Reg-Track Calendar

September 2019

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Monday	Tuesday	Wednesday	Thursday	Friday
Sep 16 ^th N/A	Sep 17 ^th N/A	Sep 18 ^th N/A	Sep 19 ^th N/A	Sep 20 ^th Fed Same-Day ACH Effective On Apr. 10, Fed guidance on same-day ACH enhancement. IRE GVT Brexit Customs Capacity On Aug. 7, IRE GVT announced initiative to help customs capacity. OCC Partial Assessment Refunds On Mar. 20, OCC proposed rules on partial fee assessment refunds.
Sep 23 ^rd BUL FSC MiFIR Reporting Obligation On Aug. 14, BUL FSC issued changes in XML schema of transactions. HK Transfer Insurer Oversight On Sep. 28, HKIA issued consultation on insurance intermediaries. HKIA Setting of Penalty Levels On Oct. 26, HKIA proposed guide on penalties for intermediaries. ICE FUS Bitcoin Futures Contracts On Aug. 16, ICE FUS announced Bakkt bitcoin futures contracts. NIST Encryption Test Process On Apr. 30, NIST announced on new fed encryption testing rules. RUS NFA Precious Metal Trading On Sep. 12, RUS NFA issued rules on precious metal transactions.	Sep 24 ^th	Sep 25 ^th MEX CNBV Fintech Registration On Jul. 3, MEX CNBV reminded fintechs must register by deadline.	Sep 26 ^th EBA Phase 2 Reporting Framework On Aug. 21, EBA published ITS reporting framework 2.9, phase 2. ECB Gold Agreement Not Needed On Jul. 26, ECB announced formal gold agreement no longer needed. POL GVT Employee Capital Plans On Sep. 12, POL GVT issued rules on submission of information. POL GVT Payment Firm Shares On Sep. 12, POL GVT rules on acquiring shares in payment firm.	Sep 27 ^th
Sep 30 ^th BEL CB Outsourcing Guidelines On Jul. 19, BEL CB issued circular on EU outsourcing guide. BNG CB Loan Rescheduling Policy On Jun. 25, BNG CB issued circular on loan rescheduling policy. DoL Defining Employer Under ERISA On Jul. 31, DoL issued final regulation on definition of employer. EBA Outsourcing Arrangements On Feb. 25, EBA published its revised guidelines on outsourcing. EST CB Raise Housing Loan Risk On Aug. 29, EST CB sets risk weight for Swedbank and SEB Pank. FINFSA Share as Repayable Asset On Mar. 29, FINFSA issued rules on the interpretation of a share. FR ACPR Outsourcing Guidelines On Jul. 15, FR ACPR stated compliance on EBA outsourcing guide. HKMA Compliance, CAR Returns On Jul. 5, HKMA revised compliance certificate, capital return. IND SEBI Handling Client Security On Jun. 20, IND SEBI issued rules on handling clients' securities. IND SEBI Listed Company Accounts On Jul. 5, IND SEBI issued rules on accounting for listed companies. ITA INS 2019 Supervisory Fees On Aug. 26, ITA INS issued decree on supervisory fees for 2019. ITA INS Insurance Reporting On Jun. 24, ITA INS issued letters to market dated Jun. 19, 20. Italy PSD2 Prudential Reporting On Sep. 14, Italy proposed revised prudential report instructions. NFA Swap Dealer Supervision On Mar. 8, NFA proposed rules to on swap dealer supervision. SER CB Belarusian Ruble on Forex On Sep. 12, SER CB added Belarusian ruble to currencies traded. UK FCA Extend SMR Regime On Jul. 26, FCA proposed extending SMR regime to all FCA firms.	Oct 01 ^st AFCA Identified Name Complaints On May 31, AFCA proposed rules to identify firms re complaints. AST ASIC New Scheme Constitution On Sep. 17, AST ASIC made order changing scheme constitution. BRZ CVM Securitization Reporting On Jul. 24, BRZ CVM issued circular on securitization data filings. Cboe BZX Market Maker Quoting On Sep. 6, Cboe BZX announced MM quoting obligation changes. ECB €STR Governance Guide On Jul. 11, ECB issued guidelines on the euro short-term rate. EDGX BZX Option Market Maker On Apr. 18, EDGX, BZX proposed to conform market maker rule. FDIC Deposit Insurance Records On Mar. 29, FDIC proposed records to assess insurance on failure. FINFSA Central