Reg. Tracker: September 16 to September 30
The Cabinet Regulatory Tracker is a list of effective dates, comment deadlines and expiration dates. Click on the links below to view items with key dates from September 16, 2020 to September 30, 2020.
Effective Dates
- September 16: FINRA - Revised Filing Process for Underwriting Terms
- September 21: FDIC - Incorporation of Existing Statement of Policy Regarding Requests for Participation in the Affairs of an Insured Depository Institution by Convicted Individuals
- September 22: CFTC - Post-Trade Name Give-Up on Swap Execution Facilities
- September 30: FRB - Control and Divestiture Proceedings
Comment Deadlines
- September 28: Small Business Administration - Appeals of SBA Loan Review Decisions Under the Paycheck Protection Program
- September 29: SEC - Reporting Threshold for Institutional Investment Managers
Expiration Dates
- September 30: CFTC - COVID-19-Related No-Action Relief
- September 30: CFTC - Temporary Relief for Foreign Brokers Acting as IBs
- September 30: CFTC - Temporary Relief from Registration Fingerprint Requirement
- September 30: NFA - Recordkeeping Compliance Relief for Members
- September 30: SEC - Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
For general information about the Cabinet, or for information about individual and enterprise membership pricing, please contact Cheryl Kuntz.