Page 206 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

Rules amended the definition of “block trade” to allow block trades for ITBC swap
blocks to be executed on a SEF’s non-order book trading systems or platforms

codifying the Block Trade Relief. In addition, the amended definition of “block trade”

would also allow non-ITBC swap block trades to be executed on a SEF’s non-order

book trading systems or platforms. The Part 43 Real-time Public Reporting Rules’

amendments to the “block trade” definition were effective on January 25, 2021, with a

compliance date of May 25, 2022.

Beginning May 25, SEFs are required to comply with the amended definition of

“block trade” under CFTC Regulation 43.2 in order to facilitate the execution of swap

block trades through the SEF’s non-order book trading systems or platforms.

SEFs may make non-substantive revisions, such as removing references to CFTC

Staff Letter No. 20-35, to rules and/or procedures that facilitate the execution of ITBC
swap block trades using non-order book trading systems or platforms through CFTC

Regulation 40.6(d). New rules and/or procedures, such as rules and/or procedures that
facilitate the execution of non-ITBC swap block trades using a SEF’s non-order book

trading systems or platforms, must be self-certified under CFTC Regulation 40.6(a) or

submitted for CFTC approval under CFTC Regulation 40.5.

To avoid doubt, a SEF’s compliance with the amended definition of “block trade”

under CFTC Regulation 43.2 does not impact that SEF’s ability to otherwise avail

themselves of the reporting relief provided in CFTC Staff Letter No. 22-03.

https://www.cftc.gov/PressRoom/PressReleases/8533-22

2. CFTC 工作人员更新了关于向根据豁免令或不行动函运营的衍生品清算机构

提交互换清算的实体的临时不行动函 （2022 年 5 月 25 日）

CFTC 数据部门宣布，将更新向根据 CFTC 豁免令或 CFTC 工作人员不行动

函运营的衍生品清算组织（豁免 DCOs）提交互换清算的实体的临时不行动函。

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