Bimonthly Reminder of Upcoming Dates and Deadlines – December 1 through December 15
Please see the Cabinet's list of significant effective dates and comment deadlines. For more information on upcoming dates and deadlines, visit the Cabinet's Reg Tracker (available to subscribers only).
Effective Dates
- December 7: MSRB proposal to adopt Rule G-18, which establishes a best-execution rule for transactions in municipal securities. (MSRB Regulatory Notice)
Comment Deadlines
- December 3: FINRA-proposed rule change relating to mandatory participation in business continuity and disaster recovery testing under Regulation SCI. (80 FR 70042)
- December 4: SEC-proposed amendments to rules governing administrative proceedings that would (i) require persons involved in administrative proceedings to submit all documents and other items electronically and (ii) adjust the timing of hearings in administrative proceedings. (SEC Citation: 34-75977)
- December 11: FINRA-proposed rule that would require members of firms to disclose additional information on customer confirmations for transactions in corporate and agency debt securities. (FINRA Reg. Notice 15-36)
- December 11: MSRB extension of comment deadline on confirmation disclosure proposal in order to align deadline with the comment deadline for FINRA's revised confirmation disclosure proposal. (MSRB Reg. Notice 2015-19)
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