Page 21 - 期货和衍生品行业监管动态（2023年6月刊）

期货和衍生品行业监管动态

Register.

Proposed Rule: Amendments to Part 17 Large Trader Reporting
Requirements

The Commission unanimously approved the proposed rule to revise the CFTC’s

regulations for large trader position reporting for futures and options. These regulations

require futures commission merchants, clearing members, foreign brokers, and certain

reporting markets (reporting firms) to report to the Commission position information

for the largest futures and options traders.

This proposed rule has a 60-day comment period after publication in the Federal

Register.

Notice of Proposed Determination and Order/Request for Comment: Capital

Comparability Determination in connection with an Application Submitted on

behalf of Nonbank Swap Dealers Domiciled in the French Republic and Federal

Republic of Germany and Subject to Capital and Financial Reporting
Requirements of the European Union

The Commission unanimously approved the proposed comparability

determination to solicit public comment on an application submitted by the Institute of

International Bankers, International Swaps and Derivatives Association, and Securities

Industry and Financial Markets Association requesting that the Commission determine

that the capital and financial reporting laws and regulations of the European Union

applicable to CFTC-registered swap dealers organized and domiciled in the French

Republic and Federal Republic of Germany provide sufficient bases for an affirmative

finding of comparability with respect to the Commission’s swap dealer capital and

financial reporting requirements adopted under the Commodity Exchange Act. The

Commission is also soliciting public comment on a proposed order providing for the

conditional availability of substituted compliance in connection with the application.

This proposed comparability determination and order have a 60-day comment
period after publication in the Federal Register.

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