The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from May 16 to May 31, 2018.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- May 18: SEC - Investment Company Liquidity Disclosure
- May 21: NCUA - Federal Credit Union Bylaws
- May 21: NCUA - Suspension and Debarment Procedures
- May 21: OCC, Treasury - Regulatory Capital Rules: Regulatory Capital, Enhanced Supplementary Leverage Ratio Standards for U.S. Global Systemically Important Bank Holding Companies
- May 23: FINRA - New Rate for Fees Paid Under Section 31 of the Exchange Act
- May 25: SEC - Transaction Fee Pilot for NMS Stocks
- May 29: FINRA - Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent
- May 29: FINRA - Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210
- May 29: FINRA - Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule
Effective Dates
- May 22: FINRA - New Rate for Fees Paid Under Section 31 of the Exchange Act
- May 23: Treasury - Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority
- May 25: NCUA - Accuracy of Advertising and Notice of Insured Status
- May 30: FINRA - Rule Change Relating to Statutory Disqualification Application Fees
For general information about the Cabinet, please contact William Sadd.
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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.