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 October 1 and October 15, 2016.
For continuous real-time updates, please refer to the Cadwalader Cabinet Calendar.
- October 1: OCC, Federal Reserve Board, FDIC, FCA, and FHFA final exemptions from the initial and variation margin requirements published by the Agencies in November 2015 pursuant to Sections 731 and 764 of Dodd-Frank.
- October 3: FINRA expansion of alternative trading system ("ATS") transparency initiative to publish monthly information on block-size trades occurring on ATSs.
- October 3: FINRA adoption of FINRA Rule 6191(a) to implement the quoting and trading requirements of the Plan to Implement Tick Size Pilot Program submitted to the SEC pursuant to Rule 608 of Regulation NMS.
- October 5: FERC modification to the pro forma Small Generator Interconnection Agreement ("SGIA").
- October 11: SEC amendments to Regulation SBSR – Reporting and Dissemination of Security-Based Swap Information.
- October 3: SEC proposal to amend disclosure requirements that "may have become redundant, duplicative, overlapping, outdated, or superseded" in light of other (i) SEC disclosure requirements, (ii) U.S. Generally Accepted Accounting Principles ("U.S. GAAP"), and (iii) International Financial Reporting Standards, given the "changes in the information environment."
- October 4: MSRB proposal to require brokers, dealers and municipal securities dealers to disclose mark-ups and mark-downs to retail customers on certain principal transactions and to provide dealers guidance on prevailing market prices for the purpose of calculating mark-ups and mark-downs and other MSRB Rule G-30 determinations.
- October 11: Treasury revised interim rule implementing the Bank Enterprise Award Program, which is administered by the Community Development Financial Institutions Fund.
- October 14: FDIC, the Federal Financial Examination Council and other banking agencies' proposal to: (i) streamline the Consolidated Reports of Condition and Income ("Call Reports") for eligible small institutions, and (ii) reduce the regulatory burden of the remaining two versions of Call Reports.
- October 5: SEC extension of exemption for SDR Rules previously granted on March 18, 2016.
- October 14: CFTC interpretation with regard to Part 39 in light of amendments to Investment Company Act Rule 2a-7.
- October 14: SEC compliance dates for the floating NAV and liquidity fees and gates amendments, including any related amendments to disclosure.
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.