商品期货交易委员会：个股永续期货今起可在受监管交易所开始交易
美国商品期货交易委员会（CFTC）主席 Michael S. Selig 11月3日在华盛顿发表声明：以单只股票为标的的永续期货合约（Equity Perps）即日起可首次在 CFTC 注册的交易所开始交易。此类交易所为在 CFTC 注册的指定合约市场，同时在美国证券交易委员会（SEC）以通知注册的全国证券交易所身份注册、可交易证券期货产品。
Selig 说，他在就职讲话中曾指示 CFTC 动用手头工具，把永续衍生品产品引入美国境内、在适当保障下发展。今年早些时候，CFTC 已批准首个真正的比特币永续期货合约在受 CFTC 监管的交易所上市；今天的宣布在此基础上把永续期货的适用范围从数字商品扩展到传统证券。他表示，把这类创新产品带进受监管市场，能让美国投资者与交易者在 CFTC 久经检验的监管框架保护下使用这些产品，而不是被迫转向离岸、往往不受监管的场所。
声明说，这批个股永续期货依据委员会条例 40.3 被视为已获批准，属《2000年商品期货现代化法》（CFMA）下的证券期货产品，同时受《商品交易法》、联邦证券法以及 CFTC 与 SEC 两家监管框架的适用要求约束。
Selig 还说，CFMA 二十多年前建立了证券期货产品的联合监管框架，今年早些时候 CFTC 与 SEC 签订了历史性的谅解备忘录，指导两家机构的协调与合作。他感谢 CFTC 工作人员与 SEC 的协作，并表示期待在此基础上继续推进，让金融的新前沿建在美国。
（来源：美国商品期货交易委员会）
CFTC: Equity Perpetual Futures Can Begin Trading for the First Time on Regulated Exchanges
Michael S. Selig, Chairman of the U.S. Commodity Futures Trading Commission (CFTC), released a statement in Washington on November 3 announcing that perpetual futures contracts on individual equity securities (the "Equity Perps") can begin trading for the first time on CFTC-registered exchanges. Those exchanges are designated contract markets that are dually registered with the Securities and Exchange Commission (SEC) as notice-registered national securities exchanges to trade security futures products.
Selig said that in his inaugural remarks he had directed the CFTC to use the tools at its disposal to onshore perpetual derivative products so they can flourish in the U.S., subject to appropriate safeguards. Earlier this year, the CFTC approved the listing of the first true bitcoin perpetual futures contract on a CFTC-regulated exchange; today's announcement extends the availability of perpetual futures beyond digital commodities and into traditional securities. Bringing these innovative products into regulated markets, he said, ensures American investors and traders can access them within the protections of the CFTC's proven regulatory framework, rather than being forced to turn to offshore, and often unregulated, venues.
The statement said the Equity Perps were deemed approved by the Commission under Commission Regulation 40.3 as security futures products under the Commodity Futures Modernization Act of 2000 (CFMA), and are subject to the applicable requirements of the Commodity Exchange Act, the U.S. federal securities laws, and the regulatory frameworks of both the CFTC and the SEC.
Selig noted that the CFMA, enacted more than two decades ago, established a framework for the joint regulation of security futures products, and that earlier this year the CFTC and SEC entered into a historic memorandum of understanding to guide coordination between the two agencies. He thanked CFTC staff for their work and collaboration with the SEC, and said he looks forward to building on the milestone as the CFTC works to ensure the new frontier of finance is built in the United States.
(Source: U.S. Commodity Futures Trading Commission)
来源：美国商品期货交易委员会
发布：GSM·美国（发布链接）
图片来源：图：美国商品期货交易委员会（CFTC）总部入口（华盛顿 Three Lafayette Centre）。Dclemens1971 摄，CC BY 4.0，经 Wikimedia Commons。 / Photo: Entrance of the CFTC headquarters at Three Lafayette Centre, Washington, D.C. Photo by Dclemens1971, CC BY 4.0, via Wikimedia Commons.
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