Page 601 - 《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

供任何成交方式。

关于 CFTC 联邦法规第 37.3(a)(2)

条对 MAT/Futures 一揽子交易的不行

动立场。根据该不行动立场，SEF 可

以不为互换交易部分提供最低交易功

能的订单薄。

CFTC Staff Extends No-Action Position for Certain Types of Package

Transactions from the Trade Execution Requirement for Swaps (2022/11/9)

The Commodity Futures Trading Commission’s Division of Market Oversight

(DMO) today extended its no-action position for swaps executed as part of a package

transaction in the categories described below. This extension will enable DMO to

continue to assess the appropriate response for applying the trade execution
requirement to swaps in certain types of package transactions. This no-action position

will expire at 11:59 pm (ET) on the earlier of: (i) November 15, 2025, or (ii) the

applicable effective date or compliance date of a CFTC action, including without

limitation a rulemaking or order, that provides a permanent solution.

The summary of the no-action position provided, as explained below, is for

reference only.

Package Transaction Category No-Action Positions

MAT/Futures: At least one No-action position regarding

individual swap component is subject to Commodity Exchange Act (CEA) Section

the trade execution requirement and all 2(h)(8) for MAT/Futures Package

other components are contracts for the Transactions. Under this no-action

purchase or sale of a commodity for position, the swap components subject to

518
回 到 首 页 回 到 目 录