Page 28 - 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
https://www.cftc.gov/PressRoom/PressReleases/8961-24
8. 美国商品期货交易委员会工作人员发布关于全额担保二元期权的报告和记
录保存要求的不行动函（2024 年 9 月 4 日）
美国商品期货交易委员会（CFTC）宣布，其市场监管部和清算与风险管理
部已就互换数据报告和记录保存规定采取不采取行动立场，以回应指定合约市场
和衍生品清算机构 LedgerX LLC（以 MIAX Derivatives Exchange LLC 的名义经
营，简称 MIAXdx）的请求。
上述部门不会因某些与互换相关的记录保存要求，以及未能向互换交易数据
报告库报告根据 MIAXdx 规则执行成交的全额担保二元期权交易数据而建议
CFTC 对 MIAXdx 或其参与者采取执法行动。
这一不行动函与对其他相同情形的指定合约市场和衍生品清算机构发布的
不行动函类似。
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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