Reg-Track Calendar

February 2020

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Monday	Tuesday	Wednesday	Thursday	Friday
Feb 17 ^th N/A	Feb 18 ^th N/A	Feb 19 ^th N/A	Feb 20 ^th N/A	Feb 21 ^st RUS PRL Tax Code for Self-Employed On Jan. 22, RUS PRL approved changes to regime for self-employed.
Feb 24 ^th Eurex Clearing for Equity, Repo On Mar. 1, Eurex issued clearing terms for equity futures, and repos. MLY CB Development Firm Reporting On Dec. 24, MLY CB reported on development financial institutions.	Feb 25 ^th Agency Small Bank Leverage Ratio On Nov. 21, OCC, Fed, FDIC proposed small bank leverage ratio. ESP CB Risks Information Center On Feb. 5, ESP CB announced rules on risk information center (CIR).	Feb 26 ^th BRZ GVT Depository Receipt Program On Dec. 19, BRZ GVT issued rule on depository receipt review. BRZ GVT Foreign Investments Rules On Nov. 28, BRZ GVT issued rules re non-resident investor funds.	Feb 27 ^th	Feb 28 ^th UK Treasury FSMA Brexit Amends On Feb. 6, UK Treasury laid FSMA 2000 Brexit SI before the UKP.
Mar 02 ^nd ACNV Mutual Funds Investment On Feb. 11, ACNV issued rules on common investment fund. ARG CB Foreign Exchange Control On Jan. 30, ARG CB issued rules on currency purchase by non-residents. ARG CB Payments for Goods' Imports On Feb. 14, ARG CB issued rules on payments for imports of goods. AST ASIC Banking Code of Practice On Jun. 28, AST ASIC approved updated bank code of practice. AST CC Strengthening Banking Code On Sep. 27, AST CC proposed conditions in code of practice. BRZ CVM Intermediary Controls On Aug. 21, BRZ CVM amends rules for intermediary institutions. BRZ GVT Accounting Plan Changes On Feb. 6, BRZ GVT issued rules on changes to firms' accounting plan. Cboe C2 EDGX Give Up Opt In On Jan. 2, Cboe EDGX, Cboe C2 proposed give up rule change. CHL CB Reporting Forms Changes On Dec. 30, CHL CB issued rules on procedures and reporting forms. Fed NY Publish SOFR Index Average On Nov. 4, Fed (NY) requested input on SOFR average and index. FR ACPR Home Loan Monitoring On Mar. 26, FR ACPR amended rules to monitor home loan risk. FR GVT Real Estate Agents, Trustees On Feb. 14, FR GVT order on payments for real estate licensing. ICE FEU Enhanced Validation Process On Oct. 16, ICE FEU notified intention to improve order validation. IND SEBI AIF Disclosure Standards On Feb. 6, SEBI requirements for alternative investment funds LCH Ltd Equityclear Fee Revisions On Jan. 29, LCH issued changes to LCH Ltd Equityclear service fees. NSE Collateral Reporting File Format On Jan. 10, NSE issued circular on reporting collateral details. TUR CB on Fees Charged by Banks On Feb. 10, TUR CB drew attention to rules introduced by TUR BDDK. UK PRA EBA Reporting Taxonomy On Aug. 7, UK PRA issued policy statement on EBA taxonomy 2.9. UK PRA Occasional Consultation Paper On Oct. 7, UK PRA issued occasional consultation paper 25/19.	Mar 03 ^rd	Mar 04 ^th	Mar 05 ^th PBGC Reportable Event Notice On Jun. 27, PBGC proposed changes to reportable events rules. UAE SCA Fit and Proper Criteria On Feb. 4, SCA issued decision on client fit criteria and proper criteria. UAE SCA Foreign Brokerages On Feb. 4, SCA exempted foreign B/D from certain commodities rules.	Mar 06 ^th DTC Set Night Cycle Time Algorithm On Jul. 22, DTC proposed guide on night cycle trade algorithm. NSCC Night Cycle CNS Securities On Jul. 22, NSCC proposed amended rules on CNS securities.
Mar 09 ^th UK FCA Finance Worker Directory On Jul. 4, FCA proposed directory of financial services workers.	Mar 10 ^th AST APRA Property Exposure Report On Sep. 20, AST APRA proposed reporting of exposure on property. ESP CNMV Liquidity Contracts Rules On Dec. 10, ESP CNMV announced rules on liquidity contracts. ESP CNMV Trading Transparency On Sep. 9, ESP CNMV suspended transparency obligations waivers. OCC Retail Foreign Exchange Trading On Jul. 28, OCC issued rules for retail foreign exchange trades.	Mar 11 ^th AST GVT Product Intervention Power On Oct. 23, AST GVT published design and distribution rules. AUT GVT Beneficial Owner Register On Dec. 9, AUT GVT issued rules on beneficial owners register.	Mar 12 ^th CRO HANFA Pension Investments On Nov. 25, CRO HANFA proposed pension equity benchmarks.	Mar 13 ^th IRS Opportunity Zone Guidance On Apr. 17, US Treasury, IRS, proposed opportunity zones rules.
Mar 16 ^th FCrA Non-Accrual Loans Criteria On Apr. 3, FCrA proposed rules on reinstating non-accrual loan. FCrA Outside Director Limits On Jul. 12, FCrA issued rules on governance outside directors. FINRA Computer-Interface TRACE On Aug. 15, FINRA proposed rules on TRACE computer-interface. UK FCA Appoints Interim Chief Exec On Jan. 24, UK FCA appointed Christopher Woolard as interim CEO. UK FCA Director of Competition On Sep. 5, FCA appointed Sheldon Mills as director of competition. UK GVT Bailey Named BoE Governor On Dec. 20, UK Treasury confirmed Andrew Bailey as BoE governor.	Mar 17 ^th Fed Market Risk Capital Report On Apr. 9, Fed proposed extension, revision of market risk report.	Mar 18 ^th	Mar 19 ^th Fed NSS Fedwire Same-Day ACH On Dec. 23, Fed amended NSS and funds service for same-day ACH. IDN DEP PT BPR Fajar Liquidation On Nov. 11, IDN DEP prepared payment of customer deposit claims. NYDFS Bail Bond Reform On Aug. 21, NYDFS proposed reforms in the bail bond industry.	Mar 20 ^th NACHA Operating Rules Changes On Dec. 4, NACHA announced 4 NACHA operating rules changes.

