Page 23 - 期货和衍生品行业监管动态（2024年9月刊）
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期货和衍生品行业监管动态
by CFTC staff about whether Nasdaq Futures, Inc. paid DMM program participants
for trade volume, its employees repeatedly stated there was no volume-based
component to the DMM program. Nasdaq Futures, Inc. reasonably should have
known all such denials, statements, and omissions were false and misleading at the
time.
Further, Nasdaq Futures, Inc.’s failure to disclose this volume-based component
of the DMM program to the CFTC, the public, its own compliance staff, and
regulatory service provider led to the violation of several DCM Core Principles
mandated in the CEA. Finally, Nasdaq Futures, Inc. did not follow its regulatory
service provider’s recommendation to contact three DMM program participants about
certain trading activity or document why it did not, in violation of a CFTC
Regulation.
The CFTC appreciates the assistance of the National Futures Association.
https://www.cftc.gov/PressRoom/PressReleases/8954-24
6. 美国证券交易委员会指控经纪交易商 Nationwide Planning 及其两家关联投
资顾问违反吹哨人保护规则（2024 年 9 月 4 日）
美国证券交易委员会（SEC）宣布，对三家关联注册公司提出指控并达成和
解。这三家公司包括 SEC 注册的经纪交易商 Nationwide Planning Associates, Inc.、
投资顾问 NPA Asset Management, LLC 和投资顾问 Blue Point Strategic Wealth
Management, LLC，指控他们阻碍经纪客户和咨询客户向 SEC 报告他们违反证券
法的行为。三家公司同意支付总计 24 万美元的民事罚款以就上述指控达成和解。
2
根据 SEC 的命令，021 年 5 月至 2024 年 2 月，Nationwide、NPA 和 Blue Point
共同要求 11 名零售客户签署保密协议，协议涉及其向客户投资账户支付的款项。
支付这些款项是为了补偿因这些公司涉嫌违反联邦或州证券法而给客户造成的
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