Reg-Track Calendar

From July 10, 2020 to August 09, 2020

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Monday	Tuesday	Wednesday	Thursday	Friday	Saturday	Sunday
Jul 06 ^th N/A	Jul 07 ^th N/A	Jul 08 ^th N/A	Jul 09 ^th N/A	Jul 10 ^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. OCC EGRPRA Employment Contracts On Jan. 8, OCC proposal on employment contracts and records. SEC Registered Transfer Agent Relief On Mar. 22, SEC regulatory relief for registered transfer agents.	Jul 11 ^th	Jul 12 ^th EC Online Transparency Rules On Apr. 26, EU CMSN proposed transparent online platforms. UK GVT Online Intermediation Services On Jun. 19, UK GVT issued rules on online intermediation services.
Jul 13 ^th CHL Solidarity Unemployment Fund On Apr. 30, CHL PEN orders additional unemployment payments. CYP SEC STFR Reporting Postponed On Mar. 19, CYP SEC issued circular re postponement of SFTR duties. ESMA MiFID Transparency Calculation On Jul. 7, ESMA updated annual transparency calculations for equity. Poland Pass AML/CTF Legislation On Mar. 28, Polish President signed AML law passed on Mar. 1. SEC Clearing Firm Governance On Sep. 28, SEC issued rules on clearing firm operation, governance. TSX Alpha Housekeeping Exchange Rule On Jun. 30, TSX Alpha housekeeping rule in venture exchange.	Jul 14 ^th CAL INS Insurance Premium Refunds On Apr. 13, CAL INS ordered insurers to pay premium refunds. ICE CEU Permitted Cover, Collateral On Jul. 7, ICE CEU updated list of permitted cover, and collateral.	Jul 15 ^th BRZ CB Open Banking Governance On Jun. 24, BRZ CB issued rules on governance of implementation. EC Polish Credit Union Liquidation On Aug. 13, EC approved extended credit union liquidation scheme. MEX CNS Term, Deadline Suspension On May 29, MEX CNS extended terms and deadlines due to Covid. SBA Small Disadvantaged Businesses On May 11, SBA implemented WOSBs certification requirement. SK FSC OTC Derivatives Repositories On Mar. 3, SK FSC noted bill on derivative repositories, margin. US IRS Tax-Exempt Reporting Relief On Sep. 6, US IRS proposed relief for tax-exempt organizations.	Jul 16 ^th Thai SEC Shareholder Meetings On Mar. 30, Thai SEC issued update on postponement of meetings.	Jul 17 ^th ARG GVT Terms Suspension Extension On Apr. 29, ARG GVT issued rules on extension of suspension.	Jul 18 ^th	Jul 19 ^th
Jul 20 ^th Cboe Credit Option Margin Pilot On Jul. 19, Cboe announced extension of credit option margin pilot. Cboe Electronic, Virtual Trading On Mar. 26, CBOE proposed rule on electronic trade compression. SGX Negotiated Large Trades On Jun. 15, SGX issued amendments to futures trading rules.	Jul 21 ^st Cboe Off-Floor Position Transfers On Jul. 23, Cboe proposed rule about off-floor position transfers. CFPB Remittance Rule Exception On Dec. 3, CFPB proposed longer exceptions to remittance rule. UK GVT Childcare Payments, Covid On Jun. 30, UK GVT issued rules childcare payments in Covid.	Jul 22 ^nd PHI CB Payment System Oversight On Mar. 16, PHI CB proposed payment system oversight framework. SSE STAR Institutional Share Transfer On Jul. 3, SSE issued rules on reducing institutional shareholdings.	Jul 23 ^rd CSA YKN Business Relief Fund Covid On Apr. 9, CSA YKN announced relief business funding for Covid. EC Data Protection Officer Duties On Jul. 6, EC issued decision on role of data protection officer. LTH CB Digital Collector Coin Sales On Jun. 19, LTH CB approved rules for sale of LBCOIN digital coin. NYSE CAT Minor Rule Violation Plan On Jun. 12, NYSE proposed to add CAT to minor rule violation list.	Jul 24 ^th OCC 2020 Assessments Reduction On Jun. 22, OCC approved rule to reduce assessment paid to the OCC.	Jul 25 ^th	Jul 26 ^th
