof-records For the period of August 1, 2021, to the present, all communIcatIons (to include emails and text messages) exchanged between or amongst 

GSA employees, and White House staff, the National Institute of Health, the Office of Management and Budget, the Occupational Safety and Health 

Review Commission, and the Occupational Safety and Health Administration regarding the reference noticed from November 12, 2022, document 

number 2021-24685 Etc. "Please see the 1nItial request for the full description GSA requests the Commodity Futures Trading Comm1ss1on (CFTC) 

consultat1on/rev1ew of these 383 pages before release. If CFTC determines that any portIon(s) of these pages should be redacted or withheld, please 

provide the proposed redactions and explanation( s} for the proposed FOIA exem ptIons. Please provide your response regarding the release of these 

documents on or before COB Friday, June 10, 2022. Should you have any questions, don't hesitate to contact the FOIA Program Manager, Travis Lewis 

at (202) 219-3078 or by email at travis.lew1s@gsa.gov. You may also contact the GSA FOIA Public Liaison, Seth Greenfeld, at (202) 501-4560 or by 

C 

Granted in Full 

22-00090-FOIA 5/19/2022 Requesting all Swaps Reports for the months of January, February, March, April, May, and June of 2021. other Reasons - Public Records 

22-00091-FOIA 5/22/2022 A copy of each (internal) FOIA Standard Operating Procedure (SOP) at the CFTC FOIA Office, Please apply the foreseeable harm test, and discretionary 

,,"' "' "' 

Granted ,n Full 

22-00092-FOIA 5/24/2022 add1t1onal 1nformat1on regarding the regulatory disclosures on the documents of the most recent Annual Update for Causeway Capital Management LLC Granted ,n Full 

("CCM") ( #449356); and copies of the 8Rs for two of CCM's principals - Gracie Varras Fermel1a ("fermel1a") ( #450011) and Sarah Hotchk1s Ketterer 
22-00093-FOIA 

22-00094-FOIA 

5/25/2022 

611/2022 

a copy of the order f1l1ng and settling charges, along with any e~h1bits or appendices thereto, that 1s described ,n the Commission's press release re 

Any and all records of the ' Commodity Futures Trading Commission ("CFTC") and/or any enforcement department thereof ,n connection with the 

1nvest1gation, negot1at1on, settlement, offer of settlement, enforcement action, and/or f1nes/payment(s), of any alleged violations for wash sales made 

by SummerHaven Investment Management, LLC, SummerHaven Index Management, LLC and SummerHaven Cap,tal, LLC, between July I, 2018 

other Reasons • Public Records 

Granted/Demed ,n Part 

22-00004-FPA 6/14/2022 I was invited by the government to apply for a SES role (not at the CFTC), which 1s posted with a very short turnaround. The application 15 due 

Wednesday, I am writing my appl1cat1on, and would greatly appreciate ,t 1f you would send me today:• My pos1t1on description, and• My employment 

Granted in Full 

22-00102-FOIA 6/16/2022 I request that a copy of the below documents and correspondence: L All FOIA requests the CFTC has received and all FOIA responses the CFTC has ... Granted ,n Full 

22-00103-FOIA 6/22/2022 Please sec attached request. Granted ,n Full 

22-00104-FOIA 7/10/2022 All records regarding Whileon Clay and 4X Solutions, Jnc. l represent(b)(6) ... Other Reasons - Records not reasonat>ly 

22-00105-FOIA 6/27/2022 Persuant to the freedom of information act, l hereby request documents (letters/emails) concerning or related to the proposed "memorandum of 

understanding" regarding crypto currency enforcement between the Securities and exchange commission (SEC), and the Commodities and Futures 

Trading Commission ([FTC). Such insight would be in the put>lics interest, and would serve to strengthen public confidence in these respective agencies 

other Reasons - No records 

22-00106-FOIA 6/29/2022 request for all complaints, tips and referrals regarding precious metal fraud (i.e. the fraud described ,n this advisory) filed from 2019-present. This 

request should include, but 1s not limited to:• A unique ID number for each report filed• The date when the report was made• The name of the 

1nd1v1dualfcompany the complaint was about• The zip code, c,ty and state of the individual/company mentioned in the complaint• A 

description/narrative of the complaint • Whether the individual filing the complaint has taken legal action (please include a yes/no column) • Whether 

the 1nvest1gation into the complaint is open, dosed or pending• Whether the complaint was sut>stant1ated (please include a yes/no column}. 

other Reasons· Records not reasonably 

described 

22-00008-AP 6130/2022 The basis for this FOIA appeal 1s that the CFTC has m1sappl1cd FOIA exemptions (b)5, (b)6, and b(7)C, and has applied those exemptions ,nan overly 

broad manner by failing to provide all nonexempt segregable portions of the responsive records to this FOIA request, and has violated the FOIA statute 

by failing to undertake an adequate search, 1n all applicable agency systems of records, to locate all responsive records to our client's October 20, 2020 

Completely Affirmed 

22-00095-FOIA 5/27/2022 I am the attorney representing the/bl/61 

commodities. We need all information related to /b]/6] 

He was known to carry business in the U.S. notat>ly t,y trading 

that your Department may have so we can pursue his rights, ,f any. 

Other Reasons - Not an agency record 

22-00007-AP 6/1/2022 the [FTC should produce all responsive documents withheld pursuant to Exemptions 3, 7(C), 4, 5, 8, and 7(A) unless they provide a description of the . Completely Affirmed 

22-00096-FOIA 6/1/2022 I request that a copy of all documents and emails containing the following information be provided to me: 1. Assistance provided to your agency by 

foreign authorities ,n the form of emails and documents in relation to the CFTC's investigation of the following entities, a, Tether Holdings Limited b. 

Tether Limited c, Tether Operations Limited d. Tether lnternat1onal Limited e. 1F1nex Inc. f. BFXNA Inc. g, BFXWW Inc. (dlb/a B1tf1nex) h. B1tf1nex 2. 

CFTC Release '" number 8450-21, dated 15 October 2021, the CFTC thanked the below foreign authorities for assistance with the 1nvest1gat1on. The 

background of this case can be found ,n CFTC Release 8450-21. According to the CFTC release, the following agencies I foreign authorities provided 

support to the CFTCc a. Securities Commission of The Bahamas b. British Virgin Islands F1nanc1al Services Commission c. Ontario Securities Commission 

d. Super,ntendenc,a del Mercado de Valores de Panama e. Com,ssiio do Mercado de Va lores Mobil,iirios (the Portuguese Securities Market Commission) 

f, Financial Services Authority Seychelles Please provide all documents and emails provided by these foreign authorities to the [FTC concerning this 

invest1nat1on t>etween Januarv I 2014 and Mav 31 2022. 

Denied in Full 

22-00003-FPA 6/13/2022 I am requesting all subm1ss1ons regarding my identity as well as notice of covered actions that resulted from my tip and any awards. other Reasons • Not a proper FOIA 

22-00100-FOIA 6/11/2022 I'd like to request all trades submitted to the CFTC since P43 and P45 went live in 2013. Although the CFTC website includes weekly reports, it's missing 

a few key fields I require, 1nclud1ng price fields and the ISDA taxonomy. Moreover, it does not include data submitted as part of P43. To summarize, I 

would like to request all trade and trade data submitted to the CFTC as part of P43 and P45. Please let me know ,f you have any questions. 

other Reasons • Public Records 

22-00101-FOIA 6/14/2022 All communications, calendar 1nv1tes and attachments from the individuals or email domains below to or from any political appointees at the Commodity Granted/Denied in Part 

Futures Trading Comm1ss1on using any of the below terms 1n the email or 1n the subJect line: !nd1v1duals: • Brendan Ounn • Rachel Barry• Samantha 

Dezur • Kathryn Fulton• Justin Daly• Erik Johnson• John A. Anderson• Mitchell L. Feuer• Tom Koonce• Rashawn Mitchell• Andrew C. Palmer• Peter 

D. Rich• Jared Sawyer• Amanda Slater• Barbara Novick• Bryan Wood• Rebecca Burch• Jeff Levey (Date Range for Record Search: From 1/21/2021 

22-00005-FPA 6/30/2022 Please provide to me all original signed agreements between(b)(6) and CFTC and/or ,ts 

subs1d1aries (sub-corporations). All records pertaining to any dollar e~change agreed between both parties,(b)(6) 

h1/R1 and US. Department of Education and/or ,ts subsidiaries (sub-corporations) Any statements of open or closed accounts within the 

CFTC and/or its subs1d1aries (subcorporat,ons) for l(b)(6) that renects any/all balance of 

other Reasons· Records not reasonably 

described 

22-00107-FOIA 6/30/2022 information or records, specifically the following CFTC-approved regulated futures contracts::> December 20, 1983: Chicago Mercantile Exchange (CME) other Reasons • Public Records 

- Gold Co,ns > December 20, 1983· Commodity Exchange, Inc (COMEX)- Gold Coins:> July 18, 1975· Chicago Mercantile Exchange (CME)- U.S. Silver 

Coins> July 18, 1975: M1dAmer,ca Commodity Exchange (MCE) - U.S. Silver Co,ns 7 July 18, 1975: New York Mercantile Exchange (NYMEX) - U.S. 

Silver Coins Jf any of the above information cannot be located, I would accept any documents sufficient to show which precious metal coins have been 

22-00108-FOIA 7/11/2022 Please provide the following documents: Form TCR('s) (including supporting documents) submitted for "Not,ce of Covered Act,on No 

fu 

2021-001 - Granted/Denied in Part 
22-00109-FOIA 7/12/2022 I would like to request both the original application for approval, and the CFTC off1c1al approval letter/report for the CFTC's approval of the following 

Futures contracts; 1 The CME's S&P 500 Stock Price Index, E-MIni Contract - formally approved by the CFTC on July 28, 1997 2 The CME's Nasdaq 

100 Index, E-M,ni Contract - formally approved by the CFTC on May 13, 1999. 3 The CBOT's M,n,-5,zed Dow ($5 multiplier) Contract - formally 

approved by the (FTC on March 25, 2002. I agree to pay any search, review, or copying fees that may t>e incurred in processing this request up to a 

Granted/Denied in Part 

22-00110-FOIA 7/28/2022 All subm,ss,ons related to my 1dent1ty and all awards, notice of covered actions, all correspondence to snd from the whistle-blower etc related to my 

identity directly or indirectly, and or my sut>m1ssions to the whistle-blower that was shared with the whistleblower commission and all of my tips, 

Granted ,n Full 

22-00111-FOIA 7(14/2022 I request disclosure from the CFTC the following records: J Copies of the last 50 emails sent and received by the Chairman of the CFTC and the four 

commissioners mentioning or referring to "crypto," "cryptocurrency," "d1g1tal assets," "bitcoin," and any other digital currency. The timeframe for this 

request Is April 1, 2022 through the date the search for responsive records is conducted, 2. From the Office of Legislative and Intergovernmental Affairs, 

a copy of each letter received by CFTC from a congressional committee or member of Congress and any responses sent. The t1mcframe for this part of 

my request Is January 1, 2022 through the date the search for responsive records Is conducted 

22-00097-FOIA 6/8/2022 On June 27, 2013 the CFTC filed a complaint in federal court (USDC SONY) versus MF Global, !Ne., MF Global Holdings LTD, Jon S. Corzine, and Edith 

O'Brien. The case number ,s US Commodity Futures Trading Comm,ssIon v. MF Global lnc et al Assigned toe Judge Victor Marrero Lead case: 1: 11-cv07866-VM-RWL Member case· (View Member Case) Related Case· 1 11-cv-07866-VM-RWL Cause: 15:78m(a) Securities Exchange Act. The complaint 

includes multiple references to recorded conversations between various executives at the firm. "Firm employees, including Corzine, communicated with 

one another, sometimes by email and sometimes on recorded telephone lines, concerning the Firm's dire s1tuat1on." I am requesting copies of these 

recordings and transcripts of the recordings that took place between the executives between June 1, 2011 and November 15, 2011 that arc the basis fo 

this complaint and that are ,n some cases quoted in this complaint. (Date Range for Record Search: From 6/1/2011 To 11/15/2011) 

