The Cabinet Regulatory Tracker provides a list of significant
upcoming comment deadlines, effective dates and compliance
deadlines. Click on the links below to view deadlines that fall
between September 1 and September 15, 2016.
For continuous real-time updates, please refer to the Cadwalader
September 16: MSRB proposal to delay by two years, until August
29, 2018, the date on which submissions must be made pursuant to
Rule G-45, on reporting of information on municipal fund
securities, by underwriters of programs established to implement
the Able Act.
September 19: FERC proposal to revise its regulations to
collect certain data for analytics and surveillance purposes from
market-based rate ("MBR") sellers and entities trading
virtual products or holding financial transmission rights and to
change certain aspects of the substance and format of information
submitted for MBR purposes.
September 20: CFTC proposal to amend certain of its
regulations applicable to the Annual Report that each person
registered or required to be registered as a commodity pool
operator must distribute for each commodity pool that it
September 23: FINRA proposal to amend FINRA Rules 3220, 3221
and 3222 concerning gifts, gratuities and non-cash
September 26: FERC proposal to incorporate by reference the
latest version (Version 003.1) of certain Standards for Business
Practices and Communication Protocols for Public Utilities adopted
by the Wholesale Electric Quadrant of the North American Energy
September 26: Petitions for candidacy for nomination process to
fill one Mid-size Firm vacancy and one Large Firm vacancy on the
National Adjudicatory Council.
September 26: SEC proposal to amend Rules 600 and 606 of
Regulation National Market System under the Securities Exchange Act
to require additional disclosures by broker-dealers to customers
about the routing of their orders.
September 29: CFTC proposal to amend its regulations to enhance
the process for reviewing whistleblower claims and to make related
changes to clarify staff authority to administer the whistleblower
September 30: IOSCO consultation report reviewing liquidity
issues in the secondary corporate bond markets.
September 21: FERC elimination of the exemptions for wind
generators from the requirement to provide reactive power by
revising the pro forma Large Generator Interconnection Agreement,
Appendix G to the pro forma LGIA, and the pro forma Small Generator
September 23: Board of Governors of the Federal Reserve System
revisions to part II of the Federal Reserve Policy on Payment
System Risk related to the procedures for measuring balances
intraday in institutions' accounts at the Federal Reserve Banks
to conform with enhancements to the Reserve Banks' same-day
automated clearinghouse service previously approved by the
September 26: SEC final Rule 13q-1 and final amendment to Form
SD to implement Section 1504 of the Dodd-Frank Wall Street Reform
and Consumer Protection Act relating to the disclosure of payments
by resource extraction issuers.
September 27: FERC new or modified Reliability Standard
intended to mitigate the risk of a cybersecurity incident affecting
the reliable operation of the Bulk-Power System.
September 27: SEC final amendments to its Rules of Practice
that concern, among other things, the timing of hearings in
administrative proceedings, depositions, summary disposition and
the contents of an answer.
September 30: NFA amendments to
NFA Compliance Rule 2-46 to impose a $200 late fee on commodity
pool operator and commodity trading advisor members for each
business day the member files its quarterly NFA Form PQR or PR
after the due date.
September 28: CFTC extension of no-action relief available
under CFTC Letter 15-52 from September, 2015, for an additional
five months for certain of the OCR forms.
September 29: FINRA annual audit report filing deadline for the
period ending July 31, 2016.
September 30: CFTC extension of time-limited no-action relief
– originally granted by CFTC letter 14-140 – from
transaction-level requirements for Non-U.S. swap dealers.
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