Reg. Tracker: June 16 through June 30
The Cabinet Regulatory Tracker provides a list of significant comment deadlines, effective dates and compliance deadlines. Click on the links below to view deadlines from June 16 to June 30, 2016.
This article is merely a snapshot of upcoming deadlines. For real-time updates, please refer to the Calendar.
Comment Deadlines
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June 22: MSRB proposal to amend MSRB Rule G-12 ("Uniform Practice") regarding closeout procedures for municipal securities.
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June 23: FINRA proposal to amend FINRA Rule 6433 ("Minimum Quotation Size Requirements for OTC Equity Securities") to extend the Tier Size Pilot.
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June 24: CFTC reopening of comment period for specific elements of Regulation AT that were considered during a staff roundtable discussion.
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June 25: FERC proposal to approve Reliability Standard BAL-002-2 ("Disturbance Control Standard – Contingency Reserve for Recovery from a Balancing Contingency Event"), which was submitted by NERC.
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June 27: NCUA proposal to amend its regulation governing the federal credit union occupancy, planning and disposal of acquired and abandoned premises, as well as its regulation regarding incidental powers.
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June 27: FDIC proposal to facilitate prompt payment of FDIC-insured deposits when large insured depository institutions fail.
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June 28: FINRA proposal to amend FINRA Rule 2242 ("Debt Research Analysts and Debt Research Reports") in order to clarify the application of the rule.
Effective Dates
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June 23: MSRB Rule G-42 ("Duties for Non-Solicitor Municipal Advisors"), which establishes core standards of conduct for municipal advisors that engage in municipal advisory activities other than solicitation.
Compliance Deadlines
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June 29: FINRA annual audit report filing deadline for the period ending on April 30, 2016.
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