Reg. Tracker: December 16 to December 31

The Cabinet Regulatory Tracker is a list of comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from December 16, 2021 to December 31, 2021.

Comment Deadlines

• December 17: FINRA - TBA Margin Requirements
• December 20: SEC - Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F (2021-12-20)
• December 21: FINRA - Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements
• December 22: SEC - Updating EDGAR Filing Requirements
• December 27: SEC - Proxy Voting Advice
• December 28: FINRA - Proposed Rule Change To Amend Rule 6730 To Require Members To Append Modifiers to Delayed Treasury Spot and Portfolio Trades When Reporting to TRACE

Effective Dates

• December 18: USPTO - Changes To Implement Provisions of the Trademark Modernization Act of 2020
• December 27: NCUA - Chartering and Field of Membership-Shared Facility Requirements

Expiration Dates

• December 31: FINRA - Temporary Rule Amendments to Allow Virtual Hearings
• December 31: CFTC - Brexit-Related Relief to UK Entities

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