Bimonthly Reminder of Upcoming Dates and Deadlines – November 15 through November 30

Please see the Cabinet's list of significant effective dates, comment deadlines and filing deadlines. For more information on upcoming dates and deadlines, visit the Cabinet's Rule Calendars (available to subscribers only).

Effective Dates

• November 30: All new requests to FINRA for the approval of proposed subordinated loan agreements and secured demand note agreements, including renewals of existing agreements, must be submitted in electronic form through Firm Gateway, pursuant to FINRA Rule 4517(a)("Member Filing and Contact Information Requirements") (FINRA Reg. Notice 15-42).

Comment Deadlines

• November 17: Filing and immediate effectiveness of proposed rule change relating to the reporting of OTC transactions in Exchange-Traded Managed Fund Shares ("NextShares") (80 FR 65838).

  • Submit comments to the SEC

• November 18: Proposed the adoption of FINRA Funding Portal Rules 100, 110, 200, 300, 800, 900 and 1200 (collectively, the "Funding Portal Rules"), related forms and new FINRA Rule 4518 ("Notification to FINRA in Connection with the JOBS Act") (FINRA Reg. Notice 13-34) (80 FR 66348).

  • Submit comments to the SEC

• November 19: MSRB proposed amendments Rule A-3 ("Membership on the Board") to lengthen the term of board member service from three years to four (MSRB Reg. Notice 2015-18).

  • Submit comments to the MSRB

• November 20: MSRB draft rule amendments to Rule G-15 ("Confirmation, Clearance, Settlement and Other Uniform Practice Requirements with Respect to Transactions with Customers") to require broker-dealers and municipal dealers to disclose the mark-up or mark-down on retail customer confirmations for specified principal transactions (MSRB Reg. Notice 2015-16).

  • Submit comments to the MSRB

• November 23: Proposed CFTC amendment in connection with the material terms for which counterparties must resolve discrepancies when engaging in portfolio reconciliation (80 FR 57129).

  • Submit comments to the CFTC

• November 30: FINRA proposed rules intended to address the financial exploitation of seniors and other vulnerable adults (FINRA Reg. Notice 15-37).

  • Submit comments to the SEC

Filing Deadlines

• November 24: Monthly and Fifth FOCUS II/IIA Report filing deadline for the period ending on October 31, 2015.

  • eFOCUS filing submission guidance

• November 30: FINRA Annual Audit Report filing deadline for fiscal years ending on September 30, 2015.

• November 30: FINRA SIS Form filing deadline for the period ending on October 31, 2015.

For general information about the Cabinet, please do not hesitate to contact Steven Lofchie.

For more information about individual and enterprise membership pricing, please contact:

William Sadd

Financial Services Project Manager

[email protected]

212-504-6770