Reg. Tracker: September 1 to September 15

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

Effective Dates

• September 1: Comptroller, Farm Credit Administration, FDIC, Fed. Res. Board / Banks, FHFA - Margin and Capital Requirements for Covered Swap Entities

• September 8: CFTC - Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

• September 14: FINRA - Updated Security Futures Risk Disclosure Statement

• September 14: FINRA - Rule Amendments to "Incentivize Payment" of Arbitration Awards

Compliance Dates

• September 1: OCC, FRB, FDIC, FCA, and FHFA - Initial Margin Requirements for Other Covered Swap Entities Agencies

• September 1: CFTC - Margin Requirements for Uncleared Swaps

• September 15: CFTC - CFTC Letter 19-17

Comment Deadlines

• September 3: Comptroller - National Banks and Federal Savings Associations as Lenders

• September 8: CFPB - Qualified Mortgage Definition Under the Truth in Lending Act (Regulation Z): General QM Loan Definition

• September 8: CFTC - Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

• September 14: FINRA - Proposed TRACE Reporting and Portfolio Trade Rule Amendments

For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact Cheryl Kuntz.