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 November 1 and November 15, 2016.

For continuous real-time updates, please consult the Cadwalader Cabinet Calendar.

Comment Deadlines

  • November 2: FINRA proposal to amend FINRA Rule 7600B in order to modify fees and transaction credits that are applicable to members who use the FINRA/NYSE Trade Reporting Facility.
  • November 2: SEC proposal to amend disclosure requirements that "may have become redundant, duplicative, overlapping, outdated, or superseded."
  • November 11: MSRB request for public input on the core priorities that determine the strategic direction of the organization.
  • November 14: MSRB draft amendments to MSRB Rule G-3 that require municipal advisors to establish continuing education requirements for associated persons who are qualified as municipal advisor representatives or municipal advisor principals.
  • November 14: OCC proposal that would address the conduct of receiverships for national banks that are not insured by the FDIC (i.e., uninsured banks) and for which the FDIC would not be appointed as receiver.
  • November 14: FERC proposal that would amend the Energy Labeling Rule to require labels for portable air conditioners, large-diameter and high-speed small diameter ceiling fans, and instantaneous electric water heaters.

Effective Dates

  • November 1: SEC amendments to Rule 13n-4 under the Securities Exchange Act that are related to regulatory access to security-based swap data held by security-based swap data repositories.
  • November 7: New FINRA Rule 4554 that requires alternative trading systems ("ATSs") to submit additional ATS-specific data elements in existing reports for orders in National Market System stocks (i.e., listed stocks).
  • November 9: CFTC consolidation and revision of several notices of systems of records under the Privacy Act of 1974.
  • November 11: FINRA Rule 2273 that establishes the obligation to deliver an educational communication in connection with firm recruitment practices and account transfers.
  • November 14: CFPB clerical and non-substantive corrections to errors identified in Regulation E, which implements the Electronic Fund Transfer Act.

Compliance Deadlines

  • November 3: SEC Regulation Systems Compliance and Integrity for Industry- or Sector-Wide Coordinated Testing Requirement.

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