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

2022-07-28

Proposed Collection; Comment Request; Extension: Rule 31a-2

Title: Proposed Collection; Comment Request; Extension: Rule 31a-2
Record Date: 07/28/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,491.07

2023-07-27

Semiannual Regulatory Agenda

Title: Semiannual Regulatory Agenda
Record Date: 07/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,127.07

Regulatory Flexibility Agenda

Title: Regulatory Flexibility Agenda
Record Date: 07/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,127.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Change How Certain Complex Orders Are Assessed Within the Fee Structure

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Change How Certain Complex Orders Are Assessed Within the Fee Structure
Record Date: 07/27/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,127.07

2026-07-23

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend BOX Rule 3060 (Gratuities) To Conform With FINRA Rule 3220

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend BOX Rule 3060 (Gratuities) To Conform With FINRA Rule 3220
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Options Regulatory Fee (ORF) Under the New Methodology for Transactions That Occur on the Exchange

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Options Regulatory Fee (ORF) Under the New Methodology for Transactions That Occur on the Exchange
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

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

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 608

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 608
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-3

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-3
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 611

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 611
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 206(4)-6

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 206(4)-6
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Apogem Capital LLC, et al.

Title: Apogem Capital LLC, et al.
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

2022-07-21

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Concerning the Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2022
Record Date: 07/21/2022
Event Classification: deadline
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31-E(a)(2)(B) Regarding Limit Order Price Protection

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive Change to Rule 7.31-E(a)(2)(B) Regarding Limit Order Price Protection
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the Route to Primary Auction Routing Option Under Exchange Rule 2617(b)(5)(B)

Title: Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the Route to Primary Auction Routing Option Under Exchange Rule 2617(b)(5)(B)
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

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

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Connectivity Fees
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request
Record Date: 07/21/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,498.07

2023-07-20

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 07/20/2023
Event Classification: award
Age Or Deadline Days: 1,134.07

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

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 07/20/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,134.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework
Record Date: 07/20/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,134.07

Children's Online Privacy Protection Rule Proposed Parental Consent Method; Application of the ESRB Group for Approval of Parental Consent Method

Title: Children's Online Privacy Protection Rule Proposed Parental Consent Method; Application of the ESRB Group for Approval of Parental Consent Method
Record Date: 07/20/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,134.07

2026-07-16

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1210 (Registration Requirements)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1210 (Registration Requirements)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for All Origins

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for All Origins
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level

Title: Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

2022-07-14

Sixth Street Specialty Lending, Inc., et al

Title: Sixth Street Specialty Lending, Inc., et al
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail

Title: Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 07/14/2022
Event Classification: award
Age Or Deadline Days: 1,505.07

In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail; In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Exchange Act and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail; Order Denying Stay

Title: In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail; In the Matter of the: Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Exchange Act and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail; Order Denying Stay
Record Date: 07/14/2022
Event Classification: award
Age Or Deadline Days: 1,505.07

Proposed Collection; Comment Request; Extension: Rule 194

Title: Proposed Collection; Comment Request; Extension: Rule 194
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade FLexible EXchange Index Options With an Index Multiplier of One

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade FLexible EXchange Index Options With an Index Multiplier of One
Record Date: 07/14/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,505.07