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期貨和衍生品行業監管動態
? Whether the alleged defendant held specialized knowledge, expertise, or
was licensed in an industry related to the rule or regulation at issue.
? Evidence, if any is available, of the alleged defendant’s general awareness of
the unlawfulness of his conduct as well as his knowledge or lack thereof of
the regulation at issue.
? Whether the alleged defendant is a recidivist or has otherwise engaged in a
pattern of misconduct.
? Whether DOJ’s involvement will provide additional meaningful protection
to participants in the derivatives markets.
The advisory is issued in accordance with section 7 of the Executive Order in
lieu of the requirement for publication in the Federal Register. Currently, there is no
majority vote of the Commission to authorize Federal Register publication.
https://www.cftc.gov/PressRoom/PressReleases/9094-25
5. 美國商品期貨交易委員會工作人員發布關于持倉合并要求的不行動函延期
通知（2025 年 7 月 18 日）
美國商品期貨交易委員會（CFTC）市場監管部發布了不行動函，延長了
CFTC 工作人員 22-09 號函中將于 8 月 12 日到期的關于某些持倉合并要求的不行
動立場。
CFTC Staff Issues No-Action Letter Extension Regarding Position Aggregation
Requirements (2025/7/18)
The Commodity Futures Trading Commission’s Division of Market Oversight
today issued a no-action letter extending the no-action positions in CFTC Staff Letter
No. 22-09 regarding certain position aggregation requirements, which expires
8
