Reg-Track Calendar

October 2019

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Monday	Tuesday	Wednesday	Thursday	Friday
Oct 21 ^st N/A	Oct 22 ^nd N/A	Oct 23 ^rd N/A	Oct 24 ^th	Oct 25 ^th NY Veterans Pension Protection Law On Aug. 23, NY signed law to protect veterans on pension scams.
Oct 28 ^th IIROC Trade Reporting of Debt On Mar. 8, IIROC proposed shortening reporting cycles for bonds. POL GVT Credit Obligation Past Due On Oct. 15, POL GVT issued regulation on materiality threshold.	Oct 29 ^th	Oct 30 ^th ECB Excess Liquidity Holdings On Sep. 12, ECB adopted rules on remunerating excess liquidity. ITA INS Intermediary Registration On Oct. 14, ITA INS details on proof of eligibility for registration.	Oct 31 ^st EC No Deal Brexit Action Plans On Dec. 19, EC implemented no-deal contingency action plans. EU CNCL 2nd Brexit Extension On Apr. 10, EU CNCL agreed to delay Brexit until Oct. 31, 2019. EU CNCL Brexit EIB Amends On Oct. 15, EU CNCL issued the EIB request to amend its statute. IRE GVT Legislation on Brexit On Mar. 13, IRE GVT passed bill on UK withdrawal from the EU. SEC Relief NYSE Retail Liquidity On Mar. 26, SEC issued Reg NMS relief on NYSE retail liquidity. UK BoE Post-Brexit Approach On Apr. 18, UK BoE finalized formerly near-final rules on Brexit. UK GC Fairer License Conditions On Jul. 31, UK GC issued rules to make gambling fairer and safer.	Nov 01 ^st ARG INS Taxi Insurance Excess On Sep. 27, ARG INS issued rules on insurance excess for taxis. CAN BC Financial Services Authority On Oct. 16, CAN BC FIC stated BCFSA changes and system outages. DEL INS 2020 Reinsurance Program On Aug. 20, DEL INS on federal approval for reinsurance. EU CNCL Lagarde ECB President On Jul. 12, EU CNCL recommended Lagarde for ECB president. Nasdaq ISE Order Type Removals On Jul. 10, ISE proposed rule on stopped and all-or-none orders. PBGC Terminated Single Plans On Aug. 15, PBGC issued rules on ending single-employer plans. PHI CB Bond Reserve Requirement Cut On Oct. 15, PHI CB reduced the reserve requirement of bonds. POL GVT VAT Fraud Legislation On Jul. 19, POL GVT adopted legislation on VAT and to tackle fraud. SLK CB New Adopted Measures On Oct. 1, SLK CB issued communication on approved measures. UK FCA Retirement Outcome 1 On Jun. 28, FCA proposed rules, guide on retirement outcomes. UK LME Group Fee Schedule 2020 On Oct. 16, UK LME announced fees, increased collateral charges.
Nov 04 ^th Cboe Nonstandard Expiry Pilot On May 3, Cboe proposed extended nonstandard expiry pilot.	Nov 05 ^th	Nov 06 ^th	Nov 07 ^th	Nov 08 ^th CFTC Fees to Oversee Markets On Jun. 25, CFTC issued fees to overseeing markets and NFA. US IRS Partnership Disguised Sales On Oct. 9, US IRS issued final rules on disguised sale purposes.
Nov 11 ^th CYP SEC Investor Compensation On Mar. 13, CYP SEC issued policy to replace compensation rules.	Nov 12 ^th MSRB MIA Qualified Principals On Sep. 19, MSRB proposed MIA principal qualification exams.	Nov 13 ^th	Nov 14 ^th ARG CB Asset, Liability Declaration On Oct. 1, ARG CB issued rules on asset and liabilities declarations. EGY FRA Financial Leasing Rules On Sep. 1, EGY FRA issued rules on leasing and factoring firms.	Nov 15 ^th PHI CB Electronic Payments License On Oct. 10, PHI CB updated procedures for requiring a license.
Nov 18 ^th	Nov 19 ^th ARG INS Insurers Details Update On Sep. 20, ARG INS issued rules on updating insurers details.	Nov 20 ^th	Nov 21 ^st	Nov 22 ^nd

Oct 21 ^st

N/A

Oct 22 ^nd

N/A

Oct 23 ^rd

N/A

Oct 24 ^th

Oct 25 ^th

NY Veterans Pension Protection Law

On Aug. 23, NY signed law to protect veterans on pension scams.