Granted/Denied in Part 

12-ooogs-F0IA 619/2022 I would like 1nformat1on about agricultural commod1t1es (Corn-Wheat-Soybean). Precisely the history of futures contracts and options (put and calls) Other Reasons - Public Records 

22-00099-FOIA 7(7/2022 • Any files, reports, memoranda, examinations, and/or evaluations created by the CFTC's 01v1s1on of Enforcement ("DOE") concerning Soft Red Winter 

("SR W") wheat futures contracts traded on the Chicago Board of Trade ("CBOT") between September 1, 2017 and May 31, 2018 by either The 

Andersons, Inc. ("The Andersons") and/or Cargill, Inc. ("Cargill"); • Any documents transmitted to DOE ,n connection with a DOE investIgatIon of The 

Andersons' and/or CargIll's trading of SRW wheat futures contracts between September 1, 2017 and May 31, 2018; • All "Large Trader" reports, filed 

with the CFTC pursuant to 17 C.F.R. § 17.00 et seq., concerning transactions in SRW wheat futures executed between September 1, 2017 and May 

31,2018; • All Form 40 reports filed With the CFTC pucsuant to 17 C.F.R. § 18 04 et seq., concerning SRW wheat futures traders between September 1, 

2017 and May 31, 2018; and• All Form 204 reports filed with the CFTC pursuant to 17 C.F R. § 19.01 et seq, concerning SRW wheat futures traders 

Denied in Full 

22-00112-FOIA 7/14/2022 1. All cop,es of UNPUBLJSHED/NOT PUBLJCLY RELEASED DIG 1nvestIgations reports and OIG audits (report of Investigat1on, final report, closing memo, 

referral letter, concerning misconduct, actual or alleged, security breaches, 1ns1der threats whistleblower complaints, referrals from other agencies, 

correspondence, invest1gat1ve notes, interviews, statements from witnesses, transcripts taken during invest1gat1on, affidavits, copies of all sut>poenas 

issued and responses thereto, interrogatories and responses thereto, reports, internal staff memoranda, staff working papers and other documents and 

records or copies obtained or relating to complaints and 1nvcst1gat1ons) 1nclud1ng supporting material and exh1b1ts. The t1meframe for the first part of 

this request Is January 1, 2021 through the date the search for responsive records is conducted 

Granted/Denied in Part 

22-00113-FOIA 7/9/2022 A copy of each investigation report provided to the Executive Director ofCFTC during the time period January 1, 2017 to the present. You may OMJT Other Reasons - No records 

22-00114-FOIA 7/11/2022 I'm requesting the data to swaps from the CFTC from the period of 2021 to current They currently have disabled reporting th,s data publicly until 2023 

The spec1f1c companies I'm requesting data on are those listed as being held by Citadel Securities Over the Counter holdings (complete 11st available 

other Reasons - Public Records 

22-00115-FOIA 7/15/2022 I request disclosure from the CFTC the following records: J Copies of the 20 enforcement actions CFTC filed in FY 2021 that included digital assetrelated allegations of misconduct, including, a multiple case sweep charging several entItIes who took advantage of the trading public by acting as 

unregistered FCMs that encouraged customers to transfer money or assets to them In exchange for the opportu nIty to purchase binary options based of 

the value of commodItIes like foreign currency and cryptocurrcncIes, 1nclud1ng bItcoIn; numerous cases charging retail fraud involving d1g1tal assets; and 

cases charging platforms with illegally offering off-exchange trading in d1g1tal assets, as descnbed ,n the CFTC FY2023 President's Budget 

Other Reasons - Public Records 

22-00116-FOIA 7/15/2022 All documents related to CFTC v. Maverick Asset Management, LLC; Case No. 3: 15-cv-00928; November 9, 2017; (2017 U.S. Dist. LEXIS 215402, U.S. 0 0 

Granted ,n Full 

22-00117-FOIA 7/15/2022 A copy of the most recent leg1slat1ve briefing on each of these topics: Legislative/Hill briefing on EACH of the following topics for which that office has 

such briefings: 1) RINS Markets, 2) Automated/H1ghFrequency/Electronic Trading; 3) Position Limits and Bona Fide Hedge Exemptions; 4) End-User 

related Concerns; 5) "Bad Actor" wa,vers wIth1n the Enforcement context; 6) Live Cattle Futures. A copy of the most recent Comm,ss,on briefing on each 

other Reasons • No records 

22-00118-FOIA 7/15/2022 A copy of EACH congressional correspondence log or leg1slat1ve InteractIon log ,n the CFTC office that handles that InteractIon. You may l1m1t this reques 

to logs during the t1meframe 2018 to present. I undestand that this may be more than one log or spreadsheet or database output. 

Other Reasons - No records 

22-00119-FOIA 7/15/2022 A copy of the written CFTC policy that states 11 does not conform or deny the existence of InvestIgatIons Other Reasons • Public Records 

22-00120-FOIA 7/15/2022 A copy of the final report of the 1nvest1gation of illegal trading actIvIty In commodities related to ind1v1duals' advance knowledge of the United States 

' 

Other Reasons - No records 

22-00121-FOIA 7/15/2022 All emails t>etween (FTC staff or commissioners and the following representatives of cryptocurrency exchange operator FrX Trading Ltd. or ,ts U.S. 

subsidiary West Realm Shires Services Inc. (d/t>/a FTX US): - Sam Bankman-Fried (sam@ftx.com} - Brett Harrison (brett@ffx.us) - Ryne Miller 

(ryne@ftx.us) - Dan Friedberg (dan@ftx.com) The time period covered by this request Is between Aug. 1, 2021, and Oct. 31, 2021. (Date Range for 

Granted/Denied in Part 
22-00006-FPA 7/29/2022 All 1nformat1on you have related to me(b)(6) and my personal 1dent1fiable information Other Reasons • Not a proper FOIA

22-00122-FOIA 

22-00123-FOIA 

22-00124-FOIA 

22-00009-AP 

22-00007-FPA 

22-00125-FOIA 

22-00126-FOIA 

22-00127-FOIA 

7/18/2022 

7/18/2022 

7/19/2022 

7/20/2022 

7/25/2022 

7/27/2022 

7/28/2022 

10/18/2022 

Please provide all Freedom of Information Act (FOIA) logs for the Agency for the time period requested, which typically include a tracking number, date 

and descnption of the nature of the request. Please provide all records In a machine readable format, IncludIng, whenever possible, having performed 

Optical Character Recognition (OCR) on .pdf files Word or .doc and/or .docx files are acceptable If applicable, spreadsheets, whenever possible, should 

Please provide all documents related to investigations and/or fines and sanctions of the commodities trading company Trafigura and its associated 

subsIdIanes. Those subs1d1aries are: - Traf1gura Trading LLC - Traf1gura PTE Ltd. -Tra/lgura US Inc. - Traf1gura US Holdings, Inc. -Traf1gura Marketing 

- Impala Terminals Burnside LLC - Nyrstar Clar~sv1lle Inc - Nyrstar Tennessee Mines - Gordonsville LLC - Nyrstar Tennessee Mines - Strawberry '"' Plains LLC • Puma Energy Can be LLC • TCPU LLC • Tag futures· Impala Fleeting Burnside LLC • Bluewater Texas Terminal LLC • Sawtooth Caverns· 

Any and all mandated quarterly reports for the preceding 12 months as well as the most recent annual mandated compliance report for the North 

I find It difficult to believe that CFTC «can not find» communIcatIon which Is so recent and so publicized and on such high organizatInal level. 11 would be 

ImpossIble to hold a dialogue between two government agencies about this as late as june 2022 without any written records or trances thereof. From 

the articles published In the press, we know that this dialogue happens between the two directors of CFTC and SEC. My questions: 1. Has the FOIA 

officers asked the directors> Bridget McFarland does not write that she has, I only receive a standard letter reply. 2 Which records and data bases have 

been researched, and with which search words? The CFTC reply does not say that either. Again, It IS of extreme importance that the public is informed 

of any efforts to regulate crypto currency outside Congressional legislation. This is not and should not by held secret for any reason. If this FO]A Is not 

reconsidered with a positive result, a lawsuit with Empower oversight will be considered, Here are more articles relating to the issue. 

https:/jda1Iyhodl.com/2022/06/26/sec-chair-gary-gensler-proposes-one-rule-book-for-regulat1on-of-all-crypto-asset-trad1ng-report/ 

Granted/Denied in Part 

Denied in Full 

Denied In Full 

Completely Affirmed 

Anything that has or uses my SSN; any ban~ account that I owned, even 1f It not authorized In my name. Everything that the government has a hold or I Other Reasons - Records not reasonably 

Historical price limit (if applicable) from 1960-present for the following commodity futures exchanges/contracts; CME, formally COMEX: Gold (GC), Silve 

(SI), Copper (HG) CME, formally CBOT:Ch1cago Soft Red Wheat (W), Soybean 011 (BO), Soybean Meal (SM), Com (C), Soybeans (S), Rough Rice (RR) 

Oats (0) CME, formally NYMEX Metals: Palladium (PA), and Platinum (PL) CME, formally NYMEX: WT! Crude 011 {CL), Heating 0II/NY Harbor ULSD (HO), 

RBOB Gasoline (RB) Natural Gas {NG) CME, formally KCBOT: Kansas City Wheat (KW) CME: Live Cattle (LC), Feeder Cattle {FC), Lean Hogs ICE US, 

formally NYBOT: Sugar 11 (SB), Cocoa {CC), Cotton, FCOJ (JO), Canadian Canola (RS) MInneapolIs Grain Exchange: Red Spring Wheat (MW) 

It has come to my attention that naked credit swaps may pose systemic risk Can you help me place a FOIA request for access for the relevant mIssIng 

' documents created or received during the interrelated enforcement actions and Notices of Covered Actions (NCA) involving the manipulation of certain 

FX benchmark rates by the following banks:• JPMorgan Chase Bank, NA (NCA 2015-010) • The Royal Bank of Scotland pie (NCA 2015-011) • HSBC 

Sank pie (NCA 2015-012) • UBS AG (NCA 2015-013) • Citibank, N.A. (NCA 2015-15) • Barclays Bank PLC (NCA 2015-037) Spec1f1cally, we are 

requesting the following documents named, descrit>ed, or referenced In the declaration of the Chief Trial Attorney, which was provided to the Claims 

Review Staff ("CRS") in each of the above-listed NCAs: • Documents, including notes, transcnpts, and memoranda, describing the contents of a June 19 

2013 call between the Commission and the United Kingdom's F1nanc1al Conduct Authority ("FCA") about benchmark manIpulatIon • Documents, 1nclud1n 

notes, transcript, and memoranda, descnb1ng the contents of a July I, 2013 call between the Commission and the FCA about benchmar~ man1pulat1on • 

July 15, 2013 letter from the Commission to the FCA requesting information about the banks' benchmark manipulation • The FCA's September 4, 2013 

response to the CommIssIon·s July 15, 2013 letter• Documentation, including notes, transcnpt, and memoranda, describing the contents of a 

September 26, 2013 call between the Comm1ss1on and the FCA about benchmark man1pulat1on. • Copy of the first internal InvestIgatIon report from a 

target bank that was received by the Commission on September 27, 2013 • All substantive 1nformatIon that the Comm1ss1on received from the F1nancIal 

Conduct Authority ("FCA") during the Commission's investigation, which began on June 19, 2013, that related to the target t>anks' benchmark 

man1pulat1on and the FCA's investigation into this man1pulat1on, We are also requesting the following documents, which would have been created 

between the release of the NCAs in 2015 and the issuance of the Prel1m1nary DetermInatIons on February 9, 2022: • All documents created or received 

In connection with the award determinations for the above-listed NCAs or a related action, IncludIng affidavits or declarations, written requests for 

information, responses to requests for 1nformat1on, InvestigatIve notes, notes of IntervIews, InvestIgative memoranda, recommendations, and analyses. 

