Page 22 - 期货和衍生品行业监管动态（2022年12月）

期货和衍生品行业监管动态

注册令中的条款和条件要求 SpectrAxe 必须遵守《美国商品交易法》和 CFTC

联邦法规中关于互换执行设施的所有规定。随着 SpectrAxe 的加入，将有 20 家

互换执行设施在 CFTC 完成注册。

CFTC Grants SpectrAxe LLC Registration as a Swap Execution

Facility (2022/12/5)

The Commodity Futures Trading Commission today announced it has issued

an Order of Registration to SpectrAxe LLC (SpectrAxe) granting it registration as a

swap execution facility (SEF). SpectrAxe is a Delaware limited liability company

headquartered in New York, N.Y. and an affiliate of Spectra FX Solutions LLC, an

introducing broker.

The CFTC issued the order under Section 5h of the Commodity Exchange Act
(CEA) and CFTC Regulation 37.3(b). The CFTC determined SpectrAxe demonstrated

its ability to comply with the CEA provisions and CFTC regulations applicable to
SEFs.

The terms and conditions of the order require, among other things, that

SpectrAxe comply with all provisions of the CEA and the CFTC’s regulations

applicable to SEFs. With the addition of SpectrAxe, there will be 20 SEFs registered

with the CFTC.

https://www.cftc.gov/PressRoom/PressReleases/8635-22

6. 美国商品期货交易委员会批准 TeraExchange, LLC 恢复其互换执行设施注册

资格（2022 年 12 月 6 日）

美国商品期货交易委员会（CFTC）宣布，已向 TeraExchange, LLC（Tera）

签发了恢复其互换执行设施（SEF）注册资格的行政令。Tera 是一家特拉华州公

司，总部位于新泽西州的华尔镇，是 Tera Group, Inc.的全资子公司。

6