Reg. Tracker: March 1 to March 15

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, expiration dates and delayed actions. Click on the links below to view deadlines from March 1, 2020 to March 15, 2020.

For continuous real-time updates, please consult the Cabinet Regulatory Calendar.

Comment Deadlines

• March 2: CFTC - Post-Trade Name Give-Up on Swap Execution Facilities

• March 3: CFTC - Capital Requirements of Swap Dealers and Major Swap Participants

• March 4: FINRA - Rule Change To Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants That Use the FINRA/Nasdaq Trade Reporting Facility

• March 9: FCA - District Financial Reporting

• March 9: CFTC - Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

• March 9: FINRA - Effectiveness and Efficiency of Its Reporting Requirements Rule

• March 15: SEC - Rule Amendments Designed to Expand Access to Private Capital Markets

Compliance Dates

• March 1: NFA - Customer Information and Risk Disclosure Requirements

Expiration Dates

• March 5: Treasury - Interim CFIUS Regulations for FIRRMA Implementation

Delayed Actions

• Delayed from March 9, 2020 to April 8, 2020: OCC and FDIC Comment Deadline: Propose Amendments to Community Reinvestment Act

For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact William Sadd at +1 (212) 993-2818 or [email protected].