The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance deadlines, reporting deadlines and effective dates. Click on the links below to view deadlines from September 16 to September 30, 2017.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- September 18: IOSCO - Liquidity Risk Management for Funds
- September 21: MSRB - Draft Amendments to MSRB Form G-45 under Rule G-45, on Reporting of Information on Municipal Fund Securities
- September 21: OCC - Proprietary Trading and Certain Interests in and Relationships with Covered Funds (Volcker Rule)
- September 22: FINRA - Proposed Rule Change to Implement a New Electronic Form 211
- September 25: OCC, FRB & FDIC - Regulatory Capital Rules: Retention of Certain Existing Transition Provisions for Banking Organizations That Are Not Subject to the Advanced Approaches Capital Rules
- September 25: SEC - Regulatory Flexibility Agenda
- September 29: NCUA - Emergency Mergers-Chartering and Field of Membership
- September 29: OCC, FRB and FDIC - Real Estate Appraisals
- September 30: CFTC - Project KISS
Compliance Deadlines
- September 19: CFTC - System Safeguards Testing Requirements for Derivatives Clearing Organizations; Rule 39.18(e)(3) through (5), and (7)
- September 19: CFTC - System Safeguards Testing Requirements; Controls Testing Requirements, Penetration Testing Requirements, Enterprise Technology Risk Assessment Requirements, Business Continuity-Disaster Plans
Effective Dates
- September 18: CFPB - Arbitration Agreements
- September 18: FINRA - Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
- September 26: FINRA - Monthly and Fifth FOCUS Part II/IIA Filings for Period Ending August 31, 2017
- September 29: FINRA - Annual Audit Report for Period Ending July 31, 2017
- September 29: FINRA - Supplemental Inventory Schedule Form Filings for Month Ending August 31, 2017
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.