Reg. Tracker: October 1 to October 15

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

Effective Dates

• October 1: MSRB - Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance

• October 1: Comptroller - Community Reinvestment Act Regulations

• October 1: CFTC, Comptroller, FDIC, Fed. Res. Board / Banks and SEC - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

• October 1: CFTC, Comptroller, FDIC, Fed. Res. Board / Banks and SEC - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction

• October 2: Patent and Trademark Office - Setting and Adjusting Patent Fees During Fiscal Year 2020

• October 5: OFAC - Inflation Adjustment of Civil Monetary Penalties Related to Reporting and Recordkeeping

• October 14: NCUA - Chartering and Field of Membership

• October 15: Fed. Res. Board / Banks - Rules Regarding Availability of Information

Comment Deadlines

• October 1: IOSCO - Updated Outsourcing Guidelines

• October 5: OFAC - Inflation Adjustment of Civil Monetary Penalties Related to Reporting and Recordkeeping

• October 5: DOL and EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights

• October 9: FINRA - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Standardized Membership Application Forms - Form NMA and Form CMA - To Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA- 2019-030

Compliance Date

• October 5: FINRA - Exclusive Use of "FinPro" for Collaborative Registering

Expiration Date

• October 15: Comptroller - Assessment of Fees

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