• Any documents or materials, 1nclud1ng sworn declarations from third parties, that were received or obtained by OWB or CRS to assist the Comm1ss1on 

In resolving an applicant's award appl1cat1on, including Informat1on related to the claimant's elIg1bil1ty, for the above-listed NCAs. 

Granted in Full 

other Reasons - Public Records 

Denied In Full 
22-00128-FOIA 7/28/2022 documents created between the dates of January 1, 2020 and February 9, 2022: • All communIcatIons, including emails, memoranda, and letters 

between the Office of General Counsel (OGC) and the Office of the Whistleblower (OWB) about the use of the Consumer Protection Fund (Fund) to fund 

OWB operations • All communications, ,nclud,ng emails, memoranda, and letters, between OGC and OWB about the depletion of the Fund and ,ts effect 

on OWB's mission and function• All communications, including emails, memoranda, and letters, between OGC and OWB about any conflict or connict of 

interest for OWB when resolving large wh1stleblower award applications that might deplete the Fund• All communications, including emails, 

memoranda, and letters, between OGC and OWB about the ram1f1cat1ons of any wh1stlcblower awards that could potentially deplete the fund We arc 

also requesting documents that relate spcc1f1cally to the wh1stlcblower award determinations made for the Notices of Covered Actions (NCA) involving 

the manipulation of certain FX benchmark rates by the following banks: • JPMorgan Chase Bank, N.A. (NCA 2015-010) • The Royal Bank of Scotland pie 

(NCA 2015-011) • HSBC Bank pie (NCA 2015-012) • UBS AG (NCA 2015-013) • Citibank, N.A. {NCA 2015-15) • Barclays Bank PLC {NCA 2015-037) For 

the above-I,sted NCAs, we are spec1fIcally requesting the following documents and 1nformatIon· • All commun,cat,ons, IncludIng emails, memoranda, and 

letters, between the Office of General Counsel (OGC) and the Office of the Whistleblower (OWB) about OWB's role ,n determining elig1bIlIty for an award 

• All communications, including emails, memoranda, and letters, between OGC and OWB about OGC's role in determining the elig1t>ility of any 

whistleblower's for an award• All communications, including emails, memoranda, and letters, between OGC and OWB about the drafting of preliminary 

dcterm1nat1ons, 1ndud1ng but not l1m1tcd to who should draft the prel1m1nary detcrm1nat1ons • The namc(s) of the 1nd1v1dual or 1nd1v1duals who drafted 

the prclImInary determinations • The names of the members of the Claims Review Staff (CRS) that considered the wh1stleblower award applIcatIons 

Granted/Denied in Part 

22-00129-FOIA 7/29/2022 all emails from January 1, 2021-present in which CFTC Commissioner Kristin Johnson mentions Gary Gensler (Date Range for Record Search: from Other Reasons - No records 

22-00130-FOIA 8/2/2022 any consumer complaints filed with the CFTC since 1/1/2018. regarding Advantage Gold, Allegiance Gold, Monetary Gold Group, Birch Gold Group, 

Rosland Capital, Red Rock Secured, Gold Allied Trust, Augusta Precious Metals, Patriot Gold Group, Oxford Gold Group or Goldco[.] Please include any 

' 

Granted/Denied in Part 

22-00131-FOIA 813/2022 I am now requesting a copy of the Agency's Annual report to the Attorney General as mandated by the same FO!A Act under section 8(e)l to include all Other Reasons - Public Records 

22-00132-FOIA 8/5/2022 Council for the Inspector General on Integrity and Efficiency ("ClGlE ') report to the Chairman on the CFTC Inspector General. Other Reasons - Not an agency record 

22-00133-FOIA 8/19/2022 Any records relating to both Oats Futures and Ceres Global Ag Corp other Reasons - Records not reasonably 

22-00134-FOIA 8/8/2022 Any complaints made about pred,c,t.com Granted/Denied in Part 

22-00135-FOIA 8/6/2022 Documents related to the dec1s1on to withdraw the "No-Action Letter to Victoria University of Wellington, New Zealand Regarding a Not-For-Profit Market 

for Certain Event Contracts" https://www.cftc.gov/PressRoom/PressReleases/8567·22 Included In this request are any communIcatIons on this topic 

between the CFTC and Victoria University of Wellington, Predictlt, KalshiEX LLC, or other relevant parties, and any documents related to internal 

Denied In Full 

22-00136-FOIA 8/9/2022 Investigations of Polomex Other Reasons - Records not reasonat>ly 

22-00137-FOIA 8/30/2022 Investigat,ons of FTX and FD'. US other Reasons - Records not reasonably 

22-00138-FOIA 8/9/2022 Investigations of BInance or BInance US other Reasons - Records not reasonably 

22-00139-FOIA 8/9/2022 Investigat,ons into Co,nbase other Reasons - Records not reasonably 

22-00140-FOIA 8/9/2022 Documents related to InvestIgatIons of Kraken other Reasons· Records not reasonably 

22-00141-FOIA 8/9/2022 Files related to the InvestIgatIons of B1tf1nex Other Reasons - Records not reasonably 

22-00142-FOIA 8/9/2022 Documents related to the InvestIgatIons of Tether Other Reasons - Records not reasonably 

22-00143-FOIA 8/9/2022 InvestIgatIons of Gemini Other Reasons - Records not reasonably 

22-00144-FOIA 8/10/2022 I am requesting "Exhibit B'" (Technology Questionnaire) from kalshi's initial DCM application to the CFTC (Decemt>er, 2019) Denied in Full 

22-00145-FOIA 8/10/2022 Documents related to InvestIgatIon of possible man1pulat1on of the DogecoIn market by Elon Musk Other Reasons • No records 

22-00146-FOIA 8/15/2022 '"Form DCO" and "Form SEF" appl1cat1ons for Kalsh1EX LLC and LcdgcrX LLC 1nclud1ng all attachments to the applIcatIon. Granted/Denied in Part 

22-00010-AP 8/18/2022 I write to appeal the CFTC's May 20, 2022 response to the above-referenced FOIA request As I have communicated before, the CFTC has mishandled 

the false allegations against me and(b)(6) from the moment they were first made-allowing them to be made in a large group setting, in violation 

of (FTC policies, Worse yet, the allegations were purposely raised in this put>lic setting to cause substantial reputat1onal harm to me and I(b)(6) 

which did indeed occur. In denying my fO!A request, the CFTC continues to mishandle the sItuatIon, to disregard my rights as the accused, and to make 

It unsafe and impossible for me to engage In proper performance management. I have a right to documents InvolvIng allegations and findings about me. 

In this regard, the CFTC's May 20 letter referencing '"the general public's interest" and case law mentioning the same Is m1splaced-th1s request Is not 

from the general public. Records about me have been created that are based on false 1nformatIon, and I have never had an opportunity to see those 

records, much less correct them, and multiple members of senior leadecship have incorrectly relied on those records ,n commun,catIng w,th me. 

Completely Affirmed 

22-00148-FOIA 8/22/2022 Information about Tether reserves between September 2nd 2016 and November 1st 2018 other Reasons - Records not reasonably 

22-00149-FOIA 8/22/2022 Informat,on about Tether's 51 different arrangements to hold funds during the relevant period invest,gated by CFTC other Reasons - Records not reasonably 
22-00150-FOIA 

22-00151-FOIA 

22-00152-FOIA 

22-00153-FOIA 

22-00154-FOIA 

22-00155-FOIA 

22-00156-FOIA 

22-00157-FOIA 

22-00158-FOIA 

22-00159-FOIA 

22-00160-FOIA 

22-00161-FOIA 

22-00162-FOIA 

22-00163-FOIA 

22-00164-FOIA 

22-00147-FOIA 

22-00165-FOIA 

22-00166-FOIA 

22-00167-FOIA 

22-00011-AP 

8/22/2022 

8/22/2022 

8/22/2022 

8/22/2022 

8/22/2022 

8/22/2022 

8/24/2022 

8/24/2022 

8/24/2022 

8/24/2022 

8/24/2022 

8/25/2022 

8/25/2022 

8/30/2022 

912/2022 

9/2/2022 

9/7/2022 

9/12/2022 

9/13/2022 

9/14/2022 

Communications between Tether and customers encouraging them to use accounts at Ctypto Capital Corp as described In the settlement 

Communications between Tether and Crypto Capital Corp 

Communication between B1tf1ncx and customers encouraging customers to use VPNs 

Loan terms between Winklevoss Capital and other firms related to trading on the Gemini exchange and trading In the Gemini Bitcoin Auction 

Under the Freedom of Information Act, 5 USC Section 552, Jam requesting information or records regarding two parties, 1. Victoria University of 

Wellington 2. Aristotle International, Inc. (or the CEO, John Aristotle Phillips) lam looking for any information, including correspondence or other FOJAcl1g1blc material, from between January 1, 2013 and August 22, 2022. I am seeking this 1nformat1on as a reporter on behalf of The New Yorker. If you 

have any questions about the handling of this request, you may telephone me at (b)(6) '.Date Range for 

Please sec the attached. 

1) A copy of the JOb description of each 1nd1v1dual in the Office of LegIslat1ve and Intergovernmental Affairs who handles congressional 

l1a1son/congressional relations, 2) A copy of records describing the current system, spreadsheet, database or file for tracking congressional interactions 

Copies of any emails sent or received by Rostin Behnam cont a 1ning the keywords "Tether" or "stableco1n" or "stablecoins." 

Any notes or recordings or minutes or other records related to meetings of the President's Working Group on Financial Markets on July 19, 2021 and 

"' 

A copy of the final report and the closing letter for the CFTC's invest1gat1on of BItf1nex and Tether. (This is the investigation that is the subJect of Docket 

No. 22-04 and 22-05 and Release Number 8450-21) 2. A copy of the case file for the CFTC's 1nvest1gation of B1tfinex and Tether, (This 15 the 

invest1gat1on that 15 the sul>Ject of Docket No. 22-04 and 22-05 and Release Numt>er 8450-21) 3. A copy of the dosing memo and referral letter, 1f any, 

for the CFTC's InvestIgatIon of B1tfinex and Tether. (This Is the InvestIgatIon that Is the subJect of Docket No. 22-04 and 22-05 and Release Number 

8450-21) 4. A copy of the final report and the closing letter for the CFTC's previous InvestIgatIon of B1tf1nex. (This Is the InvestIgatIon that Is the subJect 

of Docket No. 16-19 and Release Number 7380-16) 5. A copy of the case file for the CFTCs previous investIgatIon of B1tf1nex. (This Is the InvestIgation 

that Is the subJect of Docket No. 16-19 and Release Number 7380-16) 6. A copy of the closing memo and referral letter, 1f any, for the CFTC's previous 

1nvest1gation of B1tfinex. (This Is the 1nvest1gation that is the subJect of Docket No 16-19 and Release Number 7380-16) 

FOIA logs from August I, 2021 through August L 2022 (Date Range for Record Search, From 8/1/2021 To 8/1/2022) 

All records produced by the CFTC in response to FOIA request #22-00039-FOIA 

Hi all - Is it possible to get archives of the Equities cumulative slice reports? The time period I'm interested in would be from 2017 to 2021 ,ae 

historical search on the SOR page is l1m1t1ng observations to 10,000 entries w1th1n excel and therefore missing trades, Please give me a call 1f you have 

Information or records regarding Sam Ikkurty (aka Sreenivas Rao), Ravishankar Avadhanam, Jafia LLC, Ikkurty Capital LLC (dba Rose City Income C C