Feb 17 ^th

N/A

Feb 18 ^th

N/A

Feb 19 ^th

N/A

Feb 20 ^th

N/A

Feb 21 ^st

RUS PRL Tax Code for Self-Employed

On Jan. 22, RUS PRL approved changes to regime for self-employed.

Feb 24 ^th

Eurex Clearing for Equity, Repo

On Mar. 1, Eurex issued clearing terms for equity futures, and repos.
MLY CB Development Firm Reporting

On Dec. 24, MLY CB reported on development financial institutions.

Feb 25 ^th

Agency Small Bank Leverage Ratio

On Nov. 21, OCC, Fed, FDIC proposed small bank leverage ratio.
ESP CB Risks Information Center

On Feb. 5, ESP CB announced rules on risk information center (CIR).

Feb 26 ^th

BRZ GVT Depository Receipt Program

On Dec. 19, BRZ GVT issued rule on depository receipt review.
BRZ GVT Foreign Investments Rules

On Nov. 28, BRZ GVT issued rules re non-resident investor funds.

Feb 27 ^th

Feb 28 ^th

UK Treasury FSMA Brexit Amends

On Feb. 6, UK Treasury laid FSMA 2000 Brexit SI before the UKP.

Mar 02 ^nd

ACNV Mutual Funds Investment

On Feb. 11, ACNV issued rules on common investment fund.
ARG CB Foreign Exchange Control

On Jan. 30, ARG CB issued rules on currency purchase by non-residents.
ARG CB Payments for Goods' Imports

On Feb. 14, ARG CB issued rules on payments for imports of goods.
AST ASIC Banking Code of Practice

On Jun. 28, AST ASIC approved updated bank code of practice.
AST CC Strengthening Banking Code

On Sep. 27, AST CC proposed conditions in code of practice.
BRZ CVM Intermediary Controls

On Aug. 21, BRZ CVM amends rules for intermediary institutions.
BRZ GVT Accounting Plan Changes

On Feb. 6, BRZ GVT issued rules on changes to firms' accounting plan.
Cboe C2 EDGX Give Up Opt In

On Jan. 2, Cboe EDGX, Cboe C2 proposed give up rule change.
CHL CB Reporting Forms Changes

On Dec. 30, CHL CB issued rules on procedures and reporting forms.
Fed NY Publish SOFR Index Average

On Nov. 4, Fed (NY) requested input on SOFR average and index.
FR ACPR Home Loan Monitoring

