Page 74 - 《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
mitigate conflicts of interest at SBSEFs and national securities exchanges that trade
security-based swaps; and promote consistency between proposed Regulation SE and
existing rules under the Exchange Act.
In developing this proposal, the Commission sought to harmonize as closely as
practicable with parallel rules of the Commodity Futures Trading Commission (CFTC)
that govern swap execution facilities (SEFs) and swap execution generally. The
Commission seeks to obtain regulatory benefits comparable to those under the CFTC
regime while minimizing costs imposed on SBSEFs and their members.
The Commission previously proposed rules regarding SBSEFs in three separate
releases between 2010 and 2013. Given the length of time that has passed since they
were issued and the significant market changes that have taken place in the interim,
the Commission is withdrawing all previously proposed rules, rule amendments, and
interpretations regarding SBSEFs.
https://www.sec.gov/news/press-release/2022-59
2. 位于佛罗里达州的两家公司及其所有者欺诈性外汇和数字资产计划一案达成
180 万美元的中期庭审和解 （2022 年 4 月 7 日）
美国商品期货交易委员会（CFTC）公告，美国佛罗里达州中区地方法院对
佛罗里达州公民 Alan Friedland 及其拥有的位于佛罗里达州的公司 Fintech
Investment Group, Inc. (Fintech) 和 Compcoin LLC 处以永久性禁令、罚款和其他
补偿措施，因为其欺诈性的诱骗客户购买数字资产，虚假承诺客户能够通过该资
产获得专有的外汇（Forex）交易算法。
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