Reg. Tracker: April 16 to April 30

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, delayed actions and effective dates. Click on the links below to view deadlines from April 16, 2020 to April 30, 2020.

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

Comment Deadlines

• April 20: CFTC - Swap Execution Facility Requirements and Real-Time Reporting Requirements
• April 20: FINRA - Proposed Enhancements to Continuing Education Requirements
• April 23: FINRA - Extended Pilot Program Deadline for Transactions in Exchange-Listed Securities
• April 28: SEC - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
• April 29: CFTC - Position Limits for Derivatives
• April 29: MSRB - Extended Comment Deadline on Proposed Board Governance Amendments Due to COVID-19
• April 30: FINRA - Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting)

Delayed Action

• Delayed from October 18, 2019 to April 20, 2020: FINRA Expiration Date - Pilot Deadline for Transactions in Exchange-Listed Securities in 2020

Effective Date

• April 27: SEC Effective Date - Accelerated Filer and Large Accelerated Filer Definitions

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].