Depositaries On Dec. 4, FINFSA issued rules on the reporting requirement. FINFSA Pension Transfer Capital On May 28, FINFSA proposed pension transfer solvency capital. FR GVT Accounting AML Standard On Aug. 4, FR GVT issued order approving professional standards. FR GVT Retirement Savings Reform On Aug. 1, FR GVT issued rules on the reform of retirement savings. FTC Telemarketing Fees Call List On Aug. 27, FTC updated rules on telemarketing sales rule fees. HK SFC, HKEX Backdoor Listing On Jun. 29, HK SFC supported HKEX backdoor listing initiative. IEX Fees For Extra Connections On Aug. 8, IEX proposed rules to charge fee for extra connections. IND RBI External Benchmark Lending On Sep. 4, IND RBI updated on external benchmark based lending. IND SEBI Encumbrance Disclosure On Aug. 7, IND SEBI updated on disclosure of encumbrance reasons. JPN FINMAC Dispute Resolution On Jul. 2, JPN FINMAC issued partial revision to mediation rules. JPN FSA Cash Machine Charges On May 20, JPN FSA issued draft amendment re ATM charges. NLD SJ Mandatory Digital Litigation On Jul. 15, NLD SJ issued mandatory civil digital litigation data. PBGC Terminated Single Plans On Aug. 15, PBGC issued rules on ending single-employer plans. POL GVT Benefit Payment Rules On Aug. 27, POL GVT issued supplementary benefit payment law. RSA CB Basel Reform Phase-in On Nov. 29, RSA CB proposed implementation for Basel reforms. RUS CB Faster Payments System On Aug. 19, RUS CB issued date to connect to payment system. RUS CB Microfinance Debt Burden On Jul. 4, RUS CB set requirements for calculating debt burden. RUS CB Mortgage Capital Buffers On Jul. 29, RUS CB retained risk ratio buffers for debt burden. RUS PRL Digital Economy Bill On Feb. 19, RUS PRL considered amendments to the digital law. SIN MAS LCR and NSFR Disclosure On Aug. 7, SIN MAS issued notices on liquidity, NSFR, disclosure. SLV ATVP Binary Options, CFDs On Jul. 24, SLV ATVP issued decision on CFDs and binary options. SLV ATVP Contracts For Difference On Sep. 5, SLV ATVP issued rules on CFDs and binary options. SWE FI Pillar 2 Currency Liquidity On Dec. 21, SWE FI issued pillar 2 rules for currency liquidity. SWE GVT Law Firm AML Rules On Mar. 29, SWE GVT issued AML measures regarding law firms. TSE Launch ETF Market Making On Dec. 21, TSE issued rules on new ETF market making scheme. UK CMA Prepayment Energy Cap On Jul. 31, UK CMA recommended adjusted energy price caps. UK OFGEM Energy Caps to Fall On Aug. 7, UK OFGEM announced reduced energy caps this winter.	Oct 02 ^nd ITA INS Supervisory Contribution On Sep. 2, ITA INS issued rules on 2019 fees for intermediaries.	Oct 03 ^rd	Oct 04 ^th HK SFC Margin Financing Risks On Aug. 17, HK SFC proposed new guidelines on margin finance.
Oct 07 ^th	Oct 08 ^th	Oct 09 ^th Fed Detailed G-SIB Reporting On Apr. 19, Fed adopted more granular reporting for US G-SIBs. OFAC Cuba Remittance Sanctions On Sep. 6, OFAC limited remittances to Cuba and ended U-turns.	Oct 10 ^th	Oct 11 ^th AST GVT Product Intervention Powers On Oct. 23, AST GVT published design and distribution rules.
Oct 14 ^th SAU Liberalization Trade Agreement On Sep. 2, SAU GVT announced agreement on trade in services. UK Treasury FCA Benchmark Power On Sep. 11, UK Treasury amended scope benchmark regulations.	Oct 15 ^th FHFA Credit Score Models On Aug. 13, FHFA published final rule on credit score models. HUD FHA Condominium Approvals On Aug. 14, HUD issued new rule for condominium approvals.	Oct 16 ^th CHI CB Cuts Deposit Reserve Ratio On Sep. 6, CHI CB reduced minimum bank deposit reserve ratio.	Oct 17 ^th	Oct 18 ^th Cboe Trading Circuit Breaker On Apr. 12, BZX, BYX, EDGX, EDGA extended trading halt pilot. Nasdaq Clearly Erroneous Pilot On Apr. 10, Nasdaq, PHLX extended clearly erroneous trade pilot.