Oct 28 ^th

IIROC Trade Reporting of Debt

On Mar. 8, IIROC proposed shortening reporting cycles for bonds.
POL GVT Credit Obligation Past Due

On Oct. 15, POL GVT issued regulation on materiality threshold.

Oct 29 ^th

Oct 30 ^th

ECB Excess Liquidity Holdings

On Sep. 12, ECB adopted rules on remunerating excess liquidity.
ITA INS Intermediary Registration

On Oct. 14, ITA INS details on proof of eligibility for registration.

Oct 31 ^st

EC No Deal Brexit Action Plans

On Dec. 19, EC implemented no-deal contingency action plans.
EU CNCL 2nd Brexit Extension

On Apr. 10, EU CNCL agreed to delay Brexit until Oct. 31, 2019.
EU CNCL Brexit EIB Amends

On Oct. 15, EU CNCL issued the EIB request to amend its statute.
IRE GVT Legislation on Brexit

On Mar. 13, IRE GVT passed bill on UK withdrawal from the EU.
SEC Relief NYSE Retail Liquidity

On Mar. 26, SEC issued Reg NMS relief on NYSE retail liquidity.
UK BoE Post-Brexit Approach

On Apr. 18, UK BoE finalized formerly near-final rules on Brexit.
UK GC Fairer License Conditions

On Jul. 31, UK GC issued rules to make gambling fairer and safer.

Nov 01 ^st

ARG INS Taxi Insurance Excess

On Sep. 27, ARG INS issued rules on insurance excess for taxis.
CAN BC Financial Services Authority

On Oct. 16, CAN BC FIC stated BCFSA changes and system outages.
DEL INS 2020 Reinsurance Program

On Aug. 20, DEL INS on federal approval for reinsurance.
EU CNCL Lagarde ECB President

On Jul. 12, EU CNCL recommended Lagarde for ECB president.
Nasdaq ISE Order Type Removals

On Jul. 10, ISE proposed rule on stopped and all-or-none orders.
PBGC Terminated Single Plans

On Aug. 15, PBGC issued rules on ending single-employer plans.
PHI CB Bond Reserve Requirement Cut

On Oct. 15, PHI CB reduced the reserve requirement of bonds.
POL GVT VAT Fraud Legislation

On Jul. 19, POL GVT adopted legislation on VAT and to tackle fraud.
SLK CB New Adopted Measures

On Oct. 1, SLK CB issued communication on approved measures.
UK FCA Retirement Outcome 1

On Jun. 28, FCA proposed rules, guide on retirement outcomes.
UK LME Group Fee Schedule 2020

On Oct. 16, UK LME announced fees, increased collateral charges.

Nov 04 ^th

Cboe Nonstandard Expiry Pilot

On May 3, Cboe proposed extended nonstandard expiry pilot.

Nov 05 ^th

Nov 06 ^th

Nov 07 ^th

Nov 08 ^th

CFTC Fees to Oversee Markets

On Jun. 25, CFTC issued fees to overseeing markets and NFA.
US IRS Partnership Disguised Sales

On Oct. 9, US IRS issued final rules on disguised sale purposes.

Nov 11 ^th

CYP SEC Investor Compensation

On Mar. 13, CYP SEC issued policy to replace compensation rules.

Nov 12 ^th

MSRB MIA Qualified Principals

On Sep. 19, MSRB proposed MIA principal qualification exams.

Nov 13 ^th

Nov 14 ^th

ARG CB Asset, Liability Declaration

On Oct. 1, ARG CB issued rules on asset and liabilities declarations.
EGY FRA Financial Leasing Rules

On Sep. 1, EGY FRA issued rules on leasing and factoring firms.

Nov 15 ^th

PHI CB Electronic Payments License

On Oct. 10, PHI CB updated procedures for requiring a license.

Nov 18 ^th

Nov 19 ^th

ARG INS Insurers Details Update

On Sep. 20, ARG INS issued rules on updating insurers details.

Nov 20 ^th

Nov 21 ^st

Nov 22 ^nd

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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