'" I set up a commod1t1es trading account a couple years ago. I never used the account and the computer I had the 1nformat1on on suddenly died. How can ,, ' D1sdosure of communications within the Division of Market Oversight and between the DMO and outside parties related to the revocation of the no 

action letter provided to the Victoria University of Wellington In New Zealand, which was used by Pred1ctit/Aristotlc to operate ,ts event contracts 

exchange. The requested time period for these materials IS Jan. I, 2022 to Aug, 28, 2022. I believe these materials arc primarily held by the DIvIsIon of 

Market Oversight. These requested materials may include memoranda, reports, exh1b1ts, Inter,Iew transcripts, statements from witnesses, calendar 

logs, emails, email attachments, or other documents between OMO staff and the following IndIvIduals, companies or entities: Micah Green, an attorney 

at Steptoe & Johnson (mgreen@lsteptoe.com) Charles Mills, an attorney at Bracewell Charles.mills@bracewell.com) Victoria Univecsity of Wellington, 

New Zealand Pred1ctlt Aristolte, lnc Kalshi, lnc, KalshiEx LLC ElIezer (or Elle) Mishory of Kalshi, lnc (emishory@kalshi.com) These names are intended 

to facilitate your search but are not intended to t>e an exhaustive list 

The full names of current and former CFTC economists who have been employed at the CFTC during 1990-2022. Economists are defined as any 

employees who have ever held the title: Economist, Senior Economist, Research Economist, Supervisory Economist, Chief Economist, Acting Chief 

Economist, or Deputy Chief Economist. For each economist, the starting date and end date (1f any) of h•s/her employment at the CFTC. For each 

economist, the starting position and end position (or current position) of his/her employment at the CFTC. I also request 1nformat1on on Research 

Papers, as well as the titles and author names of the research papers that the CFTC economists have produced during 1990-2022 

I am requesting electronic copies of 1nformatIon or records created on or after January I, 2022 regarding either of the following: ( I) the event contract 

lhv'' ~f -~,,~,-,~- 1,1-"'" 

A copy of each memo In the LegIslatIve and Intergovernmental Affairs office at CFTC regarding each of the following topics: RINS Markets, 

Automated/High Frequency/Electronic Trading, Position L1m1ts and Bona Fide Hedge Exemptions, End-User related concerns, "Bad Actor" waivers w1thIn 

the Enforcement context, and Live Cattle Futures Please limit this request to records during the time frame January 1, 2017 to the present I agree to 

the results of a search not to exceed three hours, I agree to limit this request to records found w1th1n the Office of Legislative and Intergovernmental 

I'm writing to appeal the CFTC's Sept 6 decision on my FOJA request (No 22-00147-FOJA). Before denying records under Section (b)(7)(A), an agency 

must conduct a document-by-document search to determine 1f any records may t>e segregable and would not interfere with law enforcement 

other Reasons· Records not reasonably 

Other Reasons - Records not reasonably 

Other Reasons - Records not reasonably 

Other Reasons - Records not reasonat>ly 

Other Reasons - Records not reasonat>ly 

described 

Other Reasons - No records 

other Reasons - No records 

Other Reasons - Records not reasonat>ly 

Other Reasons - Referrals 

Denied In Full 

Granted/Denied in Part 

other Reasons • Public Records 

Other Reasons - Public Records 

other Reasons· Records not reasonably 

Other Reasons - Not a proper FOIA 

Denied in Full 

Other Reasons - Records not reasonat>ly 

described 

Denied In Full 

Granted/Denied in Part 

Completely Affirmed 
22-00168-FOIA 9/14/2022 I am looking for more concrete information concerning a broker company called Fair forex, owned by a Krissy Jones. According to fa1tforex their 

platform was due to be upgraded, With little more than 2 hours notice. However customers were unable to With draw their funds and requests to have 

other Reasons· Records not reasonably 

described 

22-00008-CONS 9/15/2022 The Department of the Treasury (Treasury) received a FOJA request from Zeke Faux, seeking "Any notes or recordings or minutes or other records 

related to meetings of the President's Working Group on Financial Markets on July 19, 2021 and June 30, 2022. (Date Range for Record Search: From 

7/1/2021 To 7/1/2022). 'A copy of the request has been attached for your reference. While processing this request, Treasury located one (1) document, 

one (1) page (page 5) that we believe contain cquItIcs of the Commodity Futures Trading Commission. We arc referring the documents to your agency 

for review and return to Treasury by September 23, 2022 to meet our commitment to respond to the rcqucstor. 

Granted In Full 

22-00008-FPA 9/21/2022 Dear FOJA officer, pursuant to the Freedom of Information Act, the unders,gner herewith requests all records, belonging to his persons or their 

1dent1ficat1on numbers, which are held by your office. This requests also includes, without lim1tat1on, medical and psychological records, as well as 

records regard, ng any status, benef1c1al ownerships, benefits and debt records. To verfiy the correct person, the following data will help you : (b)(6) 

(b)(6) 

bl/61 A certified copy of the t,irth certificate, 

the driver s license, a ccrt1f1cat1on of a psychologist, all endorsements front and back arc herewith accepted for value, and a signed ccrt1f1cat1on to 

verify my ID Is in the annex. The cert1ficat1on of the psychologist ccrt1f1cs, that sharing 1nformat1on directly to the undcrs1gncr w,II not have an adverse 

effect on him. In the reason this certification does not comply with the statutes, /bl/61 ,s 

herewith authorized to receive the renuested records, If vou have an" nuestIons or want to Ive notice to the undersinner nlease contact via email at 

other Reasons· Records not reasonably 

described 

22-00169-FOIA 9/21/2022 I would like to request access to electronic copies of all records furnished by the Commodity futures Trading Commission ,n response to FOIA Request 

""· 

Granted ,n Full 

22-00170-FOIA 9/22/2022 The following records pertaining to the no-action letter granted to the Victoria University of Wellington for the operation of the Predictlt betting market 

(CFTC Letter No. 14-130) from June 26, 2014 to the present: (1) Any correspondence between the commission and the unIvcrsIty, ,ts agents and 

attorneys, members of Congress, consumers, state or federal agencies, or other interested parties regarding the no-action letter. (2) Any data, 

documents or other information relied upon by the CFTC ,n issuing ,ts August 4, 2022 letter revoking the no-action letter. 

Other Reasons - Records not reasonat>ly 

described 

22-00171-FOIA 9/22/2022 I need a current 11st of Firms and IndIvIduals at those firms who are registered with the CFTC ,n digital format, csv Ille or sImIlar. other Reasons • Referrals 

22-00172-FOIA 9/26/2022 J. Any letter sent by CFTC officials to the Victoria Un1vers1ty of Wellington, New Zealand concerning Predictit.com t>etween January L 2020 and August 

31, 2022. 2. Any letter received by CFTC officials to the v,ctona University of Wellington, New Zealand concerning PrcdIctIt.com between January 1, 

2020 and August 31, 2022. 3. Any CFTC internal memos concerning Prcd1ct1t.com from between January 1, 2020 and August 31, 2022. 

Denied in Full 

22-00173-FOIA 9/26/2022 Documents related to any examInatIon or invest1gat1on related to Ceres Global Ag Corp and actual or potential: position lIm1t v1olat1ons in the Oats 

futures market; manipulation of prices in the cash or futures markets for Oats; and/or efforts to suppress the supply of Oats available for sale to Oats 

Denied In Full 

22-00174-FOIA 9/27/2022 Please provide a current organ1ZatIon chart showing (FTC staff under each CFTC Division or Office Director. ]n particular, we would like those under the Granted in Full 

22-00175-FOIA 9/28/2022 For each wh1stleblower award made under the CFTC's wh1stleblower program from January J, 2021 through the present date. ( 1) the date the award 

was issued; (2) the dollar amount of the award: and (3) the law firm(s} and individual attorney(s) representing the whistleblower (1f any); (4) if there is 

no law firm associated with the award, please IndIcatc this. On June 7, 2022, the CFTC Legal DIvisIon issued a response to my related earlier FOIA 

request (No, 22-00026-FO!A / Appeal No, 22-0000006-AP) provIdIng t~,s 1nformat1on for an earlier time period 

Granted/Denied in Part 

22-00176-FOIA 9/28/2022 I would like to know about Commissioner Caroline Pham's schedule since she was In March, Particularly, l want to know meetings or calls she's had with 

cryptocurrcncy, d1g1tal asset, or blockchain industry stakeholders. EntItIcs to search for include: "FTX"; "Co1nbasc" "Uniswap"; "Paradigm" "Stellar"; 

"Rob,nhood"; "Krakcn" "Ripple" "Blockcha,n Assoc1at1on"; "Crypto Council for Innovation" "Coin Center": "Messan"; "Co1nDesk"; "Cha1nalys1s"; 

"Binance" "Stemhell Group": "Alex Sternhell"; "Gemini" "BlockFI" "Association for D1g1tal Asset Markets"; "FS Vector"; "Kristin Smith"; "Sheila 

Warren"; "Mark Wetjen" "Sam Bankman-Fried" "Ryan Selkis" "Jerry Brito" "Peter Van Valkenburgh" "Kara Calvert"; "Justin Slaughter"; and "Adam 

Other Reasons - Records not reasonat>ly 

described 

22-00177-FOIA 9/29/2022 any off1c1al conversations via email, text, or letter between Kalshi employees/board member-sand the CFTC from May 1, 2022 - Aug. 15, 2022 that other Reasons - Records not reasonably 

23-00001-FOIA 10/3/2022 A copy of letter correspondence between KalshIEX LLC {KalshI) and the CFTC regarding pol1t1cal event contracts during the t1meframe January 1, 2020 

and present. A copy of presentations by Kalsh1 to CFTC that may be releasable under FOJA, during the same t1meframe This is an 1ndiv1dual 

23-00002-FOIA 10/3/2022 A copy of letter correspondence between Victoria University in New Zealand and the CFTC regarding political event contracts during the t1meframe 

January L 2018 and present. A copy of presentations by Victoria University to CFTC that may be releasat>le under FOJA, during the same timeframe, 

copy of the CFTC's underlying rationale and reasoning for the adm1n1strat1vc decision to shut down the PrcdIctit market by a February 2023 deadline. ' This Is an 1nd1v1dual noncommercial request. I swear under penalty of pcrJury that t~Is request is not for any commercial purpose, 

Granted/Denied in Part 

23-00003-FOIA 10/17/2022 I request any official documents, briefings, or other information generated or received t,y the CFTC, regarding the frontrunning of cryptocurrency 

transactions using decentralized finance (DEF!), T~Is frontrunning may sometimes, but not always, be termed "Miner Extractable Value" (MEV), 

Other Reasons - No records 

13-00004-FOIA 1013/2022 A copy of each piece of (letter - either paper or electronic)) correspondence between CFTC and Congressional Committees or Subcommittees, Please 

"' 

Granted/Denied in Part 
23-00005-FOIA 10/3/2022 Caroline Pham's schedule since being sworn ,n ,n April 2022. Particularly, I want to know the time of meetings or calls she's had with cryptocurrency, 

dIg1tal asset, or blockcha,n industry stakeholders during her tenure, beyond the public statements and speeches that are viewable on the CFTC's 

website. Entities to search for include: "FTX"; "Coinbase '; "Un,swap '; "Paradigm" "Stellar"; "RobInhood '; "Kraken" "R,pple"; "BlockchaIn Associat,on" 

Trypto Council for Jnnovation ', "Coin Center" "Messari", "CoinDesk" "Chainalys1s", "Binance", "Sternhell Group'; "Alex Sternhell" "Gemini" 

"BlockF1" "Association for Digital Asset Markets"; "FS Vector"; "Kristin Smith"; "Sheila Warren" "Mark WetJen ', "Sam Bankman-Fried" "Ryan Selkis", 

"Jerry Brito' "Peter Van Valkenburgh"; "Kara Calvert"; "Justin Slaughter"; and "Adam M1nehardt" 

23-00001-FPA 10/3/2022 /bl/61 submitted a formal complaint through the CFTC TCR portal between the date (b)(6) and Is requesting the TCR record 

23-00006-FOIA 10/4/2022 8-R Regulatory Disclosure Information about James Reynolds, Jr. 