Sep 16 ^th

N/A

Sep 17 ^th

N/A

Sep 18 ^th

N/A

Sep 19 ^th

N/A

Sep 20 ^th

Fed Same-Day ACH Effective

On Apr. 10, Fed guidance on same-day ACH enhancement.
IRE GVT Brexit Customs Capacity

On Aug. 7, IRE GVT announced initiative to help customs capacity.
OCC Partial Assessment Refunds

On Mar. 20, OCC proposed rules on partial fee assessment refunds.

Sep 23 ^rd

BUL FSC MiFIR Reporting Obligation

On Aug. 14, BUL FSC issued changes in XML schema of transactions.
HK Transfer Insurer Oversight

On Sep. 28, HKIA issued consultation on insurance intermediaries.
HKIA Setting of Penalty Levels

On Oct. 26, HKIA proposed guide on penalties for intermediaries.
ICE FUS Bitcoin Futures Contracts

On Aug. 16, ICE FUS announced Bakkt bitcoin futures contracts.
NIST Encryption Test Process

On Apr. 30, NIST announced on new fed encryption testing rules.
RUS NFA Precious Metal Trading

On Sep. 12, RUS NFA issued rules on precious metal transactions.

Sep 24 ^th

Sep 25 ^th

MEX CNBV Fintech Registration

On Jul. 3, MEX CNBV reminded fintechs must register by deadline.

Sep 26 ^th

EBA Phase 2 Reporting Framework

On Aug. 21, EBA published ITS reporting framework 2.9, phase 2.
ECB Gold Agreement Not Needed

On Jul. 26, ECB announced formal gold agreement no longer needed.
POL GVT Employee Capital Plans

On Sep. 12, POL GVT issued rules on submission of information.
POL GVT Payment Firm Shares

On Sep. 12, POL GVT rules on acquiring shares in payment firm.

Sep 27 ^th

Sep 30 ^th

BEL CB Outsourcing Guidelines

On Jul. 19, BEL CB issued circular on EU outsourcing guide.
BNG CB Loan Rescheduling Policy

On Jun. 25, BNG CB issued circular on loan rescheduling policy.
DoL Defining Employer Under ERISA

On Jul. 31, DoL issued final regulation on definition of employer.
EBA Outsourcing Arrangements

On Feb. 25, EBA published its revised guidelines on outsourcing.
EST CB Raise Housing Loan Risk

On Aug. 29, EST CB sets risk weight for Swedbank and SEB Pank.
FINFSA Share as Repayable Asset

On Mar. 29, FINFSA issued rules on the interpretation of a share.
FR ACPR Outsourcing Guidelines

On Jul. 15, FR ACPR stated compliance on EBA outsourcing guide.
HKMA Compliance, CAR Returns

On Jul. 5, HKMA revised compliance certificate, capital return.
IND SEBI Handling Client Security

On Jun. 20, IND SEBI issued rules on handling clients' securities.
IND SEBI Listed Company Accounts

On Jul. 5, IND SEBI issued rules on accounting for listed companies.
ITA INS 2019 Supervisory Fees

On Aug. 26, ITA INS issued decree on supervisory fees for 2019.
ITA INS Insurance Reporting

On Jun. 24, ITA INS issued letters to market dated Jun. 19, 20.
Italy PSD2 Prudential Reporting

On Sep. 14, Italy proposed revised prudential report instructions.
NFA Swap Dealer Supervision

On Mar. 8, NFA proposed rules to on swap dealer supervision.
SER CB Belarusian Ruble on Forex

On Sep. 12, SER CB added Belarusian ruble to currencies traded.
UK FCA Extend SMR Regime

On Jul. 26, FCA proposed extending SMR regime to all FCA firms.

Oct 01 ^st

AFCA Identified Name Complaints

On May 31, AFCA proposed rules to identify firms re complaints.
AST ASIC New Scheme Constitution

On Sep. 17, AST ASIC made order changing scheme constitution.
BRZ CVM Securitization Reporting

On Jul. 24, BRZ CVM issued circular on securitization data filings.
Cboe BZX Market Maker Quoting

On Sep. 6, Cboe BZX announced MM quoting obligation changes.
ECB €STR Governance Guide

On Jul. 11, ECB issued guidelines on the euro short-term rate.
EDGX BZX Option Market Maker

On Apr. 18, EDGX, BZX proposed to conform market maker rule.
FDIC Deposit Insurance Records

On Mar. 29, FDIC proposed records to assess insurance on failure.
FINFSA Central Depositaries

On Dec. 4, FINFSA issued rules on the reporting requirement.
FINFSA Pension Transfer Capital

On May 28, FINFSA proposed pension transfer solvency capital.
FR GVT Accounting AML Standard