Jul 27 ^th CFTC Name Give-Ups by SEFs On Nov. 5, CFTC proposed rules on post-trade give-ups by SEFs. CFTC Swap Affiliate Clearing Rule On Dec. 23, CFTC proposed revisions to inter-affiliate exemption. FCC TRACED Act Single Consortium On Feb. 14, FCC proposed consortium registration for TRACED Act. IIROC Trade Reporting of Debt On Mar. 8, IIROC proposed shortening reporting cycles for bonds. LCH €STR Change for Cash Deposits On Jun. 18, LCH issued circular on €STR transition for cash deposits.	Jul 28 ^th	Jul 29 ^th POL GVT Enforcement Proceedings On Oct. 29, POL GVT issued act on administrative enforcement. UK GC Society Lottery Limits On Apr. 29, UK GC announced changes to society lotteries guidance.	Jul 30 ^th	Jul 31 ^st DoE COVID-19 Student Relief Funds On Jun. 11, DoE acted to ensure Covid funds for eligible students. FINRA Procedural Relief During Covid On May 8, FINRA proposed rule on procedural relief during Covid. HK SFC Client Asset Confirmation On Jul. 8, HK SFC issued client assets measure, confirm letter. IDN DEP Bank Statement Submission On Apr. 9, IDN DEP adjusted submission date for bank statements. MEX GVT Continues Covid Measures On May 7, MEX GVT renewed Covid measures, suspended deadlines. Nasdaq Extended Supervisory Reports On Mar. 30, Nasdaq PHLX to extend report filing requirements. SRI Tax VAT Deferment, Registration On Jun. 30, SRI Tax amended notice on VAT deferment, registration.	Aug 01 ^st AUT GVT Life Insurance Information On Nov. 27, AUT GVT improved insurance performance reporting. BRZ CB, CVM Plan Sandbox Tools On Jun. 13, BRZ CB, CVM, issued plans for regulatory sandbox. CHI CBIRC Administrative Penalties On Jun. 23, CHI CBIRC issued measures to standardize penalties. EP EU-Vietnam Free Trade Deal On Jan. 22, EP committee approved EU-Vietnam free trade deal. IND SEBI Margin Obligations On Feb. 25, IND SEBI updated on pledge margin in depo system. SEC Closed End Funds Offerings On Mar. 20, SEC proposed offering rules for BDCs, closed funds. UK FCA Retirement Outcomes 2 On Jan. 28, FCA proposed rules on investment pathway, measures.	Aug 02 ^nd
Aug 03 ^rd CHI CB Standardized Debt Assets On Oct. 12, CHI CB proposed rules on standardization of debt assets. Eurex German Rules, Contracts On Jan. 28, Eurex updated German rules, contract specification. FINRA TRACE Reporting of Treasuries On Apr. 16, FINRA issued delay to reporting Treasuries to TRACE. IND CCIL Forex, Derivatives On Jul. 3, IND CCIL updated a number of regulations. OCC Valid When Made on Loan Sales On Nov. 18, OCC proposed rule on the valid when made doctrine. UK GVT Mortgage Transaction Fee On Jul. 2, UK GVT issued rules on mortgage interest trade fee.	Aug 04 ^th	Aug 05 ^th FERC Limiting Construction Activities On Jul. 6, FERC limited authorizations regarding construction activity. SK FSC Predatory Lending Measures On Jun. 23, SK FSC issued notice on stopping predatory lending	Aug 06 ^th SIN MAS Cyber Hygiene Measures On Aug. 6, MAS issued notices re cyber resilience of financial firms.	Aug 07 ^th	Aug 08 ^th House Bill on PPP Program Extension On Jul. 2, House issued bill to extend PPP, SBA, and other purposes.	Aug 09 ^th

