Reg-Track Calendar

September 2017

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Monday	Tuesday	Wednesday	Thursday	Friday
Sep 18 ^th N/A	Sep 19 ^th N/A	Sep 20 ^th N/A	Sep 21 ^st N/A	Sep 22 ^nd
Sep 25 ^th	Sep 26 ^th	Sep 27 ^th	Sep 28 ^th	Sep 29 ^th ASIC Crowdfunding License On Sep. 12, ASIC updated on application for crowd-funding license. SEC Swap Repository Reports On Dec. 11, SEC proposed reports by security-swap repositories.
Oct 02 ^nd AFM Prospectus Exemption On Sep. 6, AFM issued rules increasing small prospectus exemption. BaFin Credit-linked Notes On Mar. 4, BaFin issued retail sales review of credit-linked notes. BATS Nullifying Obvious Errors On Aug. 31, Bats EDGX proposed rules to nullify obvious error trades. CBOE Nullifying Obvious Errors On Aug. 31, CBOE proposed rules to nullify trades for obvious errors. CBRC Financing Guarantees On Aug. 25, CBRC issued rules for financing guarantee companies. CSRC Fund Liquidity Controls On Mar. 31, CSRC proposed rules on liquidity risk of investment funds. CSRC Futures Risk Supervision On Apr. 21, CSRC issued risk supervision guide for futures companies. ESMA Venue ETD Exemption On Sep. 15, ESMA issued process for venue MiFIR exemption for ETDs. FINRA TRACE Reduced Delay On May 12, FINRA proposed rules to shorten TRACE debt delay period. IEX Market Maker Peg Order On Jul. 11, IEX proposed rules introduce market maker peg order. NYSE Arca IPO Order-Handling On May 2, NYSE Arca proposed rules on IPO auction order-handling. NYSE Listing Standards ETPs On Jan. 25, NYSE Arca proposed standards for ongoing ETP listing. RBNZ Outsourcing Policy On Sep. 20, RBNZ issued rules on outsourcing policy for large banks. RFSA Insurance Broker Rate On Aug. 31, RFSA issued reduction in insurance broker income rate. SEBI Payment Default Disclosures On Aug. 4, SEBI updated disclosure requirements for payment defaults. SEC Fund and Advisor Reports On May 20, SEC proposed reporting by investment companies, advisers. UK FCA Changes In Control On Sep. 20, UK FCA issued rules on ESA guideline on qualifying holding. UK FCA Retirement Income On Nov. 25, FCA proposed rules to report retirement income data.	Oct 03 ^rd BMA Exempt Fund Reclass On Sep. 23, BMA issued grandfathering of exempt funds registration. MFSA MIFID Forex Contracts On Apr. 3, MFSA issued MIFID rules on firms to distribute CFDs or forex.	Oct 04 ^th CSA Swap Clearing, Collateral On Feb. 12, CSA, OSC, proposed rules on mandatory clearing.	Oct 05 ^th	Oct 06 ^th IIROC Personal Dealing Conflict On Apr. 6, IIROC issued final rules limiting personal financial dealings. UK PRA Financial Report Data On Apr. 29, PRA proposed rules on reporting data of finance, capital.
Oct 09 ^th SEC Exchange Bitcoin ETFs On Mar. 10, SEC rejected BATS application of Winklevoss bitcoin ETF.	Oct 10 ^th	Oct 11 ^th	Oct 12 ^th	Oct 13 ^th MSRB Complaints and Records On Nov. 1, MSRB proposed rules on complaints and recordkeeping.
Oct 16 ^th	Oct 17 ^th	Oct 18 ^th	Oct 19 ^th CFPB Mortgage Servicer Rules On Oct. 19, CFPB issued rules on mitigation by mortgage servicer.	Oct 20 ^th

Sep 18 ^th

N/A

Sep 19 ^th

N/A

Sep 20 ^th

N/A

Sep 21 ^st

N/A

Sep 22 ^nd

Sep 25 ^th

Sep 26 ^th

Sep 27 ^th

Sep 28 ^th

Sep 29 ^th

ASIC Crowdfunding License

On Sep. 12, ASIC updated on application for crowd-funding license.
SEC Swap Repository Reports

On Dec. 11, SEC proposed reports by security-swap repositories.

Oct 02 ^nd

AFM Prospectus Exemption

On Sep. 6, AFM issued rules increasing small prospectus exemption.
BaFin Credit-linked Notes

On Mar. 4, BaFin issued retail sales review of credit-linked notes.
BATS Nullifying Obvious Errors

On Aug. 31, Bats EDGX proposed rules to nullify obvious error trades.
CBOE Nullifying Obvious Errors

On Aug. 31, CBOE proposed rules to nullify trades for obvious errors.
CBRC Financing Guarantees

On Aug. 25, CBRC issued rules for financing guarantee companies.
CSRC Fund Liquidity Controls

On Mar. 31, CSRC proposed rules on liquidity risk of investment funds.
CSRC Futures Risk Supervision

On Apr. 21, CSRC issued risk supervision guide for futures companies.
ESMA Venue ETD Exemption

On Sep. 15, ESMA issued process for venue MiFIR exemption for ETDs.
FINRA TRACE Reduced Delay

On May 12, FINRA proposed rules to shorten TRACE debt delay period.
IEX Market Maker Peg Order

On Jul. 11, IEX proposed rules introduce market maker peg order.
NYSE Arca IPO Order-Handling

On May 2, NYSE Arca proposed rules on IPO auction order-handling.
NYSE Listing Standards ETPs

On Jan. 25, NYSE Arca proposed standards for ongoing ETP listing.
RBNZ Outsourcing Policy

On Sep. 20, RBNZ issued rules on outsourcing policy for large banks.
RFSA Insurance Broker Rate

On Aug. 31, RFSA issued reduction in insurance broker income rate.
SEBI Payment Default Disclosures

On Aug. 4, SEBI updated disclosure requirements for payment defaults.
SEC Fund and Advisor Reports

On May 20, SEC proposed reporting by investment companies, advisers.
UK FCA Changes In Control

On Sep. 20, UK FCA issued rules on ESA guideline on qualifying holding.
UK FCA Retirement Income

On Nov. 25, FCA proposed rules to report retirement income data.

Oct 03 ^rd

BMA Exempt Fund Reclass

On Sep. 23, BMA issued grandfathering of exempt funds registration.
MFSA MIFID Forex Contracts

On Apr. 3, MFSA issued MIFID rules on firms to distribute CFDs or forex.

Oct 04 ^th

CSA Swap Clearing, Collateral

On Feb. 12, CSA, OSC, proposed rules on mandatory clearing.

Oct 05 ^th

Oct 06 ^th

IIROC Personal Dealing Conflict

On Apr. 6, IIROC issued final rules limiting personal financial dealings.
UK PRA Financial Report Data

On Apr. 29, PRA proposed rules on reporting data of finance, capital.

Oct 09 ^th

SEC Exchange Bitcoin ETFs

On Mar. 10, SEC rejected BATS application of Winklevoss bitcoin ETF.

Oct 10 ^th

Oct 11 ^th

Oct 12 ^th

Oct 13 ^th

MSRB Complaints and Records

On Nov. 1, MSRB proposed rules on complaints and recordkeeping.

Oct 16 ^th

Oct 17 ^th

Oct 18 ^th

Oct 19 ^th

CFPB Mortgage Servicer Rules

On Oct. 19, CFPB issued rules on mitigation by mortgage servicer.

Oct 20 ^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.

Reg-Calendar

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