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Reg Tracker: December 15 through December 31

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

Effective Dates

  • December 24, 2015: FINRA amendments to Rule 2241 governing equity research. The adopted rule change also amends NASD Rule 1050 ("Registration of Research Analysts") and NYSE Rule 344 ("Research Analysts and Supervisory Analysts") to create an exception from the research analyst qualification requirements. This effective date is "for all other provisions" (FINRA Reg. Notice 15-30) (80 FR 43482).

Compliance Dates

  • December 24, 2015: SEC, Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System and FDIC rule to implement the credit risk retention requirements pursuant to Exchange Act Section 15G ("Credit Risk Retention") as added by Dodd-Frank Section 941 ("Regulation of Credit Risk Retention") (79 FR 77602).
  • December 31, 2015: CFTC requirement that public accountants must undergo an inspection by the Public Company Accounting Oversight Board in order to qualify for conducting an audit of a futures commission merchant (78 FR 68506).
  • December 31, 2015: CFTC rule requiring all CFTC members registered as introducing brokers, commodity pool operators or commodity trading advisors to become and remain members of at least one registered futures association (i.e., the National Futures Association) (80 FR 55022).

Comment Deadlines

  • December 28, 2015: CFTC request for comments on information collection, specifically on the obligation to maintain records of clearing documentation between a customer and the customer's clearing member.
    • Submit comments to the CFTC

Filing Deadlines

  • December 23, 2015: FINRA Monthly and Fifth FOCUS II/IIA Report filing deadline for the period ending on November 30, 2015.
    • FINRA eFOCUS Filing Submission Guidance
  • December 29, 2015: FINRA SIS Form filing deadline for the period ending on November 30, 2015.
  • December 30, 2015: FINRA Annual Audit Report filing deadline for the period ending on October 31, 2015.
    • FINRA Annual Audit Report information

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

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