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Reg Tracker: March 1 through March 15

The Cabinet Regulatory Tracker provides a list of significant effective dates and comment deadlines. Click on the links below to view deadlines from March 1 through March 15.

Effective Dates

  • March 1: CFTC's authorization of the NFA to receive, review, maintain and serve as the official custodian of records for notices provided by swap dealers and major swap participants of swap valuation disputes in excess of $20 million U.S. dollars.
  • March 1: NFA Cybersecurity Interpretive Notice requiring firms to adopt and enforce written policies and procedures to secure customer data and access to their electronic systems.
  • March 7: MSRB General Securities Sales Supervisor Qualification Examination ("Series 9/10").

Comment Deadlines

  • March 2: MSRB-proposed revisions to the content outline for the Municipal Securities Sales Principal ("Series 9/10") examination program.
  • March 6: MSRB-proposed draft amendments to MSRB Rule G-12 ("Uniform Practice").
  • March 7: Rebuttals to the comments on the FINRA proposal to establish margin requirements for to-be-announced transactions.
  • March 7: FDIC-revised notice of proposed rulemaking regarding the refinement of the deposit insurance assessment system.
  • March 11: SEC Securities Investor Protection Act ("SIPA") determination regarding the standard maximum cash advance amount to be used to satisfy customer claims for cash in a SIPA liquidation proceeding.

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
[email protected]
212-993-2818

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