The Cabinet Regulatory Tracker provides a list of upcoming effective dates, reporting deadlines, compliance deadlines, meeting dates and expiration dates. Click on the links below to view deadlines from April 16 to April 30, 2017.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Effective Dates
- April 20: The SEC is adopting amendments to modernize Rule 147 under the Securities Act of 1933, which provides a safe harbor for compliance with the Section 3(a)(11) exemption from registration for intrastate securities offerings. The SEC also is establishing a new intrastate offering exemption under the Securities Act that is designated as Rule 147A.
Reporting Deadlines
- April 25: FINRA Form Custody filing deadline for the quarter ending on March 31, 2017.
- April 25: FINRA Quarterly FOCUS Part II/IIA filing deadline for the period ending on March 31, 2017.
- April 28: FINRA Supplemental Statement of Income filing deadline for the quarter ending on March 31, 2017.
- April 28: FINRA Supplemental Inventory Schedule filing deadline for the month ending on March 31, 2017.
Compliance Deadlines
- April 30: FDIC, the Office of the Comptroller of the Currency, and the Board of Governors of the Federal Reserve System: Q1 Call Reports. No extensions of time will be granted.
Meeting Dates
- April 25: CFTC Market Risk Advisory Committee will consider Centralized Counterparty Risk Management Subcommittee recommendations, cybersecurity trends, and the functioning of the derivatives markets.
Expiration Dates
- April 21: SEC pilot period concludes for the "Limit Up-Limit Down" plan to prevent trading pauses.
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.
