Fintech Rule Tracker

Fintech Rule Tracker organizes records from Federal Register API into a static ledger for transparent comparison. It preserves official source links and dates, marks missing enrichment, and adds deterministic grouping, change, recency, trend, or significance fields only where the documented inputs support them, without recommendations or unsupported claims.

Records: 5,000
Last changed: 08/27/2026
Update schedule: 35 1 * * * UTC
Coverage: 03/28/2022–08/26/2026
Method: Methodology

2023-02-15

Proposed Collection; Comment Request; Extension: Rule 103

Title: Proposed Collection; Comment Request; Extension: Rule 103
Record Date: 02/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,289.07

Proposed Collection; Comment Request; Extension: Rule 101

Title: Proposed Collection; Comment Request; Extension: Rule 101
Record Date: 02/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,289.07

2024-02-14

Proposed Collection; Comment Request; Extension: Rule 12f-3

Title: Proposed Collection; Comment Request; Extension: Rule 12f-3
Record Date: 02/14/2024
Event Classification: regulatory-event
Age Or Deadline Days: 925.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830
Record Date: 02/14/2024
Event Classification: regulatory-event
Age Or Deadline Days: 925.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 02/14/2024
Event Classification: regulatory-event
Age Or Deadline Days: 925.07

2023-02-08

Premerger Notification; Reporting and Waiting Period Requirements

Title: Premerger Notification; Reporting and Waiting Period Requirements
Record Date: 02/08/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,296.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 02/08/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,296.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.19 Concerning Pre-Trade Risk Controls

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.19 Concerning Pre-Trade Risk Controls
Record Date: 02/08/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,296.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part N1 of the Delivery Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part N1 of the Delivery Procedures
Record Date: 02/08/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,296.07

Agency Information Collection Activities; Comment Request

Title: Agency Information Collection Activities; Comment Request
Record Date: 02/08/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,296.07

2024-02-07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Early Termination of Complex Order Auctions

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding Early Termination of Complex Order Auctions
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Pando Asset Spot Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Pando Asset Spot Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Modify the DTC Settlement Service Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Approving of Proposed Rule Change To Modify the DTC Settlement Service Guide
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) To Permit the Use of the Post Only Order Instruction at Prices Below $1.00
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

Proposed Collection; Comment Request; Extension: Rule 17g-3

Title: Proposed Collection; Comment Request; Extension: Rule 17g-3
Record Date: 02/07/2024
Event Classification: regulatory-event
Age Or Deadline Days: 932.07

2023-02-01

Registry of Supervised Nonbanks That Use Form Contracts To Impose Terms and Conditions That Seek To Waive or Limit Consumer Legal Protections

Title: Registry of Supervised Nonbanks That Use Form Contracts To Impose Terms and Conditions That Seek To Waive or Limit Consumer Legal Protections
Record Date: 02/01/2023
Event Classification: award
Age Or Deadline Days: 1,303.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 02/01/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,303.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders
Record Date: 02/01/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,303.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 4120

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 4120
Record Date: 02/01/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,303.07

Notice of Applications for Deregistration

Title: Notice of Applications for Deregistration
Record Date: 02/01/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,303.07

2022-12-28

Proposed Collection; Comment Request; Extension: Rule 17a-22

Title: Proposed Collection; Comment Request; Extension: Rule 17a-22
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Proposed Collection; Comment Request; Extension: Form N-8B-4

Title: Proposed Collection; Comment Request; Extension: Form N-8B-4
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Forum Real Estate Income Fund, et al.

Title: Forum Real Estate Income Fund, et al.
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Representations Relating to the Stance Equity ESG Large Cap Core ETF
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Annual Listing Fee Set Forth in Section 902.03 of the NYSE Listed Company Manual
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 6
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 6 To Add Port Fees
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 7
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 7 To Add Market Data Fees
Record Date: 12/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,338.07

2023-12-27

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product
Record Date: 12/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 974.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Short Term Option Series Program

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Short Term Option Series Program
Record Date: 12/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 974.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product
Record Date: 12/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 974.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Addendum A (Fee Structure)

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Addendum A (Fee Structure)
Record Date: 12/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 974.07

2022-12-21

Home Mortgage Disclosure (Regulation C); Judicial Vacatur of Coverage Threshold for Closed-End Mortgage Loans

Title: Home Mortgage Disclosure (Regulation C); Judicial Vacatur of Coverage Threshold for Closed-End Mortgage Loans
Record Date: 12/21/2022
Event Classification: deadline
Age Or Deadline Days: 1,345.07

Technical Amendments to Commission Rules

Title: Technical Amendments to Commission Rules
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-8050-3 To Establish Functionality That Will Reject Market Maker Quotes When Those Quotes Would Otherwise Lock or Cross the National Best Bid or Offer
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule To Remove a Monthly Credit Associated With Trading Permit Fees
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository

Title: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Reflect Adjustments to FINRA's Registration Fees Related to the Central Registration Depository
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 11

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Requirements in Equity 2, Sections 4, 5, and 11
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fees Schedule To Adopt Global Trading Hours XSP Lead Market-Makers Incentive Programs
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,345.07