United States Regulatory Deadlines
There are 44 upcoming United States regulatory deadlines. The next is "CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning the Inclusion of Certain Event Contracts in the Definition of Swap", on 9 November 2026. Reg Monitoring tracks 175 United States deadlines in total, including 131 that have closed.
United States · All United States updates
Open deadlines
November 2026 14
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning the Inclusion of Certain Event Contracts in the Definition of Swap
Comments to the NPRM must be submitted in writing via Regulations.gov and received within 30 days of the NPRM’s publication in the Federal Register.
- OCC Raises Concerns with California's Climate Disclosure Laws
Per the Notice of Upcoming Rulemaking Update, the deadline for entities to report Scope 1 and Scope 2 greenhouse gas emissions is November 10, 2026.
- Raymond Lawrence Lent (Dba the Putney Financial Group and Registered Investment Advisors)
Comments due: 30 days from date of this Notice
- Christopher Williams
Respondent shall, within 10 days of the entry of this Order, pay a civil money penalty in the amount of $60,000 to the Securities and Exchange Commission.
- United Planners’ Financial Services of America A Limited Partner
Respondent United Planners shall, within 30 days of the entry of this Order, pay a civil money penalty in the amount of $600,000 to the Securities and Exchange Commission.
December 2026 17
- CFTC Issues Impartial Access Requirements Interpretation
Thirty-day period expires for DCMs to cease domestic geographic restrictions that violate the impartial-access requirements or submit an explanation to the Division of Market Oversight why compliance is not feasible; the same period applies to addressing intermediary impediments or explaining why compliance is not feasible.
- Homeownership Counseling: Revised Comptroller’s Handbook Booklet
The notice must be given to a delinquent homeowner borrower no later than 45 days after the date on which the homeowner becomes delinquent.
- SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
Compliance date for applicable eligible secondary market cash transactions involving U.S. Treasury securities.
January 2027 11
- Federal Reserve Board announces enforcement action against American Express Company to address, among other things, the firm’s failure to sufficiently detect and report certain suspicious activity related to money laundering
Approximate deadline for American Express National Bank to submit the OCC-required written Action Plan within 90 days of the October 8, 2026 order, subject to the order's day-counting conventions.
- GENIUS Act: Waivers and Application Submission Guidance
The GENIUS Act and OCC final rule become effective; the Prior Approval Requirement generally applies, and unauthorized issuance of a payment stablecoin in the United States may carry criminal penalties.
- GENIUS Act Regulations: Final Rule
The GENIUS Act and OCC final rule take effect; U.S. payment stablecoin issuance generally requires permitted payment stablecoin issuer status, and a substantially complete application must be pending by this date to support eligibility for an OCC waiver request.
- OCC Advances U.S. Digital Asset Leadership with Final Rule to Implement GENIUS Act
The GENIUS Act and OCC final rule take effect; U.S. payment-stablecoin issuance generally requires permitted payment stablecoin issuer approval, and existing issuers seeking a waiver generally must have a pending substantially complete OCC application by this date.
- GENIUS Act: Revised Reporting Forms and Instructions for Permitted Payment Stablecoin Issuers Subject to the Jurisdiction of the Office of the Comptroller of the Currency
First weekly PS-01 report date, subject to OMB approval of the information collection.
- Federal Reserve Board announces approval of application by The Bank of Nova Scotia
The proposal may not be consummated before the fifteenth calendar day after the effective date of this order or later than three months thereafter, unless the period is extended for good cause by the Board or the Federal Reserve Bank of Dallas, acting under delegated authority.
- Press Release: Joint Statement of Enforcement Policy in support of Venezuela’s Economic Recovery and Earthquake Relief Efforts
End of the stated commitment period for the agencies’ enforcement-policy non-action position
- Notification: Statement of Enforcement Policy in Support of Venezuela’s Economic Recovery and Earthquake Relief Efforts
End of the covered period for the joint enforcement commitment.
February 2027 1
- Amendments to the “Small Business” and “Small Organization” Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
The amendments to Advisers Act rule 203-3(b) and Form ADV become effective and compliance is required.
July 2027 1
- CFTC Further Extends Compliance Date for Amendments to Form PF
The Commodity Futures Trading Commission today published a Joint Final Rule with the Securities and Exchange Commission further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024 ('Form PF Amendments'), from October 1, 2026, to July 1, 2027.
