Page 29 - 期貨和衍生品行業監管動態（2024年9月刊）
P. 29
期貨和衍生品行業監管動態
The no-action letter is comparable to no-action letters issued for other similarly
situated designated contract markets and derivatives clearing organizations.
https://www.cftc.gov/PressRoom/PressReleases/8960-24
9. 美國商品期貨交易委員會批準第 40 部分最終規則以簡化和提高規則及產品
的申請審批流程（2024 年 9 月 12 日）
美國商品期貨交易委員會（CFTC）批準了一項最終規則，修訂了 CFTC 聯
邦法規的第 40 部分。CFTC 聯邦法規第 40 部分落實《美國商品交易法》第 5c
（c）條的規定，規范注冊實體如何申請其交易清算規則、規則修訂和新產品的
自行認證及批準，以及 CFTC 對這些申請的審查和處理。
這些修訂旨在為注冊實體、市場參與者和 CFTC 明確、簡化并提高第 40 部
分規則的適用性。
該最終規則將在《聯邦公報》發布 30 天后生效。
The CFTC Approves Part 40 Final Rule to Simplify and Enhance Rule and
Product Submission Processes (2024/9/12)
The Commodity Futures Trading Commission approved a final rule to amend
Part 40 of the CFTC’s regulations. The regulations in Part 40 implement Section 5c(c)
of the Commodity Exchange Act and govern how registered entities submit
self-certifications, and requests for approval, of their rules, rule amendments, and new
products for trading and clearing, as well as the CFTC’s review and processing of
such submissions.
The amendments are intended to clarify, simplify and enhance the utility of the
Part 40 regulations for registered entities, market participants and the CFTC.
The final rule is effective 30 days after publication in the Federal Register.
18
