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InterimRegulationsonAdministrationofFuturesTrading（1999年5月25日国务院第18次常务会议通过，自1999年9月1日起施行，1999年6月2日中华人民共和国主席令第267号发布，自1999年9月1日起施行）(Adoptedatthe18thExecutiveMeetingoftheStateCouncilonMay25,1999,promulgatedbyDecreeNo.267oftheStateCouncilofthePeople'sRepublicofChinaonJune2,1999,andeffectiveasofSeptember1,1999)第一章总则ChapterIGeneralProvisions第一条为了规范期货交易行为，加强对期货交易的监督管理，维护期货市场秩序，防范风险，保护期货交易各方的合法权益和社会公共利益，制定本条例。Article1TheseRegulationsareformulatedinordertoregulatetheconductoftradinginfutures,enhancethesupervisionandadministrationoffuturestrading,maintainorderinthefuturesmarket,preventandminimizerisks,andprotectthelegitimaterightsandinterestsofthepartiestradinginfixturesandthepublicinterestsofsociety.第二条从事期货交易及其相关活动的，必须遵守本条例。Article2TheconductofanytradinginfuturesanditsrelatedactivitiesshallcomplywiththeseRegulations.第三条从事期货交易活动，应当遵循公开、公平、公正和诚实信用的原则。禁止欺诈、内幕交易和操纵期货交易价格等违法行为。Article3Inconductingfuturestradingactivities,theprinciplesofopenness,fairness,impartiality,honestyandgoodfaithshallbeobserved.Illegalbehaviorssuchasfraud,insiderdealingandthemanipulationoftradingpricesoffuturesareprohibited.第四条期货交易必须在期货交易所内进行。禁止不通过期货交易所的场外期货交易。Article4Tradinginfixturesmustbeconductedonafuturesexchange.Anydealinginfuturesoutsideofafixturesexchangeisprohibited.第五条中国证券监督管理委员会（以下简称中国证监会）对期货市场实行集中统一的监督管理。Article5TheChinaSecuritiesRegulatoryCommission(hereinafterreferredtoastheCSRC)shallexerciseunifiedandcentralizedsupervisionandadministrationofthefixturesmarket.第二章期货交易所ChapterIIFuturesExchanges第六条设立期货交易所，由中国证监会审批。Article6TheestablishmentofafuturesexchangeshallbesubjecttoexaminationandapprovalbytheCSRC.未经中国证监会批准，任何单位或者个人不得设立或者变相设立期货交易所。NounitorindividualmayestablishorestablishinadisguisedformafuturesexchangewithoutobtainingtheapprovaloftheCSRC.第七条期货交易所不以营利为目的，按照其章程的规定实行自律管理。期货交易所以其全部财产承担民事责任。Article7Afuturesexchangeshallnotbeestablishedforthepurposeofprofitandshallbeself?regulatedinaccordancewithitsarticlesofassociation.Afuturesexchangeshalluseallofitsassetstobearitscivilliabilities.第八条期货交易所会员应当是在中华人民共和国境内登记注册的企业法人。取得期货交易所会员资格，应当经期货交易所批准，并交纳会员资格费。Article8MembersofafuturesexchangeshallbeenterpriselegalpersonsregisteredinthePeople'sRepublicofChina.Theacquisitionofthequalificationasamemberofafuturesexchangerequirestheapprovalofthefuturesexchangeandthepaymentofamembershipfee.期货交易所会员由期货经纪公司会员和非期货经纪公司会员组成。Themembershipofafuturesexchangeshallbemadeupofthosememberswhicharefuturesbrokeragefirmsandthosememberswhicharenotfuturesbrokeragefirms.第九条期货交易所设理事会。理事长、副理事长由中国证监会提名，理事会选举产生。Article9Afuturesexchangeshallestablishaboardofdirectors.Thechairmanandvice?chairmanoftheboardofdirectorsshallbenominatedbytheCSRCandelectedbytheboardofdirectors.期货交易所设总经理、副总经理，由中国证监会任免。总经理为期货交易所的法定代表人。AfuturesexchangeshallhaveageneralmanagerandadeputygeneralmanagerwhoshallbeappointedandremovedbytheCSRC.Thegeneralmanagershallbethelegalrepresentativeofthefixturesexchange.第十条有证券法第一百零一条规定的情形或者中国证监会规定的其他情形的，不得担任期货交易所的高级管理人员、财务会计人员。Article10PersonswhofallwithinthecategoriesspecifiedinArticle101oftheSecuritiesLaw,orwhosecircumstancesaresuchthattheyfallwithinthosespecifiedbytheCSRC,shallnotbeeligibleforthepositionsintheseniormanagementofafuturesexchangeorasitsfinancialaccountingstaff.第十一条期货交易所的工作人员应当忠实履行职务，不得以任何方式为自己从事期货交易，不得泄露内幕信息或者利用内幕信息获得非法利益。Article11Personnelofafuturesexchangeshallfitithfirllyperformtheirduties,shallnotinanywaytradeinfixturesontheirownaccountandshallnotdiscloseinsideinfomaationoruseinsideinformationtoobtainillegalbenefits.第十二条期货交易所的工作人员履行职务，遇有与本人或者其亲属有利害关系的情形时，应当回避。Article12Intheperformanceoftheirduties,personnelofafuturesexchangeshallrecusethemselveswheneverencounteringcircumstancesofmaterialrelevancetothemselvesortheirrelatives.第十三条期货交易所的工作人员在任职期间或者离开期货交易所未满一年的，不得在该期货交易所的会员单位任职。Article13Personnelofafuturesexchangeshallnot,duringtheirterminofficeorwithinoneyearafterleavingemploymentwiththefuairesexchange,holda:n?postinanymemberunitofthatfuturesexchange.国家公务员不得在期货交易所任职。Civilservantsshallnotholdanypostinafixturesexchange.第十四条期货交易所履行下列职能：Article14Afixturesexchangeshallcarryoutthefollowingfunctions:（一）提供期货交易的场所、设施和服务；(1)providepremises,facilitiesandservicesneededfortradinginfutures;（二）设计期货合约、安排期货合约上市；(2)workouttheformoffuturescontractsandintroducefuturescontractstothemarket;（三）组织、监督期货交易、结算和交割；(3)organizeandsupervisefuturestrading,settlementofaccountsandclearing;（四）保证期货合约的履行；(4)ensuretheperformanceoffuturescontracts;（五）制定和执行本条例第三十五条规定的风险管理制度；(5)establishandimplementtheriskmanagementsystemsrequiredunderArticle35oftheseRegulations;and（六）中国证监会规定的其他职能。(6)carryoutsuchotherfunctionsasmaybeprescribedbytheCSRC.第十五条期货交易所不得从事信托投资、股票交易、非自用不动产投资等与其职能无关的业务。Article15Afuturesexchangeshallnotengageintrustinvestment,securitiestrading,investmentinrealpropertynotforitsownuseorotherbusinessunrelatedtoitsfimctions.禁止期货交易所直接或者间接参与期货交易。Afuturesexchangeisprohibitedfromdirectlyorindirectlyparticipatinginfuturestrading.第十六条当期货市场出现异常情况时，期货交易所可以按照其章程规定的权限和程序，决定采取下列紧急措施，并应当立即报告中国证监会：Arlide16Intheeventofanabnormalityarisinginthefuturesmarket,afuturesexchangemaydecidetoadoptthefollowingemerge