商品期货交易委员会：交易所30天内须取消按州限制准入 否则须向监管部门说明理由
华盛顿11月5日消息，美国商品期货交易委员会（CFTC）5日发布一项解释文件（发布号9323-26），阐明其对指定合约市场（DCM）准入规则的理解：依委员会第38.151(b)条规则，指定合约市场须向其会员与拥有交易权限的人士提供竞争、开放、公平、无偏倚的准入，按州或按地区限制美国国内参与者准入的做法与这一「公平准入要求」不符。
CFTC 主席 Michael S. Selig 在发布中表示，衍生品市场必须在全国范围内统一运作，才能实现《商品交易法》设定的目标，地理准入限制与这些目标及该法的公平准入要求不一致。
按这项解释，指定合约市场必须在30天内取消违反公平准入要求的国内地理限制，否则须向 CFTC 市场监督司提交说明，解释为何无法做到。同一30天期限也适用于中介机构：交易所须确保经其市场接入的中介机构不妨碍公平准入、并符合相关要求，做不到的同样须提交说明。CFTC 表示，将结合每个个案的具体事实与情况，考虑是否采取委员会行动。
这项解释没有点名任何一家交易所或平台。近月来，联邦注册的预测市场与多个州之间正就按州封锁部分合约的争议对簿公堂，CFTC 此前已就犹他州针对注册合约市场的执法提起诉讼。
关联：美国商品期货交易委员会起诉犹他州：指其以州法关停注册合约市场 干预联邦专属管辖
（来源：美国商品期货交易委员会 CFTC）
CFTC Tells Exchanges to End Domestic Geographic Access Restrictions Within 30 Days
WASHINGTON, Nov. 5 — The Commodity Futures Trading Commission (CFTC) on Thursday issued an interpretation (Release No. 9323-26) of the requirement that designated contract markets (DCMs) provide competitive, open, fair and impartial access to their members and persons with trading privileges under Commission Regulation 38.151(b), the agency's Impartial Access Requirements.
"Derivatives markets must operate on a uniform basis at a national scale in order to achieve the purposes set out in the Commodity Exchange Act," said Chairman Michael S. Selig. "Geographic access restrictions are inconsistent with those purposes and the Act's impartial access requirements."
Under the interpretation, DCMs must cease domestic geographic restrictions that violate the Impartial Access Requirements within 30 days, or else submit to the Division of Market Oversight an explanation for why such compliance is not feasible. The same 30-day window applies to intermediaries: within 30 days, DCMs should ensure that intermediaries accessing their markets are not impeding impartial access and are complying with the requirements, or else submit an explanation. The Commission said it will consider the facts and circumstances of any particular case in connection with potential Commission action.
The interpretation names no exchange or platform. It arrives as federally registered prediction markets and several states are locked in court disputes over state-based blocking of certain contracts; the CFTC has previously sued Utah over its enforcement against registered contract markets.
Related: CFTC Sues Utah Over State Bid to Shut Registered Contract Markets
(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总部入口（华盛顿 Three Lafayette Centre）；Dclemens1971 摄，CC BY 4.0，Wikimedia Commons / The CFTC headquarters entrance in Washington; by Dclemens1971, CC BY 4.0, via Wikimedia Commons.
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