23-00007-FOIA 10/5/2022 Please provide the current organization chart for the D1v1s1on of Market Oversight. 

23-00008-FOIA 10/5/2022 all records cons,st,ng of, concerning, referring to, or relating to MetaQuotes and ,ts smartphone app, MetaTrader. Spec,r.cally this request is to include 

any and all releasable complaints, personnel records, any and all commendations, internal and external correspondence, agendas, memos, guidelines, 

talking points, guidances, legal t>riefs, presentations, manuals, and/or instructions pertaining to MetaQuotes and MetaTrader. This request applies 

spcc1f1cally to any and all relevant images, graphics, 1llustrat1ons, video or audio recordings, and datasets In your agency's possession. If spec1f1c 

portions of any documents or related materials arc exempt from disclosure, please provide the non-exempt portions, Please consider the relevant 

request range from January 1 2019 until the date the search for responsive records Is conducted. 

23-00001-CONS 10/6/2022 Th,s concerns the subject request received and being processed by the FDIC We have located one document, totaling 10 pages, which contain equities 

of interest to the Commodity Futures Trading Commission, W1th1n the document, we have highlighted the specific information of interest to your office. 

We are forwarding this information to you for consultation, review and disclosure recommendations back to the FDIC. Please send your response directly 

to me at NatSm1th@fd1c.gov. If you have any questions about this matter, please feel free to contact me as well. 

23-00009-FOIA 10/11/2022 Each written authorization issued pursuant to 5 C.F.R. § 2635.502(d) between and including August L 2015, and October 6, 2022. 

23-00010-FOIA 10/11/2022 V,deo of Kristin Johnson and Jay Clayton on Wednesday, June 23, 2022 3 · 30 p m to4·15p.m (EDT) at Goldman Sachs 

23-00011-FOIA 10/11/2022 All CFTC Form 204s (Statement of Cash PosItIons In Grains) submitted on or between January 1, 2015 and December 31, 2020 by any of the following 

entities: Ceres Global Ag Corp {and/or its aff1l1ates or subsIdIaries, IncludIng RIverland Ag Corp., Savage RIverport LLC, Delmar CommodItIes, and 

Farmers Grain LLC); Cargill Inc.; CGB Enterprises Inc. (or Consolidated Grain and Barge Co.); Chicago & IllInoIs River Marketing LLC; General Mills 

Operations, Inc., General Mills Operations, LLC; Hansen-Mueller Co • ADM Grain Co , Duluth Lake Port LLC; WB Duluth Storage LLC; COFCO 

International Grains US, LLC. Also, documents concerning a posItIon limit exemption for Oat Futures for any of the entities listed above, 

23-00012-FOIA 10/13/2022 I would like to request a Certified Copy of the July 26, 2006, Initial Dec1s1on/Final Order in the case: Randy Straghn v. Executive Commodity 

" " 

23-00013-FOIA 10/14/2022 Any depositions of John Arnold conducted by CFTC - ,nclud,ng but not limited to the one conducted for CASE# 4"03-cv-00909, CFTC v Enron and 

23-00014-FOIA 11/1/2022 Any and all records pertaInIng to the CFTC's cons,derat,on of the proposal by FTX US to clear derivatives without the use of an intermediary The records 

should include but not be limited to any memos, talking points, emails, correspondence with FTX or other companies related to the proposal. 

23-00015-FOIA 10/17/2022 All records, which includes emails, memos, reports, letters, talking points, mentioning, or referring to "Terraform Labs," "Terra," "Luna,'" "TerraUSD, oc 

'"Do Kwon" between 3/1/2021 and 10/16/2022. Any and all records pertaining to case number '"B9486." Any and all records pcrtaInIng to case number 

23-00016-FOIA 10/18/2022 all emails, memos, presentations, emails or other correspondence related to the hedge fund Three Arrows Capital (sometimes written as 3AC) or ,ts 

founders Zhu Su (sometimes written as Su Zhu) and Kyle Davies. The document search can be l1m1tcd to 10/17/2021 to 10/17/2022. 

23-00017-FOIA 10/18/2022 All congressional correspondence logs from January 3, 2021 to the present. 

23-00018-FOIA 10/18/2022 I'm looking for a complete copy of the foreign board of trade ('"FBOT") product cert1f1cat1on filing submitted to the DIvIsIon of Market Oversight (Product 

" 

23-00019-FOIA 10/19/2022 Request for certified copies of CFTC Order (2007) & NFA Order (2004) against Mr, Lawrence Barrell Hundley, ]JI 

23-00020-FOIA 10/20/2022 Council of the Inspectors General on Integrity and Efficiency {CIGIE) InvestIgation of the CFTC's Inspector General. I understand at the time of my first 

request the report was not yet completed and as such not yet provided to the CFTC. l believe the report has now been completed and most likely 

23-00021-FOIA 10/20/2022 Information to the Commodity Futures Trading Commission ("CFTC") concerning ,ts 1nvest1gation of UBS Financial Services, Inc. and UBS Securities, LLC 

(collectively, "UBS") which resulted in the CFTC's Order Instituting Proceedings Pursuant to Section 6(c) and (d} of the Commodity Exchange Act, Makin 

F1nd1ngs, and Imposing Remedial Sanctions issued on or about September 27, 2022 In CFTC Docket No. 22-42, captioned In the Matter of UBS AG, UBS 

23-00022-FOIA 10/24/2022 A log, 11st or spreadsheet of the names of all CFTC employees who were required to file public f1nanc1al disclosure statements between the period of 

' 

23-00023-FOIA 10/24/2022 For all employees who entered into a posItIon at the agency since January 2017: L Any conflicts or ethics waivers or authorizations for the 1ndiv1dual, 

1nclud1ng authorizations pursuant to 5 C.F.R. Section 2735.502 and pursuant to 18 U.S. Code Section 208(b) 2. Any records related to any recusal 

23-00024-FOIA 10/25/2022 All materials (,nclud,ng, but not limited to, commun,cat,ons, whether handwritten, paper, email, text, messaging appl,cat,on messages. vo,cemail 

messages, or other form of recorded transfer of Informat,on. ,deas, op,nions, or thoughts (hereinafter, "Communications")) considered by the CFTC's 

D1v1s1on of Market Oversight ("OMO"'), including, t>ut not limited to, any materials considered by the DMO's then Director, Deputy Director, and Associate 

Director of DMO leading to CFTC Letter No. 21 -19, Staff Advisory on Swap Execution Facility Registration Requirement, issued on September 29, 2021 

Granted ,n Full 

Granted ,n Full 

Granted ,n Full 

Granted in Full 

Den,ed ,n Full 

Granted ,n Full 

Granted/Denied In Part 

Other Reasons - No records 

Denied ,n Full 

Other Reasons - Public Records 

Granted/Denied in Part 

other Reasons - Records not reasonably 

described 

Other Reasons - Records not reasonat>ly 

described 

Other Reasons - Records not reasonably 

described 

other Reasons • No records 

Granted/Denied in Part 

Other Reasons - Public Records 

other Reasons • Referrals 

Other Reasons - Records not reasonat>ly 

described 

Granted ,n Full 

Granted/Denied in Part 

Granted/Denied in Part 
23-00030-FOIA 1117/2022 I would like access to the swaps records that the CFTC decided would not be shown until next year (from 2021 till 2023). All 1nformat1on related to the 

use of the swap mechanic which Wall Street firms, the big banks and hedge funds all use to malIcIously hide their posItIons and leverage They are 

meant to openly and publicly report these positions and I reached out to them, as did many other Americans, to which their response was to collectively 

vote to t>lock all access to the records, It takes only a brief look at history to know why this Is prot>lematic. 2008 meltdown. The abuse by Wall Street to 

hide their posItIons and utilize credit default swaps, among many others, to drag bad bets into a literal national security risk should make It at>solutely 

mandatory that these entItIes report their positions. The fact that the CFTC unilaterally decided that the American people don't need to sec what Wall 

Street Is doing with their pension funds, 401ks, stock lending from borrowers, savings accounts and basically all money held In banks, retirement 

accounts and businesses average Americans invest in should show how imperative ,tis that the data is seen. This Is a national security nsk, It has been 

since 2008 when they doubled down on bad bets and never repaid the bailout they received. They have done it again and the data will show not only 

that all the mone" Is ~one but the have no idea how to fix the ~roblem the" have made 

other Reasons • Public Records 

13-00031-FOIA 1117/2022 (b)(6) On behalf of /bl/61 I am seeking the documents 

described in more detail below as they relate to the proceeding entitled: In the Matter of Soc,ete Genera le S.A. (CFTC Docket No. 18-14 ). That 

proceeding culminated In an Order lnst1tuting Proceedings Pursuant to Sections 6(c) and 6(d) of the Commodity Exchange Act, Making FInd1ngs, and 

Imposing Remedial Sanctions, dated June 4, 2018. I. Copies of all documents or any other reports prepared by the CFTC or any other agency 

emt>odying the statements made by our client /bl/61 to the CFTC. DOJ, and FBI on or about November 11, 2015, at the ofnces of the CFTC in 

Washington DC regarding the investigation of Sodete Generale. 2. Provide the names of the ind1v1duals from the Commodities Futures Trading 

CommIssIon ("'CFTC"), the Department of Justice ("DOJ") and the FBI that attended the IntervIcw of(b)(6) that took place on or about 

November 11, 2015, whether In person or by telephonic means, their titles, the names of those 1nd1v1duals that asked /b)/6) questions during 

the IntervIew, and whether any of the attendees are still employees of the CFTC, DOJ or FBI. 3. All documents and correspondence relating to the 

dIssemInatIon of information provided by /b)/6) or attorneys acting on his behalf to attorneys and InvestIgators working for the CFTC, the DOJ 

(1nclud1ng attorneys assigned to the United States Attorneys' Offices for the Southern and Eastern Districts of New York), the FBI, as well as to attorney 

or representatives acting on behalf of Societe Generale S A 4 Copies of all documents assessing the value of the Informat1on provided by (b)(6) 

b)(6) to the CFTC. 5. Copies of documents reflecting that information provided t,y (b)(6) was used to identify witnesses or confront 

witnesses, including then present and former employees of Soc1ete Genera le, with facts and events that had transpired during the period that was under 

InvestIgatIon. 6. Copies of the request for documents and 1nformat1on sent by the CFTC DIvisIon of Enforcement to SocIete Gencrale, prior to November 

11, 2015, together with SocIcte Gcneralc"s rcsponse(s) thereto. 7, A copy of any request made by SocIcte Generalc to the CFTC prior to November 11, 

2015, seeking a meeting to discuss what had up to then been uncovered ,n the CFTC's InvestIgation. 8. Copies of the documents relating to any 

meetings between representatives of Societe Generale and the CTFC prior to November 11, 2015, regarding Societe Generale's conduct relating to Its 

cs Dollar LIBOR subm1ss1ons. 9 Copies of the documents provided by Soc1ete Genera le prior to November 11, 2015, that reflected wrongdoing by 

Danielle S1ndzingre and Muriel Besconde, as well as Societe Generale, with respect to LIBOR subm1ss1ons rn During the course of the/b)/6) 

November II, 2015, interview as well as in other documents, /b)/6) 

bl/61 

h1/R1 Provide copies of any IntervIews of these 1nd1v1duals that took place prior to November 

11, 2015, If an obJect,on is asserted to this request, provide a list of 1nd1v1duals who were not 1nterv1ewcd prior to November 11, 2015. 11 Provide a 

Granted/Denied in Part 

23-00032-FOIA 11/22/2022 information related to the CTFC case and fine against FCStone LLC. CTFC Press Release Number 6594-13 found at 

httpsc//www.cftc.gov/PressRoom/PressReleases/6594-13 The loss event occurred in 2013 regarding natural gas uncovered call options. l would like 

other Reasons· Records not reasonably 

described 

23-00002-FPA 11/22/2022 all registration information for (b)(6) both the CFTC and NFA, all communication between the agencies, all arbitration and appeal information 

/h1/R1 

other Reasons - Records not reasonably 

23-00033-FOIA 11/10/2022 CommIssIoner Johnson's speech on 11/9 • https://www.cftc.gov/PressRoom/Events/opaeventJohnson110922 Chairman Behnam's transcript from 11/9 

Fireside Chat - https·//www cflc gov/PressRoom/Evenls/opaeventbehnam110922 Comm1ssIoner Goldsmith Romero's remarks from 11/9 -

httpsc//www.cftc.gov/PressRoom/Events/opaeventromerol 10922 Comm1ss1oner Pham's remarks from 11/9 -

https://www.cftc.gov/PressRoom/Events/opaeventphamJ 10922 Commissioner Mersinger's remarks from 11/9 -

other Reasons • Public Records 

23-00034-FOIA 11/14/2022 Under the provisions of the Freedom of ]nformat1on Act, I request a digital copy of each photo of President Trump in the communications/media/press 

office at CFTC.] limit this request to photos taken by the CFTC of President Trump v1s1ting CFTC, or interacting with CFTC leadership or staff members, 

or otherwise engaging with the agency, If photos arc searchable or accessible by keyword, I suggest using these keywords: TRUMP, PRESIDENT TRUMP, 

PRESIDENT DONALD TRUMP, and/or THE PRESIDENT. I l1m1t this request to photos taken during the years 2017 through January 2021. 

