The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from October 15 to October 31.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- October 17: MSRB - Application of Content Standards to Advertisements by Municipal Advisors under MSRB Rule G-40
- October 17: OCC, Board, FDIC, SEC, and CFTC - Proposed amendments to the regulations implementing Section 13 of the Bank Holding Company Act
- October 23: FCA - Organization; Definitions; Eligibility Criteria for Outside Directors
- October 26: FHFA - Federal Home Loan Bank Operations and Authorities-Financing Corporation Assessments
- October 26: FDIC - Limited Exception for a Capped Amount of Reciprocal Deposits From Treatment as Brokered Deposits
- October 29: OCC, FDIC, FRB and Treasury - Expanded Examination Cycle for Certain Small Insured Depository Institutions and U.S. Branches and Agencies of Foreign Banks
- October 29: FRB - Amendments to Small Bank Holding Company and Savings and Loan Holding Company Policy Statement and Related Regulations
- October 29: SEC - Amendment to Single Issuer Exemption for Broker-Dealers
- October 30: MSRB - MSRB Proposes More Qualification Requirements for Municipal Advisor Principals
- October 31: SEC - Fund Retail Investor Experience and Disclosure
- October 31: SEC - Processing Fees Charged By Intermediaries For Distributing Materials Other Than Proxy Materials To Fund Investors
Effective Dates
- October 29: FINRA - Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se
- October 30: SEC - SEC Adopts Rule Amendments to Increase Transparency in Municipal Securities Markets
- October 31: NFA Effective Date - Proposed Interpretive Notice - Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities
Expiration Dates
- October 29: SEC - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
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.
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.
