Page 17 - 期货和衍生品行业监管动态（2024年3月）
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期货和衍生品行业监管动态
“The federal laws and SEC rules covering ownership disclosure help keep
investors fully informed about control – and potential changes in control – of publicly
traded companies,” said Mark Cave, Associate Director of the SEC’s Division of
Enforcement. “But, according to today’s order, HG Vora deprived Ryder shareholders
of information about its significant stake in the company, while building a large swaps
position from which it stood to profit after announcing the Ryder takeover bid.”
The SEC’s order finds that HG Vora violated the beneficial ownership provisions
of the Securities Exchange Act of 1934. Without admitting or denying the findings,
HG Vora agreed to cease and desist from future violations and to pay the civil penalty
discussed above. On Oct. 10, 2023, the SEC adopted rules shortening the deadline for
filing an initial Schedule 13D from 10 to five business days. HG Vora was found to
have violated the rules in effect at the time of the conduct at issue in the SEC’s order
by filing this report more than 10 days after forming a control purpose.
https://www.sec.gov/news/press-release/2024-30
3. 美国商品期货交易委员会全球市场咨询委员会提出 3 项建议（2024 年 3 月 7
日）
Pham 委员提出了有关支持美国国债市场韧性、 T+1 证券结算过渡和数字资
产监管清晰度的建议
美国商品期货交易委员会全球市场咨询委员会（Global Markets Advisory
Committee, GMAC）在委员 Caroline D. Pham 的支持下，提出了三项新建议，以
促进美国国债市场的韧性和效率，为即将到来的 T+1 证券结算过渡提供支持，
并首次发布数字资产分类方法，以支持美国监管的清晰度和国际统一性。
Pham 委员表示：“一年前，重新启动的全球市场咨询委员会开始制定务实的
解决方案，以解决我们市场中最重要的问题，我为全球市场咨询委员会继续为提
4