Jul 06 ^th

N/A

Jul 07 ^th

N/A

Jul 08 ^th

N/A

Jul 09 ^th

N/A

Jul 10 ^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.
OCC EGRPRA Employment Contracts

On Jan. 8, OCC proposal on employment contracts and records.
SEC Registered Transfer Agent Relief

On Mar. 22, SEC regulatory relief for registered transfer agents.

Jul 11 ^th

Jul 12 ^th

EC Online Transparency Rules

On Apr. 26, EU CMSN proposed transparent online platforms.
UK GVT Online Intermediation Services

On Jun. 19, UK GVT issued rules on online intermediation services.

Jul 13 ^th

CHL Solidarity Unemployment Fund

On Apr. 30, CHL PEN orders additional unemployment payments.
CYP SEC STFR Reporting Postponed

On Mar. 19, CYP SEC issued circular re postponement of SFTR duties.
ESMA MiFID Transparency Calculation

On Jul. 7, ESMA updated annual transparency calculations for equity.
Poland Pass AML/CTF Legislation

On Mar. 28, Polish President signed AML law passed on Mar. 1.
SEC Clearing Firm Governance

On Sep. 28, SEC issued rules on clearing firm operation, governance.
TSX Alpha Housekeeping Exchange Rule

On Jun. 30, TSX Alpha housekeeping rule in venture exchange.

Jul 14 ^th

CAL INS Insurance Premium Refunds

On Apr. 13, CAL INS ordered insurers to pay premium refunds.
ICE CEU Permitted Cover, Collateral

On Jul. 7, ICE CEU updated list of permitted cover, and collateral.

Jul 15 ^th

BRZ CB Open Banking Governance

On Jun. 24, BRZ CB issued rules on governance of implementation.
EC Polish Credit Union Liquidation

On Aug. 13, EC approved extended credit union liquidation scheme.
MEX CNS Term, Deadline Suspension

On May 29, MEX CNS extended terms and deadlines due to Covid.
SBA Small Disadvantaged Businesses

On May 11, SBA implemented WOSBs certification requirement.
SK FSC OTC Derivatives Repositories

On Mar. 3, SK FSC noted bill on derivative repositories, margin.
US IRS Tax-Exempt Reporting Relief

On Sep. 6, US IRS proposed relief for tax-exempt organizations.

Jul 16 ^th

Thai SEC Shareholder Meetings

On Mar. 30, Thai SEC issued update on postponement of meetings.

Jul 17 ^th

ARG GVT Terms Suspension Extension

On Apr. 29, ARG GVT issued rules on extension of suspension.

Jul 18 ^th

Jul 19 ^th

Jul 20 ^th

Cboe Credit Option Margin Pilot

On Jul. 19, Cboe announced extension of credit option margin pilot.
Cboe Electronic, Virtual Trading

On Mar. 26, CBOE proposed rule on electronic trade compression.
SGX Negotiated Large Trades

On Jun. 15, SGX issued amendments to futures trading rules.

Jul 21 ^st

Cboe Off-Floor Position Transfers

On Jul. 23, Cboe proposed rule about off-floor position transfers.
CFPB Remittance Rule Exception

On Dec. 3, CFPB proposed longer exceptions to remittance rule.
UK GVT Childcare Payments, Covid

On Jun. 30, UK GVT issued rules childcare payments in Covid.

Jul 22 ^nd

PHI CB Payment System Oversight

On Mar. 16, PHI CB proposed payment system oversight framework.
SSE STAR Institutional Share Transfer

On Jul. 3, SSE issued rules on reducing institutional shareholdings.

Jul 23 ^rd

CSA YKN Business Relief Fund Covid

On Apr. 9, CSA YKN announced relief business funding for Covid.
EC Data Protection Officer Duties

On Jul. 6, EC issued decision on role of data protection officer.
LTH CB Digital Collector Coin Sales

On Jun. 19, LTH CB approved rules for sale of LBCOIN digital coin.
NYSE CAT Minor Rule Violation Plan

On Jun. 12, NYSE proposed to add CAT to minor rule violation list.

