Page 14 - 期貨和衍生品行業監管動態（2024年5月）
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期貨和衍生品行業監管動態
美國商品期貨交易委員會（CFTC）發布了一項規則草案的制定通知，進一
步明確了屬于《美國商品交易法》（CEA）第 5c(c)(5)(C)條范圍內并且違反了公
共利益的事件合約類型。CFTC 最近注意到，在 CFTC 注冊交易所上市交易的事
件合約的數量和種類有所增加。此外，CFTC 最近還收到了一些實體的交易所注
冊申請和注冊意向，均表示其興趣上市交易事件合約。
鑒于這些發展，CFTC 建議修改 CFTC 聯邦法規 40.11，進一步明確屬于 CEA
第 5c(c)(5)(C)條范圍內并違反公共利益的事件合約類型。該草案包括確定涉及
CEA 第 5c(c)(5)(C)條中列舉的活動（賭博、戰爭、恐怖主義、暗殺以及違反任何
聯邦或州法律的活動）的事件合約違反公共利益，因此不得在 CFTC 注冊實體上
市交易或接受清算。
此外，該草案詳細定義了“賭博”，并列舉了一些例子，包括以有價值的東
西在政治競選、有獎競賽、一個或多個運動員參加的比賽中或就與此類比賽或游
戲相關的事件發生或不發生作為賭注。因此，根據該草案，涉及這些示例的事件
合約將不得被上市交易或接受清算。
CFTC Issues Proposal on Event Contracts (2024/5/10)
Proposal Also Defines Event Contracts Involving Political Contests as Gaming
The Commodity Futures Trading Commission today issued a Notice of Proposed
Rulemaking to further specify types of event contracts that fall within the scope of
Commodity Exchange Act (CEA) section 5c(c)(5)(C) and are contrary to the public
interest. The Commission has recently observed an increase in the number and variety
of event contracts listed for trading by CFTC-registered exchanges. In addition, the
Commission has recently received applications for exchange registration, and
expressions of interest regarding registration, from entities indicating that they are
interested in listing event contracts for trading.
In light of these developments, the Commission proposes to amend CFTC
regulation 40.11 to further specify types of event contracts that fall within the scope of
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