Reg. Tracker: February 1 to February 15

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and delayed actions. Click on the links below to view deadlines from February 1, 2020 to February 15, 2020.

For continuous real-time updates, please consult the Cabinet Regulatory Calendar.

Comment Deadlines

• February 3: SEC - Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice

• February 3: SEC - Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

• February 4: FDIC - Proposed Regulations for Federal Interest Rate Authority

• February 10: SEC - Investment Adviser Advertisements; Compensation for Solicitations

• February 11: FTC and DOJ - Draft Vertical Merger Guidelines for Public Comment

• February 14: FDIC - Incorporation of Existing Statement of Policy Regarding Requests for Participation in the Affairs of an Insured Depository Institution by Convicted Individuals

Effective Dates

• February 1: NFA - Amendments to Interpretive Notice on "Break-Even" Analysis

• February 3: FINRA - FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface ("CTCI") as a Technological Option for TRACE Reporting (PROPOSED)

• February 13: Treasury - Provisions Pertaining to Certain Investments in the United States by Foreign Persons

• February 13: Treasury - Provisions Pertaining to Certain Transactions by Foreign Persons Involving Real Estate in the United States

• February 14: SEC - Recordkeeping and Reporting Requirements for Security-Based Swaps Dealers

• February 15: US Patent and Trademark Office - Changes to the Trademark Rules of Practice To Mandate Electronic Filing

Delayed Actions

• Delayed from February 12, 2020 to September 1, 2021: FINRA Expiration Date: Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)

• Delayed from February 14, 2020 to March 16, 2020: FDIC Comment Deadline: Incorporation of Existing Statement of Policy Regarding Requests for Participation in the Affairs of an Insured Depository Institution by Convicted Individuals

For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact William Sadd at +1 (212) 993-2818 or [email protected].