On Aug. 4, FR GVT issued order approving professional standards.
FR GVT Retirement Savings Reform

On Aug. 1, FR GVT issued rules on the reform of retirement savings.
FTC Telemarketing Fees Call List

On Aug. 27, FTC updated rules on telemarketing sales rule fees.
HK SFC, HKEX Backdoor Listing

On Jun. 29, HK SFC supported HKEX backdoor listing initiative.
IEX Fees For Extra Connections

On Aug. 8, IEX proposed rules to charge fee for extra connections.
IND RBI External Benchmark Lending

On Sep. 4, IND RBI updated on external benchmark based lending.
IND SEBI Encumbrance Disclosure

On Aug. 7, IND SEBI updated on disclosure of encumbrance reasons.
JPN FINMAC Dispute Resolution

On Jul. 2, JPN FINMAC issued partial revision to mediation rules.
JPN FSA Cash Machine Charges

On May 20, JPN FSA issued draft amendment re ATM charges.
NLD SJ Mandatory Digital Litigation

On Jul. 15, NLD SJ issued mandatory civil digital litigation data.
PBGC Terminated Single Plans

On Aug. 15, PBGC issued rules on ending single-employer plans.
POL GVT Benefit Payment Rules

On Aug. 27, POL GVT issued supplementary benefit payment law.
RSA CB Basel Reform Phase-in

On Nov. 29, RSA CB proposed implementation for Basel reforms.
RUS CB Faster Payments System

On Aug. 19, RUS CB issued date to connect to payment system.
RUS CB Microfinance Debt Burden

On Jul. 4, RUS CB set requirements for calculating debt burden.
RUS CB Mortgage Capital Buffers

On Jul. 29, RUS CB retained risk ratio buffers for debt burden.
RUS PRL Digital Economy Bill

On Feb. 19, RUS PRL considered amendments to the digital law.
SIN MAS LCR and NSFR Disclosure

On Aug. 7, SIN MAS issued notices on liquidity, NSFR, disclosure.
SLV ATVP Binary Options, CFDs

On Jul. 24, SLV ATVP issued decision on CFDs and binary options.
SLV ATVP Contracts For Difference

On Sep. 5, SLV ATVP issued rules on CFDs and binary options.
SWE FI Pillar 2 Currency Liquidity

On Dec. 21, SWE FI issued pillar 2 rules for currency liquidity.
SWE GVT Law Firm AML Rules

On Mar. 29, SWE GVT issued AML measures regarding law firms.
TSE Launch ETF Market Making

On Dec. 21, TSE issued rules on new ETF market making scheme.
UK CMA Prepayment Energy Cap

On Jul. 31, UK CMA recommended adjusted energy price caps.
UK OFGEM Energy Caps to Fall

On Aug. 7, UK OFGEM announced reduced energy caps this winter.

Oct 02 ^nd

ITA INS Supervisory Contribution

On Sep. 2, ITA INS issued rules on 2019 fees for intermediaries.

Oct 03 ^rd

Oct 04 ^th

HK SFC Margin Financing Risks

On Aug. 17, HK SFC proposed new guidelines on margin finance.

Oct 07 ^th

Oct 08 ^th

Oct 09 ^th

Fed Detailed G-SIB Reporting

On Apr. 19, Fed adopted more granular reporting for US G-SIBs.
OFAC Cuba Remittance Sanctions

On Sep. 6, OFAC limited remittances to Cuba and ended U-turns.

Oct 10 ^th

Oct 11 ^th

AST GVT Product Intervention Powers

On Oct. 23, AST GVT published design and distribution rules.

Oct 14 ^th

SAU Liberalization Trade Agreement

On Sep. 2, SAU GVT announced agreement on trade in services.
UK Treasury FCA Benchmark Power

On Sep. 11, UK Treasury amended scope benchmark regulations.

Oct 15 ^th

FHFA Credit Score Models

On Aug. 13, FHFA published final rule on credit score models.
HUD FHA Condominium Approvals

On Aug. 14, HUD issued new rule for condominium approvals.

Oct 16 ^th

CHI CB Cuts Deposit Reserve Ratio

On Sep. 6, CHI CB reduced minimum bank deposit reserve ratio.

Oct 17 ^th

Oct 18 ^th

Cboe Trading Circuit Breaker

On Apr. 12, BZX, BYX, EDGX, EDGA extended trading halt pilot.
Nasdaq Clearly Erroneous Pilot

On Apr. 10, Nasdaq, PHLX extended clearly erroneous trade pilot.

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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