Page 30 - 期货和衍生品行业监管动态（2023年4月）
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期货和衍生品行业监管动态
美国商品期货交易委员会（CFTC）今日宣布已向 RTX Fintech & Research
LLC（RTX SEF）签发注册行政令，同意其注册为互换交易设施（SEF）。RTX
SEF 是一家在特拉华州注册的、总部位于纽约的一人有限责任公司。
CFTC 根据《美国商品交易法》（CEA）第 5h 节、CFTC 联邦法规第 37.3(b)
条规定签发行政令。CFTC 决定，RTX SEF 已证明其能力符合 CEA 和 CFTC 联
邦法规中适用于互换交易设施的规定。行政令的条款和适用条件要求 RTX SEF
应遵守 CEA 和 CFTC 联邦法规中所有适用于互换交易设施的规则。
随着 RTX SEF 的加入，将有 24 家互换交易设施 在 CFTC 注册。
CFTC Grants RTX Fintech & Research LLC Registration as a Swap Execution
Facility (2023/4/21)
The Commodity Futures Trading Commission today announced it has issued
an Order of Registration to RTX Fintech & Research LLC (RTX SEF) granting it
registration as a swap execution facility (SEF). RTX SEF is a single-member limited
liability company registered in Delaware and headquartered in New York City.
The CFTC issued the order under Section 5h of the Commodity Exchange Act
(CEA) and CFTC Regulation 37.3(b). The CFTC determined RTX SEF 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 RTX SEF
comply with all provisions of the CEA and the CFTC’s regulations applicable to SEFs.
With the addition of RTX SEF, there will be 24 SEFs registered with the CFTC.
https://www.cftc.gov/PressRoom/PressReleases/8692-23
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