Page 695 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态
Registration (2022/12/6)
The Commodity Futures Trading Commission today announced it has issued an
Order of Reinstatement of Registration to TeraExchange, LLC (Tera) as a swap
execution facility (SEF). Tera, a Delaware corporation and wholly owned subsidiary
of Tera Group, Inc., is headquartered in Wall Township, New Jersey.
The CFTC issued the order under Section 5h of the Commodity Exchange Act
(CEA) and CFTC Regulations 37.3(b) and 37.3(d). After review of Tera’s
reinstatement application and associated exhibits, the CFTC determined Tera
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 Tera
comply with all provisions of the CEA and the CFTC’s regulations applicable to SEFs.
With the addition of Tera, there will be 21 SEFs registered with the CFTC.
https://www.cftc.gov/PressRoom/PressReleases/8636-22
7. 美国商品期货交易委员会命令明尼苏达州注册商为在大豆系列期货中的跨品
种、跨日期以及单一品种幌骗行为支付 550,000 美元（2022 年 12 月 12 日）
美国商品期货交易委员会（CFTC）发布行政令，对总部位于明尼苏达州的
CFTC 注册商品基金管理人及商品交易顾问 Walleye Capital LLC（简称 Walleye）
提出指控并同时达成和解。行政令指控 Walleye 的一名前交易员在芝加哥期货交
易所（CBOT，一家由芝加哥交易所集团所有和运营的期货交易所和指定合约市
场）的大豆期货、豆粕期货和豆油期货进行幌骗交易。
行政令查明 Walleye 对其前交易员的行为负有转承责任（vicarious liability），
并要求该公司支付 550,000 美元的民事罚款。
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