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Reg Tracker: April 1 through April 15

The Cabinet Regulatory Tracker provides a list of significant effective dates, compliance dates, and comment and filing deadlines. Click on the links below to view deadlines from April 1 to April 15.

Comment Deadlines:

  • April 4: SEC, FINRA and International Securities Exchange, LLC Mercury ("ISE Mercury") amendment to the joint industry plan to add ISE Mercury as a sponsor.

  • April 4: MSRB-proposed amendment to modernize the mathematical formula that calculates the dollar price of interest-bearing municipal securities with periodic interest payments that have more than six months to redemption.

  • April 4: SEC, FINRA and ISE Mercury amendment to the Options Order Protection and Locked/Crossed Market Plan that adds ISE Mercury as a participant to the plan.

  • April 4: FINRA-proposed amendments to rules supporting the standard settlement cycle for securities in the U.S. secondary market from T+3 to T+2.

  • April 4: Revisions proposed by the Federal Energy Regulatory Commission ("FERC") to its regulations that require each regional transmission organization and independent system operator to cap each resource's incremental energy offer to the higher of $1,000/MWh or that resource's verified cost-based incremental energy offer.

  • April 14: SEC transfer agent regulations.

  • April 14: SEC-proposed de minimis interpretation of the definition of "automated quotation" under Regulation NMS.

Compliance Dates:

  • April 1: FERC standards for the business practices of interstate natural gas pipeline and coordination of scheduling processes of interstate natural gas pipelines and public utilities.

Effective Dates:

  • April 1: Joint rule by the Office of the Comptroller of the Currency ("OCC"), the Board of Governors of the Federal Reserve ("FRB"), the FDIC, the Farm Credit Administration ("FCA"), and the Federal Housing Finance Agency ("FHFA" and, collectively, the "Agencies") to establish minimum margin and capital requirements for registered swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants for which one of the Agencies is the prudential regulator.

  • April 1: OCC, FRB, FDIC, FCA and the FHFA joint final rule to establish minimum margin and capital requirements for registered swap dealers, major swap participants, security-based swap dealers and major security-based swap participants that are subject to the authority of the Agencies.

  • April 1: CFTC final rules governing margin requirements for uncleared swaps.

  • April 1: OCC, FRB, FDIC, FCA, and FHFA interim final rule regarding margin and capital requirements for covered swap entities agencies.

  • April 2: FINRA expansion of the alternate trading system transparency initiative.

  • April 11: FINRA rule change to amend provisions addressing per-share-estimated valuations for unlisted direct participation programs and real estate investment trust securities.

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William Sadd
[email protected]
(212) 993-2818

Tags

Regulated Products
Swaps / SBS