The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and compliance dates. Click on the links below to view deadlines from November 16, 2019 to November 30, 2019.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- November 18: FCA - Amendments to Investment Regulations for FCA System Associations
- November 18: CFTC - Proposed Amendment to Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
- November 22: CFTC - Amendments to Exemptions From Derivatives Clearing Organization Registration
- November 22: DOL, ERISA - Default Electronic Disclosure by Employee Pension Benefit Plans Under ERISA
- November 22: FCA - Implementation of the Current Expected Credit Losses Methodology for Allowances, Related Adjustments to the Tier 1/Tier 2 Capital Rule, and Conforming Amendments
- November 29: SEC - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
- November 29: FINRA - Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210
- November 24: OCC - Amendments to the Stress Testing Rule for National Banks and Federal Savings Associations
- November 24: Dodd-Frank - 12 USC 5365 - Enhanced supervision and prudential standards for nonbank financial companies supervised by the Board of Governors and certain bank holding companies
- November 24: SAFE Act - Section 5112 - Liability provisions
- November 25: FDIC - Amendments to Limit Scope of Stress Testing Requirement
- November 26: CFTC - Position Limits and Position Accountability for Security Futures Products
Compliance Dates
- November 25: FRB, FDIC and OCC - Company Run Stress Testing Regulatory Requirements for <$100 billion Depository Institutions
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.