Page 14 - 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

美国商品期货交易委员会（CFTC）发布了一项规则草案的制定通知，进一

步明确了属于《美国商品交易法》（CEA）第 5c(c)(5)(C)条范围内并且违反了公

共利益的事件合约类型。CFTC 最近注意到，在 CFTC 注册交易所上市交易的事

件合约的数量和种类有所增加。此外，CFTC 最近还收到了一些实体的交易所注

册申请和注册意向，均表示其兴趣上市交易事件合约。

鉴于这些发展，CFTC 建议修改 CFTC 联邦法规 40.11，进一步明确属于 CEA

第 5c(c)(5)(C)条范围内并违反公共利益的事件合约类型。该草案包括确定涉及

CEA 第 5c(c)(5)(C)条中列举的活动（赌博、战争、恐怖主义、暗杀以及违反任何

联邦或州法律的活动）的事件合约违反公共利益，因此不得在 CFTC 注册实体上

市交易或接受清算。

此外，该草案详细定义了“赌博”，并列举了一些例子，包括以有价值的东

西在政治竞选、有奖竞赛、一个或多个运动员参加的比赛中或就与此类比赛或游
戏相关的事件发生或不发生作为赌注。因此，根据该草案，涉及这些示例的事件

合约将不得被上市交易或接受清算。

CFTC Issues Proposal on Event Contracts (2024/5/10)

Proposal Also Defines Event Contracts Involving Political Contests as Gaming

The Commodity Futures Trading Commission today issued a Notice of Proposed
Rulemaking to further specify types of event contracts that fall within the scope of

Commodity Exchange Act (CEA) section 5c(c)(5)(C) and are contrary to the public

interest. The Commission has recently observed an increase in the number and variety

of event contracts listed for trading by CFTC-registered exchanges. In addition, the

Commission has recently received applications for exchange registration, and

expressions of interest regarding registration, from entities indicating that they are

interested in listing event contracts for trading.

In light of these developments, the Commission proposes to amend CFTC

regulation 40.11 to further specify types of event contracts that fall within the scope of

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