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Kept for reference — useful when checking when a consultation closed or when a rule came into force.
November 2026 10
- Stephen Kenneth Leech II
Defendant shall satisfy this obligation by paying $3,000,000 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment.
October 2026 33
- Ecomax, Inc.
The revocation is effective as of October 30, 2026.
- CFTC Issues No-Action Letter for DCMs Regarding Converting Existing Perpetual-Style Broad-Based Security Index Futures into True Perpetual Futures
The no action positions in this letter expire on October 20, 2026.
- OCC Assesses $350 Million Civil Money Penalty Against American Express
The Bank shall make payment of a civil money penalty in the total amount of three hundred fifty million dollars ($350,000,000), which shall be paid upon the execution of this Order.
- Proposal of Special Measure Regarding Convertible Virtual Currency Mixing, as a Class of Transactions of Primary Money Laundering Concern; Withdrawal
FinCEN is withdrawing the proposed rulemaking published at 88 FR 72701 (October 23, 2023), as of October 6, 2026.
- Requirements for Certain Transactions Involving Convertible Virtual Currency or Digital Assets; Withdrawal
FinCEN is withdrawing the proposed rule published at 85 FR 83840 (December 23, 2020), as of October 6, 2026.
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning Affiliations Among Certain CFTC-Regulated Entities
Comments will be accepted for 60 days following publication in the Federal Register. The notice was published in the Federal Register on August 6, 2026.
- Federal Reserve Board requests comment on a proposal to modernize rules for mutual banking organizations
Comment period closes 60 days after Federal Register publication, according to secondary reporting and the referenced publication timeline.
- Federal Reserve Board requests comment on a proposal to modernize its rule governing the extension of credit to bank "insiders"—bank executives, board members and major shareholders who could potentially influence a bank's lending decisions
Expected comment deadline stated in the Federal Register notice
- OCC Requests Comment on Proposed Rulemaking on the OCC Rules Regarding the Availability of OCC Information
Comments on the proposal are due 60 days after publication in the Federal Register
- Bank Supervision: OCC Rules Regarding the Availability of OCC Information
Comment period closes 60 days after publication, based on the OCC’s stated deadline formula in the related rulemaking notice
- SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
Effective Date: The joint rule is effective on October 1, 2026.
- CFPB Announces Joint Final Rule on Adopting Uniform Standards for Reporting Financial Data
Effective date: The joint rule is effective on October 1, 2026.
- Agencies Issue Joint Proposal Amending the Community Reinvestment Act Rules
Approximate comment deadline, calculated as 60 days after the July 31, 2026 publication date if the proposal was published in the Federal Register on the same day as the release
September 2026 23
- Newpoint Financial Corp.
Respondent shall file an Answer to the allegations contained in this Order within ten (10) days after service of this Order.
- SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
Comments should be received on or before September 21, 2026.
- Statement on Proposed Regulation E-Delivery
Deadline for public comments on the proposal
- Paper Taper: Statement on Proposed Regulation E-Delivery
Public comments due on the proposal
- Tai Mo Shan Limited
Comments Due: 30 days from date of this Notice
- Federal Reserve Board requests comment on a proposal to amend its requirements for banks to maintain anti-money laundering programs
Indicative comment deadline if the proposal is published in the Federal Register on July 7, 2026; the Federal Reserve states comments are due 60 days after Federal Register publication
August 2026 25
- SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
DATES: Comments must be received on or before August 31, 2026.
- SEC Seeks Public Comment on Novel Exchange-Traded Funds
The public comment period will remain open for 60 days following publication of the request for comment in the Federal Register.
- CFTC Orders UBS Financial Services Inc. to Pay $8 Million for Supervision Failures Impacting Its AML Transaction Monitoring Systems
Respondent shall pay a civil monetary penalty in the amount of eight million dollars ($8,000,000) (“CMP Obligation”) within thirty (30) days of the date of the entry of this Order.
- CFTC Seeks Public Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities
The comment period for the request for comment published June 25, 2026, at 91 FR 38334, is extended through August 26, 2026.
- Special Purpose Credit Programs: Rescission of Interagency Statement
the agencies rescind the guidance provided in the Interagency Statement, effective immediately.
- SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Comments must be submitted by August 24, 2026.
- SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Comments must be received by August 24, 2026.
- CFTC, SEC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Comments must be received on or before August 24, 2026.
