Reg. Tracker: September 1 To September 15 2018

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from September 1 to September 15.

For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.

Comment Deadlines

• September 4: CFTC – Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
• September 4: FRB - New Message Format for the Fedwire® Funds Service
• September 5: SEC – Order Granting Petition to Review the Adoption of FINRA Rule 1113 and the Amendment of FINRA Rule 9520
• September 7: IOSCO – Incentives to Centrally Clear Over-the-Counter (OTC) Derivatives
• September 7: NCUA – Risk-Based Capital-Supplemental Rule
• September 10: Treasury – Ongoing Data Collection of Centrally Cleared Transactions in the U.S. Repurchase Agreement Market
• September 13: FCA – Standards of Conduct and Referral of Known or Suspected Criminal Violations; Standards of Conduct
• September 13: FINRA – Proposal to Remove TRACE Connectivity Option
• September 13: FINRA – FINRA to Modify Trade Reporting Regime for Agency Debt Securities
• September 14: MSRB – Draft Frequently Asked Questions Regarding Use of Social Media under MSRB Advertising Rules
• September 14: FRB - Resolution Planning Guidance for Eight Large, Complex U.S. Banking Organizations

Effective Dates

• September 1: FINRA – FINRA/Nasdaq Trade Reporting Facility Reporting Fees
• September 1: NCUA – Chartering and Field of Membership
• September 5: FINRA – Proposed Rule Change To Amend Security Futures Risk Disclosure Statement To Reflect the T+2 Settlement Cycle
• September 10: SEC – Smaller Reporting Company Definition
• September 10: SEC – Investment Company Liquidity Disclosure
• September 10: FHFA - Repeal of Federal Housing Finance Board Regulations; Technical Amendments to FHFA Regulations
• September 13: FERC – Interstate and Intrastate Natural Gas Pipelines; Rate Changes Relating to Federal Income Tax Rate

Expiration Dates

• September 8: FinCEN – Temporary Relief from Beneficial Ownership Rule for Existing Financial Products with Automatic Rollovers or Renewals

For general information about the Cabinet, please contact William Sadd.

For more information about individual and enterprise membership pricing, please contact Danielle Taylor.

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.