The Cabinet Regulatory Tracker provides a list of upcoming effective dates, reporting deadlines, compliance deadlines, expiration dates, comment deadlines and meeting dates. Click on the links below to view deadlines from May 1 to May 14, 2017.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Effective Dates
Reporting Deadlines
- May 1: FINRA – Annual Audit Report for Period Ending on February 28, 2017
- May 2: FINRA – Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Filings for Quarter Ending on March 31, 2017
Compliance Deadlines
Expiration Dates
Comment Deadlines
- May 1: FINRA – Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
- May 1: CFTC – Regulation Automated Trading
- May 4: Consumer Financial Protection Bureau – Amendments to Equal Credit Opportunity Act (Regulation B) Ethnicity and Race Information Collection
- May 8: CFTC – Notice of Intent to Renew Collection 3038-0103, Ownership and Control Reports, and Forms 102/102S, 40/40S and 71 (Trader and Account Identification Reports)
- May 9: National Credit Union Administration – Alternative Capital
Meeting Dates
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
