The Cabinet Regulatory Tracker provides a list of upcoming reporting deadlines, comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from July 16 to July 31, 2017.
For continuous real-time updates, please consult the Cadwalader Cabinet Regulatory Calendar.
Reporting Deadlines
- July 26: FINRA – Form Custody Filing Deadline for Quarter Ending on June 30, 2017
- July 26: FINRA – Quarterly FOCUS Part II/IIA Filings for Period Ending on June 30, 2017
- July 31: FINRA – Supplemental Statement of Income Filing for Quarter Ending on June 30, 2017
- July 31: FINRA – Annual Audit Report for Period Ending on May 31, 2017
- July 31: FINRA – Supplemental Inventory Schedule Form Filings for Month Ending on June 30, 2017
Comment Deadlines
- July 17: FINRA – Immediately Effective Rule Change relating to the Implementation Date for Trade Modifiers when Reporting Transactions in U.S. Treasury Securities
- July 20: FINRA – Immediately Effective Rule Change to Waive Certain TRACE Reporting Fees
- July 20: FINRA-Proposed Rule Change to Amend FINRA Rule 7730 to Make Available New TRACE Security Activity Report
- July 21: FINRA – Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities
- July 24: FINRA – Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240
- July 27: FINRA-Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail – Fee Dispute Resolution)
- July 28: MSRB – Notice of Filing of a Proposed Rule Change to Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements
- July 31: CFTC – Filing, Reporting and Recordkeeping Requirements for Annual Reports and Subpart C Election Forms
Effective Dates
- July 20: CFTC – Revisions to Freedom of Information Act Regulations
- July 23: CFTC – 2016 Schedule of Fees of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
- July 31: National Credit Union Administration – Safe Harbor
- July 31: CFTC – Whistleblower Awards Process
Expiration Dates
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.