- CFTC, SEC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Comments Due: Aug. 24, 2026
- Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Payment deadline for the $28 million penalty by Wells Fargo Clearing Services, LLC and the $7 million penalty by Wells Fargo Advisors Financial Network, LLC, within 10 days of entry of the order
- Federal Reserve Board announces approval of application by National Westminster Bank Plc
By order, approved pursuant to authority delegated by the Board, effective August 20, 2026.
- Statement on the Proposed Amendments to Regulation NMS
Public comment period closes according to contemporaneous SEC practitioner coverage of the proposal
- SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Comments on the Proposal are due by Monday, August 17, 2026.
- CFTC Approves Final Rule Amending Margin Requirements for Uncleared Swaps
Effective August 17, 2026, the CFTC adopted a Final Rule amending its margin requirements for uncleared swaps applicable to swap dealers and major swap participants that are not subject to prudential regulator margin rules.
- The CFPB to Cease Discretionary Publication of Complaint Narratives and Visualizations
Today, the CFPB is ceasing publication of unverified complaint narratives and visualizations.
- Disorder Protection Rule: Statement on the Proposed Amendments to Rule 611 and Other Provisions of Regulation NMS
Comment period end date if counted as 60 days from the June 17, 2026 Federal Register publication date stated in the source materials
- Statement at the SEC Open Meeting on the Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
Comment period deadline if measured as 60 days after the June 11, 2026 Federal Register publication date reflected in the SEC materials
- Federal Reserve Board issues enforcement action with TS Banking Group, Inc. and TS Contrarian Bancshares, Inc.
Cash flow forecasts due 30 days after the agreement date, as described in the agreement reporting
- SEC Proposes Rescission of Climate-Related Disclosure Rules
Comments should be received on or before August 3, 2026.
July 2026 11
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning Data Reporting Requirements for Certain Event Contracts
Comments must be received on or before July 31, 2026.
- Federal Reserve Board issues enforcement action with Small Business Bank and announces termination enforcement actions with BNP Paribas S.A., BNP Paribas USA, Inc., BNP Paribas Securities Corp., and Community Bankshares, Inc.
Approximate latest date to increase equity if measured as 30 days from the June 29, 2026 directive date; the exact deadline depends on the directive's effective date and any permitted extension
- SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
Public Comments Due July 27, 2026
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning Event Contracts Involving Enumerated Activities
Comments must be in writing and received by July 27, 2026.
- GENIUS Act: Anti-Money Laundering/Countering the Financing of Terrorism and Sanctions Compliance: Notice of Proposed Rulemaking
Planned deadline for comments, if the Federal Register publication date aligns with the bulletin date and the OCC’s 30-day comment period is measured from publication
- Bowman, Modernizing Financial Regulation
FSB public comment deadline for the consultation report on sound practices for responsible adoption of AI
- Press Release: Agencies Issue Joint Statement on Handling of Highly Sensitive Information During Bank Examinations
Affected banks must be notified of any potential or confirmed material data breach involving confidential supervisory information no later than 72 hours after discovery, unless legal restrictions apply
- SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
Comments should be received on or before July 6, 2026.
- CFTC Orders Two Foreign Firms to Pay $2.5 Million for Illegal Off-Exchange Transactions with U.S. Customers
Netrios shall pay a civil monetary penalty in the amount of one million seven hundred fifty thousand dollars ($1,750,000), and Red Acre shall pay a civil monetary penalty in the amount of seven hundred fifty thousand dollars ($750,000) (collectively, the “CMP Obligations”), within ten (10) days of the date of the entry of this Order.
June 2026 6
- CFTC and SEC Jointly Propose Amendments to Strengthen Disclosure and Reduce Private Fund Reporting Burdens
Comments should be received on or before June 23, 2026.
- SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
Comments should be received on or before June 23, 2026.
- SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The public comment period will remain open for 60 days following publication of the concept release in the Federal Register.
- CFTC Issues Proposed Rule to Modify Clearing Requirement for Canadian Dollar- and Mexican Peso-Denominated Interest Rate Swaps
Comments must be received by June 11, 2026.
- CFTC Seeks Public Comment Relating to Commitments of Traders Reports
DATES: Comments must be received on or before June 4, 2026.
- The CFPB Works To Ensure Bilt Consumers Are Made Whole
Bilt is in the process of reviewing requests for reimbursement and, by June 4, will reimburse fees for more than 500 newly identified customers from its outreach following discussions with the CFPB.