Page 29 - 期货和衍生品行业监管动态（2024年9月刊）

期货和衍生品行业监管动态

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. 美国商品期货交易委员会批准第 40 部分最终规则以简化和提高规则及产品

的申请审批流程（2024 年 9 月 12 日）

美国商品期货交易委员会（CFTC）批准了一项最终规则，修订了 CFTC 联

邦法规的第 40 部分。CFTC 联邦法规第 40 部分落实《美国商品交易法》第 5c

（c）条的规定，规范注册实体如何申请其交易清算规则、规则修订和新产品的

自行认证及批准，以及 CFTC 对这些申请的审查和处理。

这些修订旨在为注册实体、市场参与者和 CFTC 明确、简化并提高第 40 部
分规则的适用性。

该最终规则将在《联邦公报》发布 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.

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