Reg. Tracker: December 16 To December 31

The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and expiration dates. Click on the links below to view deadlines from December 16 to December 31, 2017.

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

Comment Deadlines

• December 18: FINRA – Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
• December 18: FINRA – Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
• December 19: FINRA – Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433
• December 26: OCC, FRB and FDIC – Simplifications to the Capital Rule Pursuant to the Economic Growth and Regulatory Paperwork Reduction Act of 1996
• December 26: OCC – Annual Stress Test-Technical and Conforming Changes
• December 29: NCUA – Capital Planning and Supervisory Stress Testing

Compliance Dates

• December 18: FINRA – 2018 Renewal Program – Full payment of Preliminary Statements is due

Effective Dates

• December 22: NCUA – Corporate Credit Unions
• December 26: FSOC – Freedom of Information Act Regulations

Reporting Deadlines

• December 26: FINRA – Monthly and Fifth FOCUS Part II/IIA Filings for Period Ending November 30, 2017
• December 29: FINRA – Supplemental Inventory Schedule Form Filings for Month Ending November 30, 2017

Expiration Dates

• December 31: CFTC – Letter 16-81: Time-Limited No-Action Relief from Certain Provisions of the Treatment of Outward-Facing Swaps Condition in the Inter-Affiliate Exemption
• December 31: CFTC – Letter 16-80: Extension of Time-Limited No-Action Relief from Commodity Exchange Act Section 2(h)(8) for Swaps Executed Between Certain Affiliated Entities that Are Not Exempt from Clearing Under Commission Regulation 50.52
• December 31: SEC – Temporary Exemption to Covered Clearing Agencies From Compliance With Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) Under the Securities Exchange 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.