Reg. Tracker: October 1 to October 15

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

Effective Dates

• October 1: FINRA - New Requirements for Inter-Dealer Quotation Systems, Shuts Down OTC Bulletin Board Service

• October 1: SEC - Registration Fee Rate for Fiscal Year 2022

• October 6: NFA - Swap Dealer Capital Requirements

• October 6: NFA - Late Fee Amendment and Interpretive Notice on Certain IM Model-Related Filings

• October 13: FTC - Prescreen Opt-Out Notice Rule

Comment Deadlines

• October 4: FDIC - Simplification of Deposit Insurance Rules

• October 5: FINRA - Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036

• October 7: MSRB - Proposed Extension for Municipal Advisor Principal Qualification Examination

• October 12: FINRA - Proposed Extension of Remote Inspection Relief

• October 13: FINRA - Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults)

• October 15: NCUA - Capital Adequacy: The Complex Credit Union Leverage Ratio; Risk-Based Capital

Compliance Date

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

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