Reg. Tracker: March 16 to March 31

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates, delayed actions and reporting deadlines. Click on the links below to view deadlines from March 16, 2020 to March 31, 2020.

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

Comment Deadlines

• March 16: SEC - Resource Extraction Disclosure Rules

• March 16: FDIC - Incorporation of Existing Statement of Policy Regarding Requests for Participation in the Affairs of an Insured Depository Institution by Convicted Individuals

• March 16: SEC - Amendments to Rule 2-01, Qualifications of Accountants

• March 18: FINRA - FINRA Proposes Minimum Fees for Arbitration Expungement Requests

• March 23: FCA - Amortization Limits

• March 23: USPTO - Small Entity Government Use License Exception

• March 24: SEC - Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged...

• March 30: FINRA - Proposed Amendments to the Capital Acquisition Broker (CAB) Rules

• March 30: MSRB - Draft Amendments to MSRB Rule A-3 - Membership on the Board

• March 30: NCUA - Combination Transactions With Non-Credit Unions; Credit Union Asset Acquisitions

• March 30: USPTO - Facilitating the Use of WIPO's ePCT System To Prepare International Applications for Filing With the United States Receiving Office

Effective Date

• March 16: FINRA - FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface ("CTCI") as a Technological Option for TRACE Reporting

Delayed Action

• Delayed from March 25, 2019 to March 25, 2020: FINRA Effective Date - TBA Margin Requirements

Reporting Deadline

• March 31: NFA - PR Form Filing Relief

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].