The Cabinet Regulatory Tracker is a list of comment and reporting deadlines. Click on the links below to view deadlines from December 1, 2021, to December 15, 2021.
Comment Deadlines
- December 1: SEC - Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes
- December 6: FINRA - Proposed Order Routing Disclosures for OTC Equity Securities
- December 8: Small Business Administration - National Defense Authorization Act of 2020, Definition of Surviving Spouse for Service-Disabled Veteran-Owned Small Businesses and Change to 8(a) Business Development Contracting Thresholds
- December 10: Treasury - Regulations Pertaining to Certain Investments in the United States by Foreign Persons and Regulations Pertaining to Certain Transactions by Foreign Persons Involving Real Estate in the United States
- December 13: DOL, EBSA - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights
- December 14: SEC - Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Reporting Deadline
- December 13: SEC - Full coverage of equities and options reporting for large and small broker-dealers
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
