Page 23 - 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

buyers and sellers with transparent, pre-trade pricing. That lowers risk in the

marketplace and protects investors.”

Today’s adoption addresses the Exchange Act’s trade execution requirement for

security-based swaps and the cross-border application of that requirement, implements

Section 765 of the Dodd-Frank Act to mitigate conflicts of interest at SBSEFs and

national securities exchanges that trade security-based swaps, and promotes

consistency between Regulation SE and existing rules under the Exchange Act.

In adopting Regulation SE, the Commission has sought to harmonize as closely as

practicable with parallel rules of the CFTC that govern swap execution facilities (SEFs)

and swap execution generally.

The adopted rules will become effective 60 days following the date of publication

in the Federal Register. Any entity that meets the definition of SBSEF may file an

application to register with the Commission on Form SBSEF at any time after the
effective date, and would need to do so within 180 days of the effective date and have

its application on Form SBSEF be complete within 240 days of the effective date in

order to continue to operate as an SBSEF while its application is pending.

https://www.sec.gov/news/press-release/2023-230

5. 美国商品期货交易委员会指控伊利诺伊州一男子及其公司运营欺诈性零售

外汇商品基金（2023 年 11 月 3 日）

美国商品期货交易委员会（CFTC）宣布，其已向美国伊利诺伊州北部联邦

地区法院起诉来自伊利诺伊州的 Coby Young 及其公司 Young Emerging Strategies

LLC。诉状指控被告作为商品基金管理人（CPO），违反了注册、信息披露和记录

保存义务并混合了基金财产，在杠杆、保证金或融资零售外汇交易（零售外汇）

方面存在欺诈行为。

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