美国商品期货交易委员会 (CFTC) 和美国证券交易委员会 (SEC) 就基于证券的掉期和掉期市场的数据报告框架征求公众意见

美国商品期货交易委员会 (CFTC) 和美国证券交易委员会 (SEC) 就基于证券的掉期和掉期市场的数据报告框架征求公众意见美国商品期货交易委员会
版本号 9257-26
美国商品期货交易委员会 (CFTC) 和美国证券交易委员会 (SEC) 就基于证券的掉期和掉期市场的数据报告框架征求公众意见
2026 年 6 月 18 日
华盛顿——商品期货交易委员会和证券交易委员会今天联合发布了一份联合请求，征求公众意见，以探讨在掉期和基于证券的掉期市场监管中协调、现代化和简化数据报告要求的潜在机会。
CFTC 主席 Michael S. Selig 表示：“我很自豪能够与 SEC 主席阿特金斯合作，根据我们促进机构间合作的持续努力，简化和协调注册人的互换数据报告。” “我期待听到市场参与者关于我们如何减少繁文缛节和降低成本，同时仍然收集我们履行市场监督职责所需的数据的方法。”
“广泛的数据收集，如果没有适当校准，可能会阻碍而不是增强理解和问责制，”美国证券交易委员会主席保罗·S·阿特金斯 (Paul S. Atkins) 表示。 “通过与 CFTC 密切合作，我们可以确保收集必要的数据，以在统一的报告制度下实现法定目标。我欢迎大家就如何改进基于安全的互换数据报告制度提供反馈，以保护信息的完整性并降低成本。”
征求意见的目的是协助各机构评估基于证券的互换和互换数据报告要求的设计、范围和结构的变化是否会导致各自的报告框架之间更加一致。 CFTC 和 SEC 寻求意见以提高市场透明度、减少不必要的操作复杂性、提高数据质量并改善监管监督，同时保留《多德弗兰克法案》下各机构的独特法定职责。
联合征求意见请求寻求以下主题的意见：
跨框架的协调
透明度和数据质量
操作复杂性
标准化标识符和参考数据
实施注意事项
CFTC 和 SEC 鼓励公众就机构征求意见中确定的这些主题的操作、技术和政策影响提供意见。在《联邦公报》上发布征求意见请求后，公众意见征询期将持续 60 天。
-CFTC-

CFTC, SEC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets | CFTC
Release Number 9257-26
CFTC, SEC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
June 18, 2026
WASHINGTON — The Commodity Futures Trading Commission and Securities and Exchange Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the swap and security-based swap markets, respectively.
“I’m proud to be working alongside SEC Chairman Atkins to streamline and harmonize swap data reporting for registrants in accordance with our ongoing efforts to foster interagency cooperation,” said CFTC Chairman Michael S. Selig. “I look forward to hearing from market participants about the ways we can cut red tape and reduce costs, while still collecting the data we need to conduct our market oversight responsibilities.”
“Extensive data collection, if not appropriately calibrated, can hinder, rather than enhance, understanding and accountability,” said SEC Chairman Paul S. Atkins. “Working closely with the CFTC, we can ensure that we are collecting the data necessary to meet statutory objectives under a harmonized reporting regime. I welcome feedback on how we can improve our security-based swap data reporting regime in a manner that protects the integrity of the information and lowers costs.”
The request for comment is intended to assist the agencies in evaluating whether changes to the design, scope, and structure of security-based swap and swap data reporting requirements would lead to greater alignment between their respective reporting frameworks. The CFTC and SEC seek input to enhance market transparency, reduce unnecessary operational complexity, promote data quality, and improve regulatory oversight while preserving the distinct statutory mandates of each agency under the Dodd-Frank Act.
The joint request for comment seeks input on the following topics:
Harmonization across frameworks
Transparency and data quality
Operational complexity
Standardized identifiers and reference data
Implementation considerations
The CFTC and SEC encourage the public to provide input on the operational, technological, and policy implications of these topics identified in the agencies’ request for comment. The public comment period will remain open for 60 days following publication of the request for comment in the Federal Register.
-CFTC-