Page 12 - 期货和衍生品行业监管动态（2024年5月）

期货和衍生品行业监管动态

also revise certain Part 23 regulations regarding the financial reporting requirements

of SDs, including the required timing of certain notifications, the process for approval

of subordinated debt for capital, and the information requested on financial reporting

forms to conform to the rules. The amendments are intended to make it easier for SDs

and MSPs to comply with the CFTC’s financial reporting obligations and demonstrate

compliance with minimum capital requirements.

The effective date of the final rule is 30 days from the date of publication in the

Federal Register. To allow for sufficient time to effectuate the reporting and

notification amendments, the final rule has a compliance date of September 30, 2024,

and will apply to all financial reports with an“as of”reporting date of September 30,

2024, or later.

https://www.cftc.gov/PressRoom/PressReleases/8901-24

2. 美国商品期货交易委员会批准威尼斯赌博游戏_威尼斯赌场-app官网：期货和期权大户报告的最终规则（2024

年 4 月 30 日）

美国商品期货交易委员会（CFTC）宣布通过了威尼斯赌博游戏_威尼斯赌场-app官网：修订期货和期权大额交

易报告规定的最终规则。这些规定要求期货佣金商、结算会员、外国经纪商和特

定报告市场（报告公司）向委员会报告最大的期货和期权交易者的持仓信息。

最终规则用指定适用的数据元素的附录替换了目前在 CFTC 联邦法规中列

举的数据元素，还规定出版单独的第 17 部分指南，该指南规定了报告的表格和

方式。此外，最终规则取消了 CFTC 法规中过时的 80 字符数据提交标准，并代

之以第 17 部分指南中所述的 FIXML 标准。

“这些修订将使 CFTC 的大户持仓报告现代化，并将其与 CFTC 联邦法规中

规定的其他报告结构保持一致。”市场监管部主任 Vince McGonagle 说。

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