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      Page 7 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)(2024年9月刊)
      P. 7

      期貨和衍生品行業(yè)監(jiān)管動態(tài)
      
      
      
      
                                  SEC Charges Broker-Dealer Nationwide Planning and Two Affiliated Investment
      
                              Advisers with Violating Whistleblower Protection Rule (2024/9/4)..................................13
      
      
                                  7. 美國商品期貨交易委員會因 Uniswap Labs 非法開展數(shù)字資產(chǎn)衍生品交易對其
      
                              提起指控(2024 年 9 月 4 日)............................................................................................ 14
      
      
                                  CFTC Issues Order Against Uniswap Labs for Offering Illegal Digital Asset
      
                              Derivatives Trading (2024/9/4)..............................................................................................15
      
      
                                  8. 美國商品期貨交易委員會工作人員發(fā)布關于全額擔保二元期權的報告和記錄
      
                              保存要求的不行動函(2024 年 9 月 4 日)........................................................................ 17
      
      
                                  CFTC Staff Issues No-Action Letter Related to Reporting and Recordkeeping
      
                              Requirements for Fully Collateralized Binary Options (2024/9/4)...................................17
      
      
                                  9. 美國商品期貨交易委員會批準第 40 部分最終規(guī)則以簡化和提高規(guī)則及產(chǎn)品的
      
                              申請審批流程(2024 年 9 月 12 日).................................................................................. 18
      
      
                                  The CFTC Approves Part 40 Final Rule to Simplify and Enhance Rule and
      
      
                              Product Submission Processes (2024/9/12)..........................................................................18
      
      
                                  10. 美國商品期貨交易委員會批準關于商品基金管理人、商品交易顧問和商品基
                              金豁免遵守某些合規(guī)要求的最終規(guī)則(2024 年 9 月 14 日)..........................................19
      
      
      
                                  CFTC Approves Final Rule Regarding Exemptions from Certain Compliance
      
                              Requirements for Commodity Pool Operators, Commodity Trading Advisors, and
      
                              Commodity Pools (2024/9/14)............................................................................................... 20
      
      
                                  11. 美國證券交易委員會指控經(jīng)紀交易商 First Horizon 違反最佳利益規(guī)則(2024
      
                              年 9 月 18 日)........................................................................................................................21
      
      
                                  SEC Charges Broker-Dealer First Horizon With Regulation Best Interest
      
                              Violations(2024/9/18)........................................................................................................ 22
      
      
                                  12. 美國期貨業(yè)協(xié)會禁止佛羅里達公司 Trinity Trading Group LLC 及其負責人重
      
                              新申請成為其會員以及擔任負責人職務(2024 年 9 月 19 日)......................................23
      
      
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