美国证监会工作人员就代币化证券创新豁免发布补充指引：三家机构已提交运营通知
据 Morgan Lewis 律所10月22日发布的客户简报，美国证券交易委员会（Securities and Exchange Commission，SEC）工作人员就代币化证券交易场所（tokenized securities venue）的创新豁免发布了补充指引问答，并建立了一份公开名单，列出已向委员会提交拟依据该豁免运营通知的机构，供上市公司与市场参与者查询。
简报称，补充指引要求相关交易场所在异议期届满后修订其公开通知，注明异议期已经结束，并标明可供交易的代币化股票。指引还重申了两段可同时起算的30天期限：公众异议期与发行人收到送达其主要行政办公室的机构专属通知后的期限。上市公司需要同时监测交易场所的公开通知与送达本公司的通知，以判断是否在期限内行使异议权。
据报道，10月22日，SEC 收到三家机构提交的代币化交易场所方案通知，提交方为 TSV LLC、OKXICE 与 Kephas Corp.，分别指向 Canton、X Layer 与 Kronos X 网络，拟依据创新豁免在现有监管框架内开展代币化资产交易。
SEC 尚未就上述场所方案作出批准决定。
来源：GSM·美国
SEC Staff Issues Additional Guidance on Innovation Exemption for Tokenized Securities as Three Firms File Venue Notices
SEC staff has issued additional guidance on the innovation exemption for tokenized securities trading venues, according to a client alert published on October 22 by the law firm Morgan Lewis. The alert said the staff also established a public list of entities that have notified the Commission of their intent to operate under the exemption, as a centralized resource for public companies and market participants.
Under the guidance, a venue must amend its public notice to indicate that the objection period has lapsed and identify the tokenized stock available for trading, the alert said. It also reinforced that two 30-day periods — the public objection period and the period after an issuer receives an issuer-specific notice at its principal executive office — may run concurrently, so public companies should monitor both venue public notices and notices delivered to the company when deciding whether to exercise objection rights.
On October 22, the SEC received formal notification of three tokenized venue plans, according to reports. The entities behind the proposals are TSV LLC, OKXICE, and Kephas Corp., targeting the Canton, X Layer, and Kronos X networks respectively, and seeking to facilitate trading of tokenized assets within the existing regulatory framework under the innovation exemption.
The SEC has not announced an approval decision on the proposed venues.
Source: GSM, United States
来源：GSM·美国（原文链接）
图片来源：图：纽约 Wall Street 路牌（资料图），经 Wikimedia Commons。Photo: A Wall Street sign in New York (file photo), via Wikimedia Commons.
