Page 21 - 期货和衍生品行业监管动态（2023年11月刊）

期货和衍生品行业监管动态

NFA has ordered Oscar Gruss & Son Inc. (Oscar Gruss & Son) to pay a $140,000

fine. Oscar Gruss & Son is an introducing broker (IB) Member of NFA located in New

York, N.Y.

The Decision, issued by NFA's Business Conduct Committee (BCC), is based on

a Complaint issued by the BCC and a settlement offer submitted by Oscar Gruss & Son,

in which the firm neither admitted nor denied the allegations in the Complaint. The

Complaint charged Oscar Gruss & Son with failing to comply with its communication

recordkeeping obligations, in violation of NFA Compliance Rule 2-10(a), and allowing

unregistered individuals to act as associated persons (AP) without being registered as

APs and NFA Associates, in violation of NFA Bylaw 301(b). The Complaint further

charged Oscar Gruss & Son with a failure to supervise, in violation of NFA Compliance

Rule 2-9(a).

In its Decision, the BCC found that Oscar Gruss & Son violated NFA Compliance

Rules 2-9(a) and 2-10(a), and NFA Bylaw 301(b).

https://www.nfa.futures.org/news/newsRel.asp?ArticleID=5587

4. 美国证监会通过关于证券互换交易设施的注册与监管新规（2023 年 11 月 2

日）

美国证监会（SEC）根据 1934 年《证券交易法》通过了新的 SE 条例（Regulation

SE），建立了证券互换交易设施（SBSEF）的注册和监管制度。此次新监管框架

是基于《多德-弗兰克华尔街改革和消费者保护法》（Dodd-Frank Wall Street Reform

and Consumer Protection Act）第七章对场外衍生品市场的要求。

SEC 主席 Gary Gensler 表示：SE 条例的通过表明 SEC 履行了国会的授权，
“
提高了证券互换市场的透明度和诚信。在 2021 年讨论这些问题时，我们听到许

多市场参与者建议我们以美国商品期货交易委员会（CFTC）的互换交易设施规

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