Page 16 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2025年10月）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
The divisions will not recommend the CFTC initiate an enforcement action
against either entity or their participants for failure to comply with certain
swap-related recordkeeping requirements and for failure to report to swap data
repositories data associated with binary option transactions executed on or subject to
the rules of Electron Exchange DCM LLC and cleared through Electron Exchange
DCO LLC, subject to the terms of the no-action letter.
The no-action letter applies only in narrow circumstances and is comparable to
no-action letters issued for other similarly situated designated contract markets and
derivatives clearing organizations.
https://www.cftc.gov/PressRoom/PressReleases/9135-25
2. 美國(guó)商品期貨交易委員會(huì)工作人員發(fā)布關(guān)于特定合約市場(chǎng)的征求意見文件
（2025 年 9 月 30 日）
美國(guó)商品期貨交易委員會(huì)（CFTC）工作人員向期貨傭金商、介紹經(jīng)紀(jì)商、
指定合約市場(chǎng)、衍生品清算機(jī)構(gòu)及注冊(cè)期貨業(yè)協(xié)會(huì)發(fā)布征求意見文件，就特定合
約市場(chǎng)在政府撥款中斷期間應(yīng)對(duì)潛在市場(chǎng)中斷情況的準(zhǔn)備工作提供指引。
該征求意見文件由市場(chǎng)參與者部、清算與風(fēng)險(xiǎn)部及市場(chǎng)監(jiān)管部聯(lián)合發(fā)布，提
醒相關(guān)機(jī)構(gòu)需要為客戶、其他市場(chǎng)參與者及清算會(huì)員在特定合約市場(chǎng)的交易和清
算業(yè)務(wù)中可能出現(xiàn)的所有可預(yù)見情況做好應(yīng)對(duì)準(zhǔn)備。本征求意見文件旨在提醒各
方注意現(xiàn)行監(jiān)管要求，并未創(chuàng)設(shè)新的義務(wù)。
CFTC Staff Issues Advisory on Certain Contract Markets (2025/9/30)
The Commodity Futures Trading Commission staff today issued an advisory to
futures commission merchants, introducing brokers, designated contract markets,
derivatives clearing organizations, and registered futures associations about certain
contract markets regarding preparations with respect to potential market disruption
2
