Reg. Tracker: April 1 to April 15

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

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

Comment Deadlines

• April 1: FINRA - Rule Change To Modify the Trade Reporting Fees Applicable to the FINRA/NYSE Trade Reporting Facility
• April 1: OCC, FRB, FDIC, SEC, and CFTC - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
• April 3: Treasury - Filing Fees for Notices of Certain Investments in the United States by Foreign Persons and Certain Transactions by Foreign Persons Involving Real Estate in the United States
• April 8: CORRECTED--Treasury - Filing Fees for Notices of Certain Investments in the United States by Foreign Persons and Certain Transactions by Foreign Persons Involving Real Estate in the United States
• April 8: CFIUS - Proposed Filing Fee for Voluntary Notices of Transactions
• April 8: OCC and FDIC - Proposed Amendments to Community Reinvestment Act
• April 10: FDIC - Unsafe and Unsound Banking Practices: Brokered Deposits Restrictions
• April 15: FINRA - Proposed Rule Change to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
• April 15: FINRA - Amendment to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)

Compliance Date

• April 1: OCC, FRB and FDIC - Regulatory Capital Rule - Capital Simplification for Qualifying Community Banking Organizations

Delayed Action

• Delayed from March 25, 2020 to April 1, 2020: ISDA Comment Deadline - ISDA Extends Response Deadline to Consultation on Pre-Cessation Fallbacks for Derivatives

Effective Dates

• April 1: OCC, FRB and FDIC - Revisions to the Supplementary Leverage Ratio To Exclude Certain Central Bank Deposits of Banking Organizations Predominantly Engaged in Custody, Safekeeping, and Asset Servicing Activities

• April 1: OCC, FRB and FDIC - Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio to Exclude Certain Central Bank Deposits of Banking Organizations Predominantly Engaged in Custody, Safekeeping, and Asset Servicing Activities

• April 1: OCC, FRB and FDIC - Standardized Approach for Calculating the Exposure Amount of Derivative Contracts

• April 1: FRB - Control and Divestiture Proceedings

• April 1: OCC, FDIC and FRB - Regulatory Capital Treatment for High Volatility Commercial Real Estate (HVCRE) Exposures

• April 6: SEC - Risk Mitigation Techniques for Uncleared Security-Based Swaps

• April 6: SEC - Cross-Border Application of Certain Security-Based Swap Requirements

​Expiration Date

• April 15: FinCEN - Certain Individuals Filing FBAR Reports

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].