On Mar. 26, FR ACPR amended rules to monitor home loan risk.
FR GVT Real Estate Agents, Trustees

On Feb. 14, FR GVT order on payments for real estate licensing.
ICE FEU Enhanced Validation Process

On Oct. 16, ICE FEU notified intention to improve order validation.
IND SEBI AIF Disclosure Standards

On Feb. 6, SEBI requirements for alternative investment funds
LCH Ltd Equityclear Fee Revisions

On Jan. 29, LCH issued changes to LCH Ltd Equityclear service fees.
NSE Collateral Reporting File Format

On Jan. 10, NSE issued circular on reporting collateral details.
TUR CB on Fees Charged by Banks

On Feb. 10, TUR CB drew attention to rules introduced by TUR BDDK.
UK PRA EBA Reporting Taxonomy

On Aug. 7, UK PRA issued policy statement on EBA taxonomy 2.9.
UK PRA Occasional Consultation Paper

On Oct. 7, UK PRA issued occasional consultation paper 25/19.

Mar 03 ^rd

Mar 04 ^th

Mar 05 ^th

PBGC Reportable Event Notice

On Jun. 27, PBGC proposed changes to reportable events rules.
UAE SCA Fit and Proper Criteria

On Feb. 4, SCA issued decision on client fit criteria and proper criteria.
UAE SCA Foreign Brokerages

On Feb. 4, SCA exempted foreign B/D from certain commodities rules.

Mar 06 ^th

DTC Set Night Cycle Time Algorithm

On Jul. 22, DTC proposed guide on night cycle trade algorithm.
NSCC Night Cycle CNS Securities

On Jul. 22, NSCC proposed amended rules on CNS securities.

Mar 09 ^th

UK FCA Finance Worker Directory

On Jul. 4, FCA proposed directory of financial services workers.

Mar 10 ^th

AST APRA Property Exposure Report

On Sep. 20, AST APRA proposed reporting of exposure on property.
ESP CNMV Liquidity Contracts Rules

On Dec. 10, ESP CNMV announced rules on liquidity contracts.
ESP CNMV Trading Transparency

On Sep. 9, ESP CNMV suspended transparency obligations waivers.
OCC Retail Foreign Exchange Trading

On Jul. 28, OCC issued rules for retail foreign exchange trades.

Mar 11 ^th

AST GVT Product Intervention Power

On Oct. 23, AST GVT published design and distribution rules.
AUT GVT Beneficial Owner Register

On Dec. 9, AUT GVT issued rules on beneficial owners register.

Mar 12 ^th

CRO HANFA Pension Investments

On Nov. 25, CRO HANFA proposed pension equity benchmarks.

Mar 13 ^th

IRS Opportunity Zone Guidance

On Apr. 17, US Treasury, IRS, proposed opportunity zones rules.

Mar 16 ^th

FCrA Non-Accrual Loans Criteria

On Apr. 3, FCrA proposed rules on reinstating non-accrual loan.
FCrA Outside Director Limits

On Jul. 12, FCrA issued rules on governance outside directors.
FINRA Computer-Interface TRACE

On Aug. 15, FINRA proposed rules on TRACE computer-interface.
UK FCA Appoints Interim Chief Exec

On Jan. 24, UK FCA appointed Christopher Woolard as interim CEO.
UK FCA Director of Competition

On Sep. 5, FCA appointed Sheldon Mills as director of competition.
UK GVT Bailey Named BoE Governor

On Dec. 20, UK Treasury confirmed Andrew Bailey as BoE governor.

Mar 17 ^th

Fed Market Risk Capital Report

On Apr. 9, Fed proposed extension, revision of market risk report.

Mar 18 ^th

Mar 19 ^th

Fed NSS Fedwire Same-Day ACH

On Dec. 23, Fed amended NSS and funds service for same-day ACH.
IDN DEP PT BPR Fajar Liquidation

On Nov. 11, IDN DEP prepared payment of customer deposit claims.
NYDFS Bail Bond Reform

On Aug. 21, NYDFS proposed reforms in the bail bond industry.

Mar 20 ^th

NACHA Operating Rules Changes

On Dec. 4, NACHA announced 4 NACHA operating rules changes.

The effective dates in the calendar are taken from individual rules in the Reg-Track system.

For 'final rules', and 'guidance' the effective date reflects the date that compliance is required.
For 'proposed rules', the effective date is when the comment period ends.

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