Reg. Tracker: September 1 to September 15

The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates and effective dates. Click on the links below to view deadlines from September 1, 2019 to September 15, 2019.

Comment Deadlines

• September 7: FINRA - ATS Fixed Income Trading Volume

• September 13: CFTC - Proposed Changes to DCO Regulations

Compliance Date

• September 1: OCC, FRB, FDIC, FCA, and FHFA - Initial Margin Requirements for Covered Swap Entities Agencies; Daily Aggregate Notional Amount of Covered Swaps Exceeding $0.75 Trillion

• September 1: CFTC - Margin Requirements for Uncleared Swaps

Effective Dates

• September 3: CFPB and FRB - Amendments to Regulation CC - Availability of Funds and Collection of Checks

• September 10: SEC - Regulation Best Interest

• September 10: SEC - Form CRS Relationship Summary; Amendments to Form ADV

• September 13: SEC - Amendment to Codify An Exemption to Rating Agency Disclosure Obligations

For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact William Sadd.