Reg. Tracker: November 16 to November 30

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

Comment Deadlines

• November 16: FinCEN - Enhancing AML Programs
• November 20: Fed. Res. Board - Amendments to Capital Planning and Stress Testing Requirements for Large Bank Holding Companies, Intermediate Holding Companies and Savings and Loan Holding Companies
• November 23: FINRA - Procedures to Address Qualification Exam Misconduct
• November 25: FDIC - Removal of Transferred OTS Regulations Regarding Certain Subordinate Organizations of State Savings Associations
• November 30: Small Business Administration - Regulatory Reform Initiative: Small Business Investment Company-Regulatory Streamlining

Effective Dates

• November 19: CFPB - Payday, Vehicle Title, and Certain High-Cost Installment Loans; Delay of Compliance Date; Correcting Amendments
• November 20: CFTC - Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
• November 26: OFAC - Amendments to Cuban Assets Control Regulations

Expiration Dates

• November 19: CFTC - Reporting Relief Relating to CCP Discounting Shift
• November 30: CFTC - No-Action Relief for Swap Execution Facilities from Time Requirements Relating to ACRs and Financial Reports

Compliance Date

• November 30: MSRB - Revised Interpretive Notice of Underwriters’ Fair Dealing Obligations to Issuers

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