Reg. Tracker: December 1 to December 15

The Cabinet Regulatory Tracker is a list of comment and reporting deadlines. Click on the links below to view deadlines from December 1, 2021, to December 15, 2021.

Comment Deadlines

• December 1: SEC - Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes

• December 6: FINRA - Proposed Order Routing Disclosures for OTC Equity Securities

• December 8: Small Business Administration - National Defense Authorization Act of 2020, Definition of Surviving Spouse for Service-Disabled Veteran-Owned Small Businesses and Change to 8(a) Business Development Contracting Thresholds

• December 10: Treasury - Regulations Pertaining to Certain Investments in the United States by Foreign Persons and Regulations Pertaining to Certain Transactions by Foreign Persons Involving Real Estate in the United States

• December 13: DOL, EBSA - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights

• December 14: SEC - Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers

Reporting Deadline

• December 13: SEC - Full coverage of equities and options reporting for large and small broker-dealers

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