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 October 1 and October 15, 2016.
For continuous real-time updates, please refer to the Cadwalader
October 1: OCC, Federal Reserve Board, FDIC, FCA, and FHFA
final exemptions from the initial and variation margin requirements
published by the Agencies in November 2015 pursuant to Sections
764 of Dodd-Frank.
October 3: FINRA expansion of alternative trading system
("ATS") transparency initiative to publish monthly
information on block-size trades occurring on ATSs.
October 3: FINRA adoption of FINRA Rule 6191(a) to implement
the quoting and trading requirements of the Plan to Implement Tick
Size Pilot Program submitted to the SEC pursuant to Rule 608 of Regulation NMS.
October 5: FERC modification to the pro forma Small Generator
Interconnection Agreement ("SGIA").
October 11: SEC amendments to Regulation SBSR – Reporting
and Dissemination of Security-Based Swap Information.
October 3: SEC proposal to amend disclosure requirements that
"may have become redundant, duplicative, overlapping,
outdated, or superseded" in light of other (i) SEC disclosure
requirements, (ii) U.S. Generally Accepted Accounting Principles
("U.S. GAAP"), and (iii) International Financial
Reporting Standards, given the "changes in the information
October 4: MSRB proposal to require brokers, dealers and
municipal securities dealers to disclose mark-ups and mark-downs to
retail customers on certain principal transactions and to provide
dealers guidance on prevailing market prices for the purpose of
calculating mark-ups and mark-downs and other MSRB Rule G-30
October 11: Treasury revised interim rule implementing the Bank
Enterprise Award Program, which is administered by the Community
Development Financial Institutions Fund.
October 14: FDIC, the Federal Financial Examination Council and
other banking agencies' proposal to: (i) streamline the
Consolidated Reports of Condition and Income ("Call
Reports") for eligible small institutions, and (ii) reduce the
regulatory burden of the remaining two versions of Call
October 5: SEC extension of exemption for SDR Rules previously
granted on March 18, 2016.
October 14: CFTC interpretation with regard to Part 39 in light
of amendments to Investment Company Act Rule 2a-7.
October 14: SEC compliance dates for the floating NAV and
liquidity fees and gates amendments, including any related
amendments to disclosure.
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guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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