Page 27 - 期货和衍生品行业监管动态（2026年2月）

期货和衍生品行业监管动态

广材料，违反了《NFA 合规规则》第 2-29 条的推广材料要求以及《NFA 合规规

则》第 2-4 条的公正公平交易原则。

NFA Orders Michigan Firm Spartan Asset Group LLC to Withdraw from and

Not Reapply for NFA Membership (2026/2/11)

NFA has ordered Spartan Asset Group LLC (Spartan), an NFA Member

commodity trading advisor located in Michigan, to withdraw from and not reapply for

NFA membership.

The Decision, issued by an NFA Hearing Panel, is based on a Complaint issued

by NFA’s Business Conduct Committee (BCC) and a settlement offer submitted by

Spartan, in which the firm neither admitted nor denied the allegations. In the

Complaint, the BCC alleged that Spartan used promotional material that the firm

knew or should have known was deficient, in violation of the promotional material

requirements under NFA Compliance Rule 2-29 and the just and equitable principles

of trade requirement under NFA Compliance Rule 2-4.

https://www.nfa.futures.org/newsnotices/newsArticle.aspx?Year=2026&ArticleID=57

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8. 美国商品期货交易委员会在联邦巡回法院文件中重申对预测市场的专属管

辖权（2026 年 2 月 17 日）

美国商品期货交易委员会（CFTC）向美国第九巡回上诉法院提交了一份法

庭之友意见书（amicus brief），确认其对美国商品衍生品市场（包括通常称为预

测市场的事件合约市场）拥有专属管辖权。该意见书是在 North American

Derivatives Exchange, Inc.等诉内华达州（由内华达州博彩管理委员会代表）一案

中提交的。

CFTC 主席 Michael S. Selig 表示：“在 CFTC 注册的交易所面临着大量诉讼，

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