其中,该法案: 1. 明确了比特币以及以太币为‘商品’; 2. 将绝大多数加密货币现货交易置于CFTC监管下; 3. 设立Digital Commodities Broker、Dealer、Custodian、Platform等服务供应商分类,由CFTC进行统一监管,并且通过向旗下监管主体收取费用的形式允许CFTC进行扩张。 该法案如果生效,将对现行监管框架进行进一步的明确,将极大程度上扩大CFTC的监管职能,并将‘sideline’SEC对于加密货币行业的监管,但SEC还将保留部分职能,例如对构成securities的ICO的监管。 References [1] www.congress.gov: https://www.congress.gov/bill/117th-congress/senate-bill/4760/text?r=3&s=1[2] Futures Commission Merchants (FCMs) | CFTC: https://www.cftc.gov/IndustryOversight/Intermediaries/FCMs/fcmibfilingreportreqs.html[3] SEC.gov | Guide to Broker-Dealer Registration: https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguidehtm.html#VII[4] eCFR :: 17 CFR Part 230 - Regulation A - Conditional Small Issues Exemption: https://www.ecfr.gov/current/title-17/chapter-II/part-230/subject-group-ECFR68d879261fb42fb[5] SEC.gov | Exempt Offerings: https://www.sec.gov/education/smallbusiness/exemptofferings[6] SEC.gov | SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action: https://www.sec.gov/news/press-release/2022-127[7] Coinbase does not list securities. End of story.: https://blog.coinbase.com/coinbase-does-not-list-securities-end-of-story-e58dc873be79[8] finance.yahoo.com: https://finance.yahoo.com/news/coinbase-insider-trading-case-sparks-203910943.html[9] Crypto framework would define SEC, CFTC oversight purview: https://www.bankingdive.com/news/crypto-framework-would-define-sec-cftc-oversight-purview/625044/[10] Bitcoin, Ether To Be Regulated as Commodities by CFTC, per New Senate Bill: https://blockworks.co/bitcoin-ether-to-be-regulated-as-commodities-by-cftc-per-new-senate-bill/[11] New CFTC Bill Could Overrule SEC but Leaves Fate of Many Crypto Tokens Unresolved: https://blockworks.co/new-cftc-bill-could-overrule-sec-but-leaves-fate-of-many-crypto-tokens-unresolved/[12] Subscribe to read | Financial Times: https://www.ft.com/content/b9466a10-a2a6-412d-acf4-086609283df2[13] SEC Chair Seeks Formal Deal With the CFTC for Crypto Regulation: https://cryptopotato.com/sec-chair-seeks-formal-deal-with-the-cftc-for-crypto-regulation/[14] The Battle Over Crypto: SEC versus CFTC | Strauss Troy Co., LPA: https://www.strausstroy.com/articles/crypto-sec-vs-cftc/[15] CFTC and SEC Perspectives on Cryptocurrency and Digital Assets – Volume I: A Jurisdictional Overview: https://www.klgates.com/CFTC-and-SEC-Perspectives-on-Cryptocurrency-and-Digital-Assets-Volume-I-A-Jurisdictional-Overview-5-6-2022[16] Former CFTC Chair: Here's How SEC and CFTC Can Work Together to Regulate Crypto: https://www.coindesk.com/policy/2022/08/22/former-cftc-chair-heres-how-sec-and-cftc-can-work-together-to-regulate-crypto/[17] No small-fry ICOs spared: SEC sues Opporty, says bounty program was an investment of money: https://www.theblockcrypto.com/news+/53997/no-small-fry-icos-spared-sec-sues-opporty-says-bounty-program-was-an-investment-of-money[18] Another ICO issuer settles with the SEC as the long tail of enforcement continues to wag: https://www.theblockcrypto.com/news+/56748/another-ico-issuer-settles-with-the-sec-as-the-long-tail-of-enforcement-continues-to-wag[19] Ripple's Larsen: XRP Being Singled Out by SEC 'Perplexing': https://www.bloomberg.com/news/videos/2021-04-27/ripple-s-larsen-xrp-being-singled-out-by-sec-perplexing-video[20] BitClave winds up with a SEC settlement greater than the amount raised in its public ICO: https://www.theblockcrypto.com/news+/67376/bitclave-winds-up-with-a-sec-settlement-greater-than-the-amount-raised-in-its-public-ico[21] DeFi projects could come under SEC's oversight, says chairman Gensler: https://www.theblock.co/linked/115016/defi-projects-regulation-sec-chairman-gensler[22] How the SEC's reported Uniswap Labs investigation could signal a new era of enforcement: https://www.theblock.co/post/116633/how-the-secs-reported-uniswap-labs-investigation-could-signal-a-new-era-of-enforcement[23] SEC's handling of Coinbase Lend signals sea change for US crypto lending: https://www.theblock.co/post/117140/secs-handling-of-coinbase-lend-signals-sea-change-for-us-crypto-lending[24] Custodial crypto lending and staking products 'take on all the indicia' of securities, Gensler tells: https://www.theblock.co/post/117675/crypto-lending-staking-custody-gensler-sec[25] www.sec.gov: https://www.sec.gov/news/speech/gensler-aspen-security-forum-2021-08-03[26] A class-action lawsuit against Uniswap spotlights gaps in DeFi regulation: https://www.theblockcrypto.com/news+/143661/a-class-action-lawsuit-against-uniswap-spotlights-gaps-in-defi-regulation[27] https://www.washingtonpost.com/business/2022/06/07/crypto-lummis-gillibrand-regulation/ 罗Sir说 罗Sir说 是全球区块链合规联盟官方自媒体, 全球区块链合规联盟提供相关企业业务合规资质服务,欢迎通过邮箱 service@gbcuf.com 与我们进行更详细的业务沟通。 来源:金色财经lg...