The Cabinet Regulatory Tracker is a list of comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from December 16, 2021, to December 31, 2021.
Comment Deadlines
- December 17: FINRA - TBA Margin Requirements
- December 20: SEC - Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F (2021-12-20)
- December 21: FINRA - Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements
- December 22: SEC - Updating EDGAR Filing Requirements
- December 27: SEC - Proxy Voting Advice
- December 28: FINRA - Proposed Rule Change To Amend Rule 6730 To Require Members To Append Modifiers to Delayed Treasury Spot and Portfolio Trades When Reporting to TRACE
Effective Dates
- December 18: USPTO - Changes To Implement Provisions of the Trademark Modernization Act of 2020
- December 27: NCUA - Chartering and Field of Membership-Shared Facility Requirements
Expiration Dates
- December 31: FINRA - Temporary Rule Amendments to Allow Virtual Hearings
- December 31: CFTC - Brexit-Related Relief to UK Entities
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.
