CFTC 工作人员向被动软件提供商发出不采取行动立场

CFTC 工作人员向被动软件提供商发出不采取行动立场美国商品期货交易委员会
版本号 9300-26
CFTC 工作人员向被动软件提供商发出不采取行动立场
2026 年 9 月 17 日
华盛顿——商品期货交易委员会的市场参与者部门今天宣布，为了被动软件提供商的利益，它已发布不采取行动的立场。该职位与员工信函 26-09 中提供的职位类似，现在可供此类提供者广泛使用。
该信函指出，在满足某些特定条件的情况下，MPD 不会建议委员会对任何未注册为介绍经纪人或介绍经纪人相关人员的此类提供商或其相关人员采取执法行动。这仅适用于他们提供和营销软件，以促进提供商的用户与注册期货佣金商、介绍经纪人和指定合约市场进行交易。
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CFTC Staff Issues No-Action Position to Providers of Passive Software | CFTC
Release Number 9300-26
CFTC Staff Issues No-Action Position to Providers of Passive Software
September 17, 2026
WASHINGTON — The Commodity Futures Trading Commission’s Market Participants Division today announced it has issued a no-action position for the benefit of providers of passive software. The position is similar to that provided in Staff Letter 26-09 and now is broadly available to such providers.
The letter states that, subject to certain specified conditions, MPD will not recommend the Commission take enforcement action against any such provider or their relevant personnel for failure to register as an introducing broker or associated person of an introducing broker. This applies solely in relation to their provision and marketing of software to facilitate trading by the provider’s users with registered futures commission merchants, introducing brokers, and designated contract markets.
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