The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, expiration dates, meeting dates, and reporting deadlines. Click on the links below to view deadlines from January 16 to January 31, 2018.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Comment Deadlines
- January 16: CFTC – Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations
- January 16: FERC – Offer Caps in Markets Operated by Regional Transmission Organizations and Independent System Operators
- January 22: FRS – Stress Testing Policy Statement
- January 22: FRB – Enhanced Disclosure of the Models Used in the Federal Reserve's Supervisory Stress Test
- January 22: FRB – Policy Statement on the Scenario Design Framework for Stress Testing
- January 23: FTC – Analysis To Aid Public Comment
- January 24: FRB – Semiannual Regulatory Flexibility Agenda
- January 29: Treasury – Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority
- January 29: FINRA – The Effectiveness and Efficiency of Payments for Market Making Rule
- January 31: FINRA – Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules
Compliance Dates
- January 22: FINRA – 2018 Renewal Program – Full payment of Final Statements is due
- January 31: CFTC – Monthly Risk Data Reporting Requirements for Swap Dealers
Effective Dates
- January 16: CFPB – Payday, Vehicle Title, and Certain High-Cost Installment Loans
- January 16: SEC – Investment Company Reporting Modernization
- January 19: NCUA – Emergency Mergers-Chartering and Field of Membership
- January 22: FRS – Home Mortgage Disclosure
- January 22: FINRA – Technical and Other Non-substantive Changes within FINRA Rules
- January 29: MSRB – Amendments to MSRB Rule G-26 on Customer Account Transfers
Expiration Dates
Meeting Dates
- January 23: CFTC – Technology Advisory Committee
- January 31: CFTC – Market Risk Advisory Committee
Reporting Deadlines
- January 25: FINRA – Quarterly FOCUS Part II/IIA Filings for Period Ending December 31, 2017
- January 25: FINRA – Annual Schedule I Filing for 2017
- January 25: FINRA – Form Custody Filing Deadline for Quarter Ending December 31, 2017
- January 29: FINRA – Annual Audit Report for Period Ending November 30, 2017
- January 30: FDIC – Consolidated Reports of Condition and Income for Fourth Quarter 2017
- January 30: FINRA – Supplemental Inventory Schedule Form Filings for Month Ending December 31, 2017
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.
