Page 379 - 《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

反馈的规则制定。该函在 2025 年 8 月 12 日或任何相关制定规则的生效日期（以

较早者为准）前将一直有效。

CFTC Staff Extends Temporary No-Action Letter Regarding Certain Position

Aggregation Requirements (2022/8/10)

The Commodity Futures Trading Commission’s Division of Market Oversight

(DMO) today announced it has issued a no-action letter temporarily extending CFTC

Staff Letter No. 19-19, regarding certain position aggregation requirements, which

expires August 12. CFTC Staff Letter No. 22-09, issued today, provides that DMO

will not make an enforcement referral to the Commission with respect to CFTC

Regulation 150.4, subject to certain conditions, including compliance with:

 Streamlined notice filing requirements;

 Revised definitional conditions, for purposes of complying with the
aggregation requirements, for eligible entities, independent account controllers,

and commodity trading advisors; and

 Limited aggregation requirements for the “substantially identical trading

strategies” rule.

The no-action letter also gives DMO time to assess the impact of the final rule

“Position Limits for Derivatives,” 86 FR 3236 (Jan. 14, 2021), on the aggregation

requirements in CFTC Regulation 150.4 and consider the need for regulatory action,

including a notice and comment rulemaking. The letter will remain in effect until the

earlier of either August 12, 2025 or the effective date of any rulemaking.

https://www.cftc.gov/PressRoom/PressReleases/8570-22

9. 美国商品期货交易委员会发布关于修改互换清算要求的最终规则，以支持从

伦敦银行间同业拆借利率和其他银行间同业拆借利率向替代参考利率过渡

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