Other Reasons - No records 

23-00035-FOIA 11/14/2022 I am requesting any correspondence to/from your office, reports, inquiries, memos, 1nc1dents and/or any other put>licly ava1lat>le records with, at>out or Other Reasons - Records not reasonat>ly 

23-00036-FOIA 11/14/2022 Chairman Rost1n Behnam's meeting calendar from January 2022 to the most recent date available. Please indude in-person meetings, virtual meetings 

23-00037-FOIA 11/29/2022 ALI registration and filings from 1882 to present. All disciplinary proceedings and all communications t>etween NFA and CFTC 2nd request Other Reasons - Records not reasonat>ly 
23-00038-FOIA 11/16/2022 documents and/or records regarding the FOIA request by Kobre & Kim LLP to the Commodity Futures Trading Commission, dated August 21, 2019, 

IncludIng but not limited to, documents and/or records released and/or produced by the CFTC to Kobre & K,m LLP in the matter styled Kobre & K,m LLP 

, CFTC, 19-cv-10151 (SD NY) ("Kobre & KIm LLP v CFTC') (complaint filed Oct. 31, 2019) I. The "certain records" released by the CFTC to Kobre & 

k1m LLP "in response to its FO]A requests at issue ,n [Kobre & k1m LLP v. CFTC]. subject to various redactions and w1thhold1ngs pursuant to FOJA 

Exemptions 5, 7(A), and 7(E)." Stipulation and Order of Settlement and D1sm1ssal entered in kobre & Kim LLP v. (FTC on August 2, 2022 (Docket Entry 

63) ("Order"), whereas clause, p. 1. 2. Documents and/or records produced by the CFTC to Kobre & Kim LLP pursuant to the StIpulatIon and Order ,n 

Kobre & Kim LLP v. CFTC. Order, 111, at p, 2. If these documents and/or records have not yet been produced by the CFTC to Kobre & Kim, we 

respectfully request their production to us when the CFTC makes such production. 3. To any extent not included ,n Items 1 and 2 above, documents 

and/or records released and/or produced b" the CFTC to Kobre & Kim LLP relatInn to their Aunust 21, 2019 FOIA request and an" amendments thereto 

Granted ,n Full 

23-00039-FOIA 11/16/2022 Any calendar or scheduling records for CFTC Chairman Rostin Benham from January of this year until the present. - Any emails, texts or other 

communications during that time between Chairman Rostin Benham and FTX CEO Sam Bankman-Fried or former CFTX Commissioner Mark We!Jen 

13-00040-FOIA 11/16/2022 I would like any and all communications and schedules related to Alameda Research and the CFTC Other Reasons - Records not reasonably 

23-00041-FOIA 11/16/2022 I would like any and all communications and schedules related to any FTX employees and the CFTC Other Reasons - Records not reasonably 

23-00042-FOIA 11/16/2022 I would like any and all communications and schedules related to Sam Bankman-Fried and the CFTC Other Reasons - Records not reasonat>ly 

23-00043-FOIA 11/17/2022 Please provide the public calendars, meeting schedules and itineraries of each CFTC commIss,oner, IncludIng details on With whom they met and for how ,, , " "" 

23-00044-FOIA 11/17/2022 Any and all communications (memos, letters, emails, text messages, instant messages, complaints, etc.) sent by or to the Commodities Futures Trading 

Commission and/or ,ts personnel related to the Bahamas-based crytocurrency exchange company, FTX and/or its chief executive officer, Sam BankmanFried (also known as SBF), and/or related to FTX's U.S,-based affl1ates, including FTX US and Alameda Research, from Jan. 1, 2022 to the present date 

other Reasons - Records not reasonably 

described 

23-00045-FOIA 11/18/2022 We are requesting reports made by your agency since 1/1/2021 regarding Tether Holdings and it's aff1l1ates/subs1dianes TETHER LIMITED, TETHER Denied In Full 

13-00046-FOIA 11/18/2022 The last two years of the chairman's calendar. It would be sImIlar to this from the SEC: https://www.sec.gov/foia/docs/sec-chair-calendar. I don't see it 

13-00047-FOIA 11/18/2022 An electronic copy (e.g. pdfs on a CD-ROM or via email) of a complete 11st of the Commodity Futures Trading Comm1ss1on's (CFTC) Office of Tec~nology 

Innovation (OT!) staff members and titles as of the date on which this request is fulfilled. All calendars or calendar entries for RostIn Behnam, including 

any calendars maintained on his behalf (e.g., by an admInistratIve assistant), from June 30, 2022 through the date on which this request Is fulfilled. 

Revolving Door Project requests that the calendars be produced in a format that includes all InvItees, any notes, and all Attachments. Please do not limit 

your search to Outlook calendars We request the production of any document-paper or electronic, whether on government-issued or personal 

devices-used to track or coordinate how Behnam allocated his time on agency Business 

13-00003-FPA 11/30/2022 Any internat,onal trade information for any business held in a trust ,n my name other Reasons· Records not reasonably 

13-00059-FOIA 1211/2022 copy of all email communications between CFTC officials and FTX CEO Sam Bankman Fried, all FTX employees and ,ts affiliates (lawyers, lobbyists, etc.) 

between the dates of July 1, 2021 and November 30, 2022. Please provide these records in d1g1tal form (Date Range for Record Search: From 7/1/2021 

Other Reasons - Records not reasonably 

described 

23-00060-FOIA 1211/2022 All communication that discusses the cryptocurrency Ethereum's status as a security and/or commodity. Please include any cross-agency communication 

between the CFTC and SEC regarding this topic as well, IncludIng direct conversations between the two chairs Rost,n Behnam and Gary Gensler. 

other Reasons· Records not reasonably 

described 

23-00061-FOIA 12/5/2022 All responses, IncludIng the attachments, to the form at https·//forms.cftc.gov/Forms/LabCFTC starting from the first response until today Granted/Denied in Part 

23-00062-FOIA 12/6/2022 1. All current position descriptions for supervisor, and non-supervisory CT-14, CT-15 and CT-16 positions wIthIn the Office of the Division of 

AdmInIstration ("'DA") excluding positions in DA Security Operations, Information Technology, and AdmInIstratIve Proceedings; and 2. All current position 

descript,ons for supervisory and non-supervisory CT-14, CT-15, and CT-16 positions within the Office of the General Counsel ("OGC"'), and 3 

Identif,cat,on of all current CT-14, CT 15 or CT-16 positions wIth1n the DA excluding positions in DA Security Operations, lnformat,on Technology and 

Adm1nistrat1ve Proceedings, and the OGC that do not have current position descriptions, including position title and grade 

Granted ,n Full 

23-00063-FOIA 12/7/2022 A 11st of all current Commodity Futures Trading Commission appointees, including the following, • Career Senior Executive Service,• Non-Career Senior 

Executive Service, and• Schedule C appointees Specifically, please provide the first and last name, title, email address, direct-dial, and office for each 

Granted in Full 

23-00002-CONS 1218/2022 I'm looking to consult wit~ the CFTC on the attached Joint agency response letter to Congress. We received a FOIA request from MuckRock News for 

Congressional correspondence with Representative Ted Budd and wanted to check with the CFTC regarding releasing the attached letter before we 

Granted ,n Full 

23-00064-FOIA 12/12/2022 Any documentation that '"BITCOIN" the crypto currency has attempted to register with the "CFTC" as a commodity or any of it's representatives Other Reasons· Records not reasonably 

23-00065-FOIA 12/12/2022 All trans1t1on-related letters, plans and memos directed to the Commission's executive leaders~1p - for these purposes, Chairman Rostin Benham, 

CommIssIoner Dan Berkovitz, and/or the head of the Office of General Counsel during the covered period of time - from a member of the BIden 

administration transition team and/or the BIden campaign, however ultimately delivered to any such agency official, and received at any time from Nov. 

4, 2020 through February 1, 2021, Inclus1ve; and - All other electronic correspondence received by the Commission's executive leadership (see above) 

at any time from Nov. 4, 2020 through February 1, 2021, inclusive, from any email address originating from or IncludIng anywhere ,n ii any email 
--

-- -- -

12/12/2022 Calendars as defined herein kept for CFTC Chairman Rost,n Benham, by any party, for the period January 1, 2022 through December 12, 1nclus1ve; ace calendars as der.ned herein kept by or for CFTC Commissioner Christy Goldsmith Romero, by any party, for the period January 1, 2022 through 

23-00066-FOIA 

12/15/2022 Any and all records of email communIcatIons sent or received between August 1, 2021 and November 15, 2022 InvolvIng at least one of the following Denied In Full 

CFTC officials and at least one of the following 1nd1v1duals acting on behalf of the cryptocurrency exchange FTX. CFTC Officials, Chairman and Chief 

Executive Rostin Behnam, Chief of Staff David Gillers, Acting Executive Director Janeka Parera, General Counsel Rob Schwartz, Director of the Office of 

Public Affairs Steven Adamske, and/or Director of the Office of Leg1slat1vc lntcrgovemmental Affairs Ann Wright. FTX representatives: ElIora Katz, Brett 

Hamson, Christopher Giancarlo, Ryne Miller, and/or Mark WctJen (Date Range for Record Search: From 811/2021 To 11/15/2022) 

23-00067-FOIA 

12/15/2022 Date from 2016 • 2022 Any/all complaints, correspondence letters, emails, documents, call logs, meeting notes, etc. regarding any of the following other Reasons· Records not reasonably 

entities or persons: FTX Trading LTD, Alameda Research LLC, Alameda Research LTD {BVI), Samuel Bankman-Fned, Gary Wang, Andy Croghan, 

13-00068-FOIA 

described 

Constance Wang, Darren Wong and Caroline Ellison, BItcoIn Man1pulat1on Abatement LLC, IncludIng but not lImIted to Case No. 3: 19-cv-07245 Nov 2, 

All correspondence to and from the following congressiona I offices which include the term "crypto," "cryptocurrency," "digital currency," "t,1tcoin," or Granted in Full 

"FTX" dated between January 1, 2020 and the date this request Is processed: Sen. Cynth1s Lummis; Sen. Kirsten G1ll1brand; Sen. Ted Cruz; Sen. Patrick 

Toomey; Sen. Cory Booker; Sen. Ron Wydcn; Sen. Mike Crapo; Sen. Kyrsten s,nema; Rep. R1tch1e Torres; Rep. Ted Budd; Rep. Patrick McHenry; Rep 

Marie Newman; Rep. Tim Ryan; Rep. Ro Khanna; Rep. Josh GottheImer; Rep. Tom Emmer; Rep. Maxine Walters; Rep. Bobby Scott; Rep. Virginia Foxx 

