CFTC 发布有关活动合约系列自我认证的建议

CFTC 发布有关活动合约系列自我认证的咨询 |美国商品期货交易委员会
版本号 9273-26
CFTC 发布有关活动合约系列自我认证的建议
2026 年 7 月 24 日
华盛顿——商品期货交易委员会市场监督部门今天发布了一份公告，提醒指定合约市场提交事件合约系列自我认证的正确程序。
该咨询解决了人们对提交广泛的模板式认证的做法的担忧，这些认证将许多潜在的活动合同变体合并到一个认证中。
正如公告中所详述的，这种方法限制了 DMO 确定 DCM 是否已提供委员会条例第 40.2 条要求的所有信息、解释和分析，以及是否已充分评估其打算在 DCM 上列出的任何合同的结算方法、数据源和核心原则合规性的能力。
该指南重申，不应提交广泛的模板式认证。它还解释了密切相关的赛事合同何时可以作为一个类别进行认证或根据委员会条例第 40.2(d) 或 40.3 条提交审批。
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CFTC Releases Advisory on Self-Certification of an Event Contract Series | CFTC
Release Number 9273-26
CFTC Releases Advisory on Self-Certification of an Event Contract Series
July 24, 2026
WASHINGTON — The Commodity Futures Trading Commission’s Division of Market Oversight today issued an advisory reminding designated contract markets about the proper procedures for submitting self-certifications of an event contract series.
The advisory addresses concerns about the practice of submitting broad, template-style certifications that combine many potential event contract variations into a single certification.
As detailed in the advisory, this approach limits DMO’s ability to determine whether a DCM has provided all the information, explanation, and analysis required by Commission Regulation § 40.2, and whether it has adequately evaluated the settlement methodology, data sources, and core-principles compliance of any contract it intends to list on the DCM.
The guidance reiterates that broad, template-style certifications should not be submitted. It also explains when closely related event contracts may be certified as a class or submitted for approval under Commission Regulations §§ 40.2(d) or 40.3.
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