Page 43 - 期货和衍生品行业监管动态（2023年7月刊）

期货和衍生品行业监管动态

account, revise certain daily and event-specific reporting requirements in § 39.19(c),

and codify in an appendix the fields that a DCO is required to provide on a daily basis

under § 39.19(c)(1). In addition, the Commission is adopting amendments to certain
delegation provisions in § 140.94.

The final rule is effective 30 days after publication in the Federal Register. DCOs

must comply with the amendments to § 39.19 and appendix C 18 months after

publication in the Federal Register. DCOs must comply with the amendments to all

other rules 30 days after publication in the Federal Register.

Proposed Rule: Swap Confirmation Requirements for Swap Execution Facilities

The Commission unanimously approved a rule proposal to amend its swap

execution facility (SEF) regulations related to uncleared swap confirmations, as well as

associated conforming and technical changes.

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

Register.

Proposed Rule: Amendments to Provisions Common to Registered Entities

The Commission approved the proposed rule to amend Part 40 of the

Commission’s regulations. The regulations in Part 40 implement Section 5c(c) of the

Commodity Exchange Act and govern how registered entities submit self-certifications,

and requests for approval, of their rules, rule amendments, and new products for trading

and clearing, as well as the Commission’s review and processing of such submissions.

The proposed amendments are intended to clarify, simplify and enhance the utility of

the Part 40 regulations for market participants and the Commission.

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

Register.

Proposed Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and

Major Swap Participants

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