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 December 16 and December 31.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- December 19: FERC: Revisions to Indexing Policies and Page 700 of FERC Form No. 6
- December 19: CFTC: Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
- December 19: FINRA: Immediately Effective Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
- December 21: FHFA: Indemnification Payments
- December 22: FINRA: Immediately Effective Rule to Extend the Tier Size Pilot of FINRA Rule 6433
- December 22: FRB: Regulations Q and Y; Risk-Based Capital and Other Regulatory Requirements for Activities of Financial Holding Companies Related to Physical Commodities and Risk-Based Capital Requirements for Merchant Banking Investments
- December 27: FINRA: Immediately Effective Amendments to FINRA Rule 6191 to Modify the Website Data Publication Requirements
Effective Dates
- December 27: NCUA: Community Development Revolving Loan Fund
- December 27: CFTC: Commodity Pool Operator Financial Reports
- December 30: Treasury: Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority
- December 30: FINRA and ISG: Modifications to Certain Electronic Blue Sheet Data Elements
Reporting Deadlines
- December 30: FINRA: Annual Audit Report for Period Ending on October 31, 2016
Compliance Deadlines
- December 16: FINRA: 2017 Renewal Program – Full Payment on Preliminary Statements Due
Expiration Dates
- December 31: SEC: Rule 206(3)-3T under the Investment Advisers Act
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.