Apr 12
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N/A
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Apr 13
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N/A
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Apr 14
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N/A
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Apr 15
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Apr 16
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Apr 17
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Apr 18
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Apr 19
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Apr 20
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Apr 21
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Apr 22
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Apr 23
rd
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Apr 24
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Apr 25
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Apr 26
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Apr 27
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Apr 28
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Apr 29
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Apr 30
th
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ESMA Data Validation Rules in EMIR
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Fed Collection FR Employment Forms
On Nov. 24, Fed proposed to revise Fed Board work application forms.
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FINRA Hearings by Video Conference
On Sep. 2, FINRA temporarily changed rules to allow virtual hearings.
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GE JST COVID-19 Insolvency Act
On Sep. 2, GE JST approved law extending firm insolvency deadline.
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IND SEBI Margin Trading Facilities
On Jun. 13, IND SEBI issued review of margin trading loan facility.
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ITA INS Liability Insurance Contract
On Jan. 8, ITA INS announced rules on electronic model for insurance.
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Nasdaq Clearly Erroneous Trade Pilot
On Apr. 10, Nasdaq, PHLX extended clearly erroneous trade pilot.
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Nasdaq Extended Qualification Exams
On Oct. 29, Nasdaq extended qualification examinations window.
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Nasdaq Video Conference for Appeals
On Dec. 21, Nasdaq ISE proposed to harmonize on video conferences.
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NC LEG Covid Eviction Prevention
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NGR SEC Renewal CMO Registrations
On Mar. 23, NGR SEC reintroduced annual renewal of registration.
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NYDFS COVID-19 Vaccine Coverage
On Dec. 16, NYDFS issued rule to ensure coverage of Covid vaccine.
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NYSE Extended Exams for Individuals
On Sep. 25, NYSE Amer, Nat, ARCA extended qualification window.
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NYSE Trading Halt Auction Discretion
On Mar. 17, NYSE issued rule on trading halt auctions for Covid.
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NYSE Virtual Video Conference Hearing
On Sep. 29, NYSE NAT filed temporary rules to allow virtual hearings.
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SEC CAT NMS Plan Exemptive Relief
On Dec. 16, SEC granted more time to meet CAT NMS requirements.
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SIN ACRA XBRL Filing Requirements
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UK Chancellor Extends Furlough
On Dec. 17, UK Treasury confirmed furlough, loan schemes extension.
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UK GVT Brexit Trade Agreement
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May 01
st
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BRZ CB Rural Credit Lines Manual
On Jan. 28, BRZ CB amended credit lines rules in manual (MCR).
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BRZ CB Rural Credit Saving Handbook
On Apr. 25, BRZ CB issued resolution amending rural credit rules.
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BRZ GVT Capital on Forex Exposures
On Dec. 9, BRZ GVT issued rules re capital on forex, gold exposures.
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CHI CSRC Listed Company Disclosure
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CHI GVT Prevent Illegal Fundraising
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EUREX Clear FX Derivatives Update
On Apr. 7, EUREX Clear issued amendments to clearing conditions.
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Freddie Uniform Mortgage Application
On Jan. 5, Freddie required use of uniform residential loan application.
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IND SEBI Public Equity Issue Process
On Nov. 1, IND SEBI streamlined process for public equity issue.
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ITA Covip Pension Funds New Rules
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JPN FSA Prepaid Transfer Services
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MA LEG Business Tax Relief Extension
On Sep. 15, MA LEG extended administrative tax relief for businesses.
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NY LEG Covid Relief Measures
On Apr. 17, NY LEG issued orders amid ongoing Covid pandemic.
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NY LEG COVID-19 Business Protection
On Mar. 9, NY LEG bill for business eviction, foreclosure protections.
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SAU CMA Merged Inv Fund Rules
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SIN GVT Insolvency Amendment Act
On Jan. 28, SIN GVT gazetted amendments to insolvency regulations.
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SK FSC P2P Enforcement Decree
On Jan. 28, SK FSC prepared enforcement decree on P2P lending.
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Thai SEC Auditors in Capital Market
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TUR BDDK Bank Remote Identification
On Apr. 1, TUR BDDK issued rules on remote identification methods.
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VIE GVT Appraisal Firm Requirements
On Mar. 1, VIE GVT issued requirements for appraisal firm directors.
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May 02
nd
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May 03
rd
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BRZ CB Investment Fund Shareholders
On Nov. 11, BRZ CB issued rules on investment fund data reporting.
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BRZ CB Market Risk Exposure Reporting
On Mar. 31, BRZ CB consolidated procedures to submit information.
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BRZ CB Payment Services Institutions
On Oct. 22, BRZ CB issued rules for payment services institutions.
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BRZ CVM Public Distribution Offering
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Cboe Broad-Based Option Index Pilot
On Dec. 13, Cboe BZX, EDGX issued pilot on broad-index options.
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Cboe BZX, EDGX Extended XSP Pilots
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CBOE FLEX Options Pilot Extension
On Oct. 28, CBOE extended operation of its flex options pilot program.
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Cboe Index Options Pilots Extended
On Jan. 21, Cboe EDGX proposed pilot on broad-index options.
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CHL PEN Climate Change, ESG Factors
On Nov. 24, CHL PEN issued rules on investment, risk management.
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May 04
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May 05
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May 06
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May 07
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May 08
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May 09
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May 10
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May 11
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May 12
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May 13
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May 14
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May 15
th
See next month
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May 16
th
See next month
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