Reg Tracker: January 1 through January 15
The Cabinet Regulatory Tracker provides a list of significant effective dates and comment deadlines. The following deadlines are for the period January 1-15.
Effective dates
- January 1, 2015: MSRB Rule A-13 amendments to decrease the underwriting fee in order to adjust certain existing MSRB fees that are applicable to municipal securities dealers and municipal advisors (80 FR 52352) (MSRB Regulatory Notice 2015-13).
- January 4, 2015: FINRA rule change filed with the SEC to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57) (80 FR 41119 - proposed) (80 FR 53369 - adopted).
- January 4, 2015: NFA amendments to NFA Compliance Rule 2-36 to require each Forex Dealer Member to designate a principal to serve as chief compliance officer (NFA Rule Filing with the CFTC) (NFA Notice I-15-21).
Comment Deadlines
- January 11, 2016: The CFTC solicited comments for certain swap data recordkeeping and reporting requirements imposed on the following entities: Swap Dealers, Major Swap Participants, and swap counterparties that are neither swap dealers nor major swap participants (80 FR 69948).
- January 13, 2016: SEC-proposed liquidity risk management rules for mutual and exchange-traded funds (80 FR 62274).
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