Jul 24 ^th

OCC 2020 Assessments Reduction

On Jun. 22, OCC approved rule to reduce assessment paid to the OCC.

Jul 25 ^th

Jul 26 ^th

Jul 27 ^th

CFTC Name Give-Ups by SEFs

On Nov. 5, CFTC proposed rules on post-trade give-ups by SEFs.
CFTC Swap Affiliate Clearing Rule

On Dec. 23, CFTC proposed revisions to inter-affiliate exemption.
FCC TRACED Act Single Consortium

On Feb. 14, FCC proposed consortium registration for TRACED Act.
IIROC Trade Reporting of Debt

On Mar. 8, IIROC proposed shortening reporting cycles for bonds.
LCH €STR Change for Cash Deposits

On Jun. 18, LCH issued circular on €STR transition for cash deposits.

Jul 28 ^th

Jul 29 ^th

POL GVT Enforcement Proceedings

On Oct. 29, POL GVT issued act on administrative enforcement.
UK GC Society Lottery Limits

On Apr. 29, UK GC announced changes to society lotteries guidance.

Jul 30 ^th

Jul 31 ^st

DoE COVID-19 Student Relief Funds

On Jun. 11, DoE acted to ensure Covid funds for eligible students.
FINRA Procedural Relief During Covid

On May 8, FINRA proposed rule on procedural relief during Covid.
HK SFC Client Asset Confirmation

On Jul. 8, HK SFC issued client assets measure, confirm letter.
IDN DEP Bank Statement Submission

On Apr. 9, IDN DEP adjusted submission date for bank statements.
MEX GVT Continues Covid Measures

On May 7, MEX GVT renewed Covid measures, suspended deadlines.
Nasdaq Extended Supervisory Reports

On Mar. 30, Nasdaq PHLX to extend report filing requirements.
SRI Tax VAT Deferment, Registration

On Jun. 30, SRI Tax amended notice on VAT deferment, registration.

Aug 01 ^st

AUT GVT Life Insurance Information

On Nov. 27, AUT GVT improved insurance performance reporting.
BRZ CB, CVM Plan Sandbox Tools

On Jun. 13, BRZ CB, CVM, issued plans for regulatory sandbox.
CHI CBIRC Administrative Penalties

On Jun. 23, CHI CBIRC issued measures to standardize penalties.
EP EU-Vietnam Free Trade Deal

On Jan. 22, EP committee approved EU-Vietnam free trade deal.
IND SEBI Margin Obligations

On Feb. 25, IND SEBI updated on pledge margin in depo system.
SEC Closed End Funds Offerings

On Mar. 20, SEC proposed offering rules for BDCs, closed funds.
UK FCA Retirement Outcomes 2

On Jan. 28, FCA proposed rules on investment pathway, measures.

Aug 02 ^nd

Aug 03 ^rd

CHI CB Standardized Debt Assets

On Oct. 12, CHI CB proposed rules on standardization of debt assets.
Eurex German Rules, Contracts

On Jan. 28, Eurex updated German rules, contract specification.
FINRA TRACE Reporting of Treasuries

On Apr. 16, FINRA issued delay to reporting Treasuries to TRACE.
IND CCIL Forex, Derivatives

On Jul. 3, IND CCIL updated a number of regulations.
OCC Valid When Made on Loan Sales

On Nov. 18, OCC proposed rule on the valid when made doctrine.
UK GVT Mortgage Transaction Fee

On Jul. 2, UK GVT issued rules on mortgage interest trade fee.

Aug 04 ^th

Aug 05 ^th

FERC Limiting Construction Activities

On Jul. 6, FERC limited authorizations regarding construction activity.
SK FSC Predatory Lending Measures

On Jun. 23, SK FSC issued notice on stopping predatory lending

Aug 06 ^th

SIN MAS Cyber Hygiene Measures

On Aug. 6, MAS issued notices re cyber resilience of financial firms.

Aug 07 ^th

Aug 08 ^th

House Bill on PPP Program Extension

On Jul. 2, House issued bill to extend PPP, SBA, and other purposes.

Aug 09 ^th

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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