Page 28 - 期貨和衍生品行業監管動態（2024年9月刊）
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期貨和衍生品行業監管動態
https://www.cftc.gov/PressRoom/PressReleases/8961-24
8. 美國商品期貨交易委員會工作人員發布關于全額擔保二元期權的報告和記
錄保存要求的不行動函（2024 年 9 月 4 日）
美國商品期貨交易委員會（CFTC）宣布，其市場監管部和清算與風險管理
部已就互換數據報告和記錄保存規定采取不采取行動立場，以回應指定合約市場
和衍生品清算機構 LedgerX LLC（以 MIAX Derivatives Exchange LLC 的名義經
營，簡稱 MIAXdx）的請求。
上述部門不會因某些與互換相關的記錄保存要求，以及未能向互換交易數據
報告庫報告根據 MIAXdx 規則執行成交的全額擔保二元期權交易數據而建議
CFTC 對 MIAXdx 或其參與者采取執法行動。
這一不行動函與對其他相同情形的指定合約市場和衍生品清算機構發布的
不行動函類似。
CFTC Staff Issues No-Action Letter Related to Reporting and Recordkeeping
Requirements for Fully Collateralized Binary Options (2024/9/4)
The Commodity Futures Trading Commission today announced the Division of
Market Oversight and the Division of Clearing and Risk have taken a no-action
position regarding swap data reporting and recordkeeping regulations in response to a
request from LedgerX LLC d/b/a MIAX Derivatives Exchange LLC (MIAXdx), a
designated contract market and derivatives clearing organization.
The Divisions will not recommend the CFTC initiate an enforcement action
against MIAXdx or its participants for certain swap-related recordkeeping
requirements and for failure to report data associated with fully collateralized binary
option transactions executed on or subject to the rules of MIAXdx to swap data
repositories.
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