23-00069-FOIA 12/15/2022

13-00004-FPA 12/15/2022 all val1dat1on that links me as the benef1c1ary and owner In a sole proprietorship[,,] I have accounts with the federal trade commIssIon, federal reserve Other Reasons - Records not reasonably

23-00070-FOIA 12/16/2022 1. The DIvIsIon of Enforcement Annual Report for financial years 2007 through 2021. 2. Any other annual reports produced from September 2007 Other Reasons - Public Records

Any emails, email attachments, calendar invitations, and outlook messages sent or received t,y CFTC employees that include an email address Other Reasons - Records not reasonat>ly 

containing one of the following domain names sent between the dates of January 01, 2020, and December 15, 2022. > Domain names: 

23-00071-FOIA 12/30/2022

described 

"@Mail. house .gov", "@G1ll1brand .senate ,gov", "@Lummis. senate ,gov", "@Thune .senate. gov", "@ Booker, senate.gov", "@Stabcnow.senatc.gov" oc 

communications [ ,] between Rostin Behnam and Senator Kirsten Gill1t>rand; Senator Cynthia Lummis; Senator Debbie Stabenow, Senator John Granted/Denied in Part 

Boozman, Senator Cory Booker; Senator John Thune; Congressman Tom Emmer, Congressman Warren Davidson, Congressman Byron Donalds; 

Congressman Ted Budd; Congressman Josh GottheImcr; Congressman Jake Auch1ncloss; Congressman R1tch1e Torres and Congressman Darren Soto 

23-00072-FOIA 12/16/2022

12/19/2022 1. Documents filed with the CFTC on behalf of FTX and all entIt1es listed ' Who was the direct contact for FTX and it's entities. a All correspondence other Reasons - Records not reasonably 

between assigned contact and FTX 3 Any/all documents correspondence by CFTC assigned contacts on record regarding the case stated ,n FOJA 

23-00073-FOIA 

described 

request. We will begin here and 1f you can please provide a more detailed 11st of who would have been assigned FTX as CFTX representative for 

a copy of the l1st1ng of Office of Inspector General InvcstIgatIons (not audits) closed during calendar years 2021 and 2022, to include fields such as the Granted ,n Full 

case number, the date the investIgatIon was closed, the title or subject of the investIgatIon, the category or type of InvestigatIon, etc. IF no such lIstIng 

exists or can be produced from the computer database, then I instead request a copy of the title page and/or cover page for each OIG investIgatIon 

13-00074-FOIA 12/20/2022

23-00075-FOIA 12/27/2022 Kindly send me any and all non-public records compiled ,n InvestIgatIons and consumer complaints against North American Derivatives Exchange, Inc. Granted/Denied in Part

Dear to whom It may concern, This is a request under the Freedom of Information Act. 5 U.S.C. § 552, et seq, I am requesting all information given in 

comments made by federal legislators (members of the United States House of Representatives or the United States Senate) on proposed rules issued 

by the CFTC or subs1d1ary agencies between 2003-2022. Spcc1/lcally, I request the following for each these comments: 1. The text 2. The date of when 

each comment was received 3. The document number, docket number and RIN of all proposed rules for each comment 4. Title 1nformat1on of the 

comment 5. Author(s) of the comment 6. Any other meta data available on the comment If the entire time frame Is not possible, I will accept all 

available data within the available time frame. If It Is too difficult to locate only legislator comments, I will accept the requested 1nformat1on on available 

comments on proposed rules within the specIfIed time information In this case l request any information that will facIl1tate 1dent1ficatIon of comments 

made by federal legislators, including any fields which 1nd1cate that the commenter Is a legislator or a member of government. lf all the requested 

information Is not availat>le, I will accept whatever information requested that Is available, As you know, FO]A requires agencies to release information 

unless it is spec1f1cally exempt from disclosure, and also requires agencies to release all reasonably segregable nonexempt portions of documents, i.e., 

to redact exempt portions of documents and release the rest. Sec 5 U.S.C, § 552(a)(8), In order to help to determine my status for the purposes of 

determining the appl1cab1l1ty of any fees, you should know that I am aff1l1ated with the UnIversIty of Rochester, and this request Is made for a scholarly 

purpose and not for a commercial use. I request a waiver of all fees for this request. Disclosure of the requested 1nformat1on to me Is ,n the public 

interest because It Is likely to contn bute sign 1ficantly to pu blIc understand, ng of the operations or activities of the government and is not primanly ,n my 

commercial interest Spec1f1cally, the requested data will be used In a research paper on the United States federal bureaucracy. The paper aims to 

expand researchers' and the publics' understanding of the pol1t1cs affecting rulemaking The paper will be available to the public after being published or 

be made ava1lat>le for free 1f I cannot find a proper peer reviewed journal that will publish the paper. J also include a telephone numt>er at which I can be 

contacted during the hours of 9am - 10pm. Call/bl/61 1f necessary, to discuss any aspect of my request. I can also be reached by email at 

Thank you for your prompt cons1derat1on of this request. Sincerely, Tony Molino University of Rochcster/bl/61 

23-00096-FOIA 1/18/2023

/bl/61 

'bl/61 

Other Reasons - Public Records 

23-00097-FOIA 1/18/2023 IAII Commodity Futures Trading Comm1ss1on ,_ orders authorizing an Investigat1on, or the issuance of subpoenas In the course of an 1nvest1gation, Granted In Full

-
23-00098-FOIA 1/19/2023 Our request concerns CFTC's InvestIgation of UBS FInancIal Services, Inc. and UBS Secunt,es, LLC (collectively, "'UBS"') which resulted In the CFTCs 

Order InstItutIng Proceedings Pucsuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and lmposIng Remedial Sanctions 

issued on or about September 27, 2022 ,n CFTC Docket No 22-42, capt,oned ln the Matter of UBS AG, UBS Financial Services, Inc, and UBS Securit,es 

LLC ("CFTC Order"), We respectfully request that CFTC conduct a search of the email accounts of the following custodians, limited to emails sent or 

received on or before September 27, 2022 • James Wheaton• Devin Cain• Jack Murphy• BenJamin ). Rankin• Jake Mermelstein• Trevor kokal • 

Candice Aloisi• Gabriella Geanulcas • Gates Hurand) • Alejandra de Urioste• R. Stephen Painter, Jr.• Lenci Hickson, Jr,• Mana IM. Sultan We request 

the following records: 1. All documents and/or communIcatIons pertaining to the invcstIgatIon that resulted ,n the CFTC Order. 

Denied In Full 

23-00099-FOIA 1/20/2023 Any consumer complaints filed with the CFTC since 1/1/2018 regarding Lear Capital, American Hartford Gold Group (aka Hartford Gold Group), Goldco 

(aka Goldco Direct), Augusta Precious Metals, Fisher Capital, Reagan Gold Group, Noble Gold, Gold Alliance, Gold Gate Capital, Swiss America, Goldl1nc 

International, Wilshire Capital Group, Genesis Gold Group or Capital Gold Group. Please include any attachments to such complaints as well. I 

understand that both the complaints and attachments may be redacted both under FOIA and the wh1stleblower provisions of the CEA. 

Granted/Denied in Part 

13-00119-FOIA 3/13/2023 I request disclosure of the following records: Closing memos, letters and/or final reports by the CFTCs DivIsIon of Enforcement 1nvolv1ng natural gas 

markets during the February 2021 winter storm known as Winter Storm Un. Emails, letters, memos and texts between off1c1als ,n the Commodity 

Futures Trading Comm,ss,on,the Federal Energy Regulatory Comm,ss,on's Office of Enforcement and the Department of Justice's Antitrust D1vIsIon 

starting Feb 9, 2021 through present that reference the following terms used In relation to the intrastate natural gas market ,n Texas during Winter 

Storm Un, Market power Market concentration Monopoly or oligopoly Excessive prices Price gouging Market man1pulat1on The search for responsive 

records should not be limited to these search terms. These terms are provided to assist the FOIA officers in their search for responsive records. Emails, 

letters, memos and texts between representatives of the Commodity Futures Trading CommIssIon and the North American Electric Rel1ab1l1ty Corp, 

mentioning or referencing excessive natural gas prices during Winter Storm Uri 

other Reasons • No records 

13-00120-FOIA 3/17/2023 We are requesting the most recent Form 1-FR·IB, FOCUS report, or l·FR·FCM for the below companies, or, per 17 CFR 1.10(g)(2), all such 

port1ons/1nformat1on from these reports available to the public. R.J. O'Brien & Associates RCM Alternatives RGC Commodities Rice Dairy LLC RJO Futures 

Roach Ag Marketing Sa,ma Group LLC Santander Clearing Member (Santander Bank NA7) Charles Schwab Corporation SJB Futures, LLC Spectrum 

Commodities Stage 5 Trading Starfuels, Inc StoneX F1nancIal lnc Straits Financial Striker Securities Inc. Sweet Futures Swift Trading Syntex Energy LLC 

TastyWorks TD Ameritrade Thales Trading Solutions LLC TJM Institutional Services LLC Top Third Ag Marketing Total Farm Marketing by StewartPeterson Trade Futures 4 Less Trade Pro Futures and FOREX TradeStat1on Trad1t1on (Compagnie F,nanciiere Trad1t1on) Tradovate TransAct Futures 

Transworld Futures Trcan Group LLC Trident Brokerage Services LLC Ulysses Commod1t1cs LLC United Futures Trading Walsh Trading Inc 

Wcdbush/cfuturcs Wisdom Trading Inc X-Change F1nanc1al Access LLC Yue x,u Futures Company Limited Zaner 

Granted ,n Full 

23-00121-FOIA 3/17/2023 We are requesting the most recent Form 1-FR-IB, FOCUS report, or 1-FR-FCM for the below companies, or, per 17 CFR 1 10(g)(2), all such 

port1ons/Informat1on from these reports available to the public. Roy E Abbott Futures, lnc Acuvest Brokers, LLC ADM Investor Services, Inc. Advance 

Trading Inc. Advantage Futures Ag Dairy AGN Futures Ag Opt1mus a1Source Allendale Inc. Altavest Worldwide Trading, Jnc. ALTAVRA Inc. Amerex 

Brokers LLC AMP Futures A Packard Trading (APT) ApexFutures Applegate Commodities, LLC ATC Brokers Atlas Commodities, LLC Atlas Commodities 

Markets, LLC Attcn Babier Commod1t1cs LLC Axiom Derivatives, LLC BBL Brokers LLC Beverley Hills Capital BGC Financial, L.P. MINT BGC Partners Inc. 

Blue Linc Futures, LLC Blue Ocean Brokerage LLC Bosworth Brokers LLC BrcItInger & Sons Broker Junction, Series L.L.C. BTR Trading Group Cannon 

Trading Company Capital Trading Group CattleHedgIng.com, LLC Cattlenom,cs, LLC CES Capital International (Hong Kong) Ltd. CHS Hedging, LLC CIH 

Trading, LLC Citron CommodItIes, LLC Cleartrade Commodities Click Futures Columbia Futures Group Commodity Risk Management Group (CRMG) 

CommStock Investments Compass Ag Solutions Conover Futures Group, LLC Coquest, Inc. Cornerstone Futures, LLC Crunch Risk, LLC Cunningham 

Commodities, LLC DairyV1sor Inc. Daiwa Capital Markets America Inc, Daniels Trading Daw Trading Decarley Trading Denali Futures, LLC Discount 

Trading Donnelly Partners, LLC Dorado Energy Services Dorman Trading LLC E'TRADE Securities LLC Eagle Energy Brokers, LLC Ed1pse International 

Inc. ED&F Man Capital Markets Inc. ("MCM") - now Marcx Capital Markets Edge Clear LLC EFL Futures L1m1ted cFloorTradc EHcdgcr, LLC ENGNSOL LLC 

EOX Holdings LLC EP DcnvatIvcs LLC eRoom SccuntIcs, LLC ETONG E-COMMERCE (SHANGHAI) CO., LTD Evolution Markets, Inc. Excel Futures, Inc. 

