Reg. Tracker: September 1 to September 15

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

Effective Dates

• September 1: BCBS-IOSCO - Phase 5 of Uncleared Margin Implementation

• September 1: FINRA - Complete Replacement of OATS by Consolidated Audit Trail

• September 1: FINRA - Rules to Further Restrict "Bad Boys": 1000 and 100 Series

Expiration Dates

• September 1: FINRA - Margin Requirements for Credit Default Swaps

• September 1: SEC - Temporary Amendments to Regulation Crowdfunding; Extension

• September 1: FINRA - Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)

Comment Deadlines

• September 9: FRB - Collection of Checks and Other Items by Federal Reserve Banks and Funds Transfers Through Fedwire (Regulation J), Extension of Comment Period

• September 10: MSRB - Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G- 48, on Transactions With Sophisticated Municipal Market Professionals, To Amend Certain Dealer Obligations

• September 10: FINRA - Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036

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