CFTC 就有关某些受 CFTC 监管的实体之间的隶属关系的拟议规则制定通知征求公众意见

CFTC 就有关某些受 CFTC 监管的实体之间的隶属关系的拟议规则制定通知征求公众意见美国商品期货交易委员会
版本号 9274-26
CFTC 就有关某些受 CFTC 监管的实体之间的隶属关系的拟议规则制定通知征求公众意见
2026 年 7 月 30 日
华盛顿——商品期货交易委员会今天发布了一份拟议规则制定通知，就 CFTC 法规第 37 部分、第 38 部分和第 39 部分以及委员会法规 1.52 和 1.55 的修正案征求公众意见。
委员会持续观察到受 CFTC 监管的实体（包括衍生品清算组织、指定合约市场、掉期执行设施、期货佣金商和其他市场参与者（例如做市商））之间的关联数量不断增长。鉴于这些发展，委员会提出新的规则和对其现有法规的修正案，以解决与此类公司相关的可能出现的问题，包括与已知和潜在的利益冲突有关的问题。
“通过为垂直整合的市场结构制定基于原则的法规，CFTC 在我们持续努力支持美国衍生品市场负责任的创新方面迈出了重要一步，”主席迈克尔·S·塞利格 (Michael S. Selig) 表示。 “该提案将制定适合目的的道路规则，以增强市场诚信，而不会扼杀新颖的市场结构或对注册人施加过高的合规成本。”
意见将在《联邦公报》发布后 60 天内接受。
-CFTC-

CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning Affiliations Among Certain CFTC-Regulated Entities | CFTC
Release Number 9274-26
CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning Affiliations Among Certain CFTC-Regulated Entities
July 30, 2026
WASHINGTON — The Commodity Futures Trading Commission today published a Notice of Proposed Rulemaking seeking public comment on amendments to Part 37, Part 38, and Part 39 of the CFTC’s regulations, as well as Commission regulations 1.52 and 1.55.
The Commission has continued to observe growth in the number of affiliations between CFTC-regulated entities­ — including derivatives clearing organizations, designated contract markets, swap execution facilities, futures commission merchants, and other market participants — such as market makers. In light of these developments, the Commission proposes new rules and amendments to its existing regulations to address issues that may arise in connection with such firms, including with respect to perceived and potential conflicts of interest.
“By setting forth principles-based regulations for vertically integrated market structures, the CFTC is taking a significant step in our continued efforts to support responsible innovation in U.S. derivatives markets,” said Chairman Michael S. Selig. “This proposal would institute purpose-fit rules of the road that bolster market integrity without stifling novel market structures or imposing excessive compliance costs on registrants.”
Comments will be accepted for 60 days following publication in the Federal Register.
-CFTC-