The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and delayed actions. Click on the links below to view deadlines from December 1, 2019 to December 15, 2019.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- December 2: FTC - Rule Concerning the Use of Prenotification Negative Option Plans
- December 2: SEC - Update of Statistical Disclosures for Bank and Savings and Loan Registrants
- December 2: FDIC - Removal of Transferred OTS Regulations Regarding Certain Regulations for the Operations of State Savings Associations
- December 3: FINRA - Partial Amendment No. 1, To Amend FINRA Rule 5130 and FINRA Rule 5131
- December 9: OCC, FCA, FDIC, FRB, FHFA and Treasury - Margin and Capital Requirements for Covered Swap Entities
- December 9: NCUA - Chartering and Field of Membership
- December 10: SEC - Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
Effective Dates
- December 2: NCUA - Payday Alternative Loans
- December 3: SEC - Solicitations of Interest Prior to a Registered Public Offering
- December 12: MSRB - New Exam Requirement for Municipal Advisor Principals
- December 12: FINRA - Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend FINRA Rule 5130 and FINRA Rule 5131
- December 14: FinCEN - Imposition of Fifth Special Measure Against the Islamic Republic of Iran as a Jurisdiction of Primary Money Laundering Concern
Compliance Dates
- December 1: SEC - Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
Delayed Actions
- Delayed from December 1, 2019 to January 1, 2020: OCC Effective Date - Other Real Estate Owned and Technical Amendments
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.