Foremost Trading, LLC Futu Securities International {Hong Kong) Limited Futures International LLC Futures Management Group, Inc G. H. Financials, 

LLC GA Global Markets, LLC GAIN Capital Group LLC Generic Trade GFF Brokers GFI Group Global Commodity Analytics & Consulting LLC Go Futures 

(Now IronBeam) Goldman Sachs Great Lakes Trading Company, Inc Halifax America LLC Hawkeye Commodity Brokers, Inc Heartland Management 

Investor Services, Inc Herbert J. Sims & Co., Inc. Heritage West F,nanc,al, Inc. High Ridge Futures LLC HSBC Securities (USA) Inc. JASG Inc. ,Broker 

ICAP Infinity Futures, LLC Ins1gn1a Futures & Options Interactive Brokers LLC Jront>eam Inc. JVG Energy (Apears to t>e part of Sage Energy Holdings) 

John Stewart and Associates, Inc. ()SA) )PR Commod1t1es of West Helena, Jnc. Kilo Futures LLC Klu1s Commodity Advisors Lakefront Futures & Options, 

LLC LCMCommod1t1cs, LLC Lido Isle Advisors, LLC Ughtspecd F1nanc1al Services Group LLC Link Futures, LLC Linn & Associates Lie Loewen and 

Associates, Inc. Macquarie Futures USA LLC Marcx Group Mark Carolan Mark IV Brokerage, LLC Mastel Grain MBF Clearing Corp. McNamara Options LLC 

Mizuho Securities USA LLC Nanhua USA LLC New Frontier Capital Markets, LLC Newgate Global Markets LLC NInjaTrader North Star Trading, LLC Nova 

Energy, Inc Optimus Futures LLC Paradigm Futures Paragon Global Markets, LLC Paragon Investments, Inc Park Avenue Asset Management Inc. PFL 

Futures L,m,ted Phillip Cap,tal Inc. Pinnacle Oerivat,ves Group P,t Base LLC Powerhouse President PRICE Futures Group, Inc Producers' Hedge, LLC Quam 

other Reasons - Duplicate Request 

23-00122-FOIA 3/17/2023 I would like to request either the original Complaint or the Settlement Agreement regarding CFTC Docket No. 15-Roos? The complaint Is being dismissed 

>o 

Granted/Denied in Part 

23-00123-FOIA 3/17/2023 The document we are looking for are the following:• https·//www worldcat org/fr/t,tle/11634153 • https·//www worldcat org/fr/tille/27138208 other Reasons - No records 
23-00124-FOIA 3/20/2023 The ProJect On Government Oversight (POGO) makes this request for records pursuant to the Freedom of Information Act ("'FOIA"), 5 U.S.C. § 552, and 

cs Department of Justice regulations. SpecIfIcally, POGO requests· The report prepared by CIGIE concerning the Inspector General of the Commodity 

Futures Trading Comm1ss1on (CFTC) that was transmitted to the chairman of the CFTC In the last year. 

other Reasons • Referrals 

23-00125-FOIA 3/22/2023 This is a formal request for access to the public records listed t>elow pursuant to the Freedom of Information Act Request ("FOIA'"), 5 U.S,C. § 552. lam 

writing this FOJA request to access information related to the Cboe (Erisx) platform for Ct>oe Digital Exchange as a Designated Contract Market ("DCM") 

and Cboc Clear D1g1tal as a Derivatives Clearing OrganIzatIon ("DCO"), Spcc1/lcally, I am looking for the appl1cat1ons for each, Cboc D1g1tal Exchange, 

LLC ("Cboe Digital Exchange") and Cboe Clear Digital, LLC ("'Cboe Clear D1g1tal'") (collectively, "'Cboe D1g1tal"), are both Cboe companies. We request the 

following: all documents, records, or other 1nformat1on related to the aforementioned topics, IncludIng but not lImIted to applIcatIons, supporting 

documents, correspondence, memos, reports, contracts, and/or any other documents or records related to the Cboe (Erisx) platform as a DCM and Cboe 

Clear Digital as a DCO. In add1tIon, we request that the documents be provided In their entirety, Without any redactions or omIssIons 

Other Reasons - Public Records 

23-00126-FOIA 3/22/2023 I request that you provide my office With copies of consumer complaints or other responsive information related to the following entities and 

organizations: 1st National Reserve Ltd., 120 Shakespeare, Beaumont, TX 77706; Universal Coin & Bullion, 7410 Phelan, Beaumont, TX 77706, Reserve 

First Partners Ltd., dt>a First F1del1ty Reserve, 130 Shakespeare, Beaumont, TX 77706; 1st American Coin Ltd. dba 1st American Reserve, 7310 Phelan, 

Beaumont, TX 77706; Nat1onw1dc Coin and Bullion Reserve, Houston, Texas; Texas Bullion Exchange, Beaumont, Texas; U.S. Money Reserve, Austin, 

Texas; United States Gold Bureau, Leander, Texas; Rosland Capita, Los Angeles, CA; Augusta Precious Metals, Casper, WY and Beverly Hills, CA 

Granted/Denied in Part 

23-00127-FOIA 3/22/2023 All email messages between CFTC staff and lawyers with law firm Sullivan & Cromwell over a CFTC information request regarding Know Your Customer 

polIc1es and procedures at FTX Trading from 7/1/2021 until 12/31/2021 (Date Range for Record Search From 7/1/2021 To 12/31/2021) 

Denied In Full 

23-00128-FOIA 3/22/2023 I request disclosure from the CFTC the following records: J Calendars, expenses, expense reports, receipts from government issued credit cards, and 

emails referencing expenses or a request for add1t1onal budget/funds from the following CFTC off1c1als: Chairman RostIn Bchnam and David G1llcrs -

from Jan. 20, 2021 through the present Commissioner Kristin Johnson and Bruce fckrat- - from March 30, 2022 through the present Commissioner 

Summer Mersinger and Christopher Lucas - from March 30, 2022 through the present CommIssIoner Christy Goldsmith-Romero and Joseph CIsewskI -

from March 30, 2022 through the present Commissioner Caroline Pham and Meghan Tente - April 14, 2022 to date of this search 

23-00129-FOIA 3/23/2023 Any report to the CFTC Chairman conducted by the Coundl of the Inspector General on Integrity and Efficiency ("ClGlE"} from 2020 to current on the Other Reasons - Referrals 

23-00010-FPA 3/24/2023 When and where, will I pick up and and poses any and all of my personal, r.nancIal, medical, as well as government files and d documents bonds trades other Reasons - Records not reasonably 

23-00130-FOIA 3/27/2023 From December 1, 2022, through March 13, 2023, records of communIcatIons between the listed Silicon Valley Bank employees and the listed CFTC other Reasons - No records 

23-00131-FOIA 3/27/2023 communications and meetings conducted between Senator Elizabeth Warren and her staff (domain• @Warrensenate.gov) and the CFTC officials .,. .. other Reasons - No records 

23-00132-FOIA 3/28/2023 This Is a FOIA request, where I am requesting clearly releasable info only: 1. The first page {1.e., Face Page) of the current contract award, and first 15 

pages of the Performance Work Statement or Statement of Work for the exIstIng contract # 9523ZY22C0003 

https c//www.fpds.gov/ezsearch/fpdsportaP1ndex Name =awa rdfull&lemplateName = 1 5.3&s= FPDS.GOV&q =9523ZY22C0003&x = O&y =O 2. for the 

existing contract, who Is currently assigned as, PM/TM/POC (govt program manager, technical manager or govt owner of the requirement), COR 

(Contracting Organization Representative), CO/kO (contract officer}, and CS (contract specialist, if applicable) Fee Approval We approve fees up to $25, 

as we arc only requesting historical PWS and contacts, so this request Is likely less than 15 pages of clearly releasable info. Contact: Ron Hartke Email 

address: fo1arequcst@l1onacnterpnses, com 

Granted/Denied in Part 

23-00003-AP 3/23/2023 This IS a request to appeal the CFTC's February 22, 2023, response, which was unresponsive to my FOIA request. l did not ask for an OPM overview of 

classifying white collar posItIons nor a list of OPM's position classification standards. As staled In my FOIA request, I seek the specific class1fIcations 

standards that the agency has used to classify CT 14 and 15 positions in OGC/LD and DA/OED since 2015. 

Completely Affirmed 

23-00144-FOIA 4/28/2023 I am requesting information or records regarding the following items, over the two year period, July 1st, 2020 through June 30th, 2022 [, ] I am 

requesting all communications between the CFTC and any of (1) LMX, (2) FairX, or (3) FairXchangc, LCC (successor to Fa1rXchange, Inc.; hereafter 

included In the dcf1nit1on of"FairX") or any personnel at these companies about any of topics listed below, and any documents responsive to the 

following topics. TOPICS: • Any documents and communications about LMX or FaIrX applying to be a Designated Contract Market (DCM); • Any 

documents and communications about any product launches by LMX or FairX; • Any communIcatIons with LMX or FairX related to applying to be a 

Derivatives Clearing Organization (s) (DCO), or any documents concerning any such appl1cat1ons submitted by LMX or FairX; and• Any documents of 

information that compare the technology of LMX to the technology of any other exchange(s). 

23-00145-FOIA 4/18/2023 If possible, l would like to please receive electronic copies of the following FOIA records listed on the CFTC website: - 19-00088· Victoria Un1versIty

.. " 

Granted In Full 
23-00146-FOIA 4121/2023 A list of all current Commodity Futures Trading Commission appointees, 1nclud1ng the following: • Schedule C appointees Specifically, please provide the 

r.rst and last name, title, email address, direct-dial, and office for each person. Please provide this in a machine readable format such as excel. 

other Reasons • Public Records 

13-00147-FOIA 4121/2023 Under the Freedom of Information Act, 5 U.S.C. subsection 552, I am requesting records relating to meetings or correspondence between FTX 

employees and the CFTC IncludIng meeting notes, emails, letters, memos, briefings, or other forms of d1g1tal communications. This should include 

records on any correspondence or meetings with Sam Bankman-Fried, Mark WetJen (In his role with FTX), Pyne Miller, Ryan Salame and Ramn1k Arora 

from the period between January 1, 2019 - December 31, 2022 (Date Range for Record Search: From 1/1/2019 To 12/31/2022) 

other Reasons· Records not reasonably 

described 

23-00148-FOIA 4/24/2023 all congressional letters sent or received by the agency between January 1, 2022 and April 20, 2023. (Date Range for Record Search: From 1/1/2022 To 

23-00149-FOIA 4/25/2023 From December 1, 2022, through March 27, 2023, records of communIcatIons between the 11st of First CIt,zens Bank employees and the list of CFTC 

officials: [FTC Officials: J_ Chairman Rostin Behnam 11. Chief of Staff David Gillers Ill, Deputy Chief of Staff Laura Gardy IV. Chief Counsel John Dunfee 

V. Fin Tech Policy and Technology Advisor Jason Somensatto Vl. Commissioner Kristin N. Johnson VJ!. Chief Counsel Bruce Fekrat Vil!. Commissioner 

Christy Goldsmith Romero IX. Chief of staff and Senior Counsel Joseph R. CIsewskI X. CommIssIoner Summer K. Mersinger XI. Chief of Staff and Counsel 

Chris Lucas Xll. CommIssIoner Caroline D. Pham Xlll. Chief of Staff Meghan Tente XIV. Chief Counsel Gates s. Hu rand First CItIzens Bank employees: a)I 

Frank B. Holding, Jr. Chairman and CEO b) Hope Holding Bryant, Vice Chairwoman c) Peter M. Bristow, President d) Craig L. NI~, Chief F1nanc1al Officer 

e) Lorie K. Rupp, Chief Risk Officer I) Jeffery L. Ward, Chief Strategy Officer