Reg. Tracker: June 16 to 30

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

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

Comment Deadlines

• June 22: OIS - Provisions Pertaining to Certain Investments in the United States by Foreign Persons

• June 26: MSRB - Proposed Rule Change To Waive MSRB Market Activity Fees Related to Transactions With the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System

• June 29: NCUA - Central Liquidity Facility

• June 29: FRB - Regulation D: Reserve Requirements of Depository Institutions

• June 29: NCUA - Temporary Regulatory Relief in Response to COVID-19-Prompt Corrective Action

• June 30: NASAA - Proposed Model Whistleblower Award and Protection Act

Compliance Deadlines

• June 30: SEC - Form CRS Relationship Summary; Amendments to Form ADV

• June 30: SEC - Regulation Best Interest

Effective Dates

• June 22: SEC - Amendments to the National Market System Plan Governing the Consolidated Audit Trail

• June 29: FINRA - Allowing Customers to Rescind an Arbitration Claim against Inactive Members

Reporting Deadline

• June 22: SEC - Initial phase-in of equities reporting for large broker-dealers and small broker-dealers reporting to FINRA's Order Audit Trail System

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].