Reg. Tracker: November 1 to November 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 deadlines from November 1, 2021 to November 15, 2021.
Effective Dates
- November 15: FINRA - Amended Timestamp Trade Reporting Requirements - Alternative Display Facility and Trade Reporting Facilities
- November 15: Patent and Trademark Office Effective Date: Electronic Submission of a Sequence Listing, a Large Table, or a Computer Program Listing Appendix in Patent Applications
Comment Deadlines
- November 1: DOL, EBSA Comment Deadline: Annual Reporting and Disclosure
- November 2: MSRB - Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions with Sophisticated Municipal Market Professionals…
- November 9: FINRA - Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)
- November 12: FINRA - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892
Compliance Date
- November 8: SEC - Regulation SBSR ("Regulatory Reporting and Public Dissemination of Security-Based Swap Information")
Expiration Dates
- November 15: CFTC - No-Action Relief from certain Position Aggregation Requirements under Commission Regulation 150.4
- November 15: CFTC - Exemptive Relief to SEFs for Allocation Information Requirements
For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact William Sadd.