Reg. Tracker: August 1 to August 15

The Cabinet Regulatory Tracker is a list of effective dates, compliance dates and comment deadlines. Click on the links below to view deadlines from August 1, 2021, to August 15, 2021.

Effective Dates

• August 1: SEC - Amendments Regarding Registration Fee Payments by Interval Funds and Certain Exchange-Traded Products to Offering Process for BDCs and Closed-End Funds

• August 1: SEC - Securities Offering Reform for Closed-End Investment Companies

• August 2: NCUA - Transition to the Current Expected Credit Loss Methodology

Compliance Dates

• August 2: MSRB - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Compliance Date of Amended Form G-32

• August 6: SEC - Cross-Border Application of Certain Security-Based Swap Requirements

• August 9: SEC - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

Comment Deadlines

• August 4: FINRA - Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting

• August 9: DOL - Reopening of Comment Period for Proposed Amendments to Class Prohibited Transaction Exemptions To Remove Credit Ratings Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act

• August 10: Federal Reserve Board - Collection of Checks and Other Items by Federal Reserve Banks and Funds Transfers Through Fedwire

• August 10: FINRA - Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules

• August 11: Federal Reserve Board - Debit Card Interchange Fees and Routing

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