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

2023-01-12

Proposed Collection; Comment Request; Extension: Rule 17d-1

Title: Proposed Collection; Comment Request; Extension: Rule 17d-1
Record Date: 01/12/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,323.07

2024-01-11

Children's Online Privacy Protection Rule

Title: Children's Online Privacy Protection Rule
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Adjustments to Civil Monetary Penalty Amounts

Title: Adjustments to Civil Monetary Penalty Amounts
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Modelling Framework

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Modelling Framework
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the COtwo Advisors Physical European Carbon Allowance Trust Under NYSE Arca Rule 8.201-E
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

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

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

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: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Proposed Collection; Comment Request; Extension: Form 24F-2

Title: Proposed Collection; Comment Request; Extension: Form 24F-2
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Civil Penalty Inflation Adjustments

Title: Civil Penalty Inflation Adjustments
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

Octagon XAI CLO Income Fund and XA Investments LLC

Title: Octagon XAI CLO Income Fund and XA Investments LLC
Record Date: 01/11/2024
Event Classification: regulatory-event
Age Or Deadline Days: 959.07

2023-01-05

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Temporary Rule Relief in Rule 36.30

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Temporary Rule Relief in Rule 36.30
Record Date: 01/05/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,330.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Risk Checks of Rule Nasdaq Equity 6, Section 5 Risk Settings That Provide Participants With Additional Optional Settings

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Risk Checks of Rule Nasdaq Equity 6, Section 5 Risk Settings That Provide Participants With Additional Optional Settings
Record Date: 01/05/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,330.07

Proposed Collection; Comment Request; Extension: Customer Account Statements

Title: Proposed Collection; Comment Request; Extension: Customer Account Statements
Record Date: 01/05/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,330.07

Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 01/05/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,330.07

2024-01-04

Combating Auto Retail Scams Trade Regulation Rule

Title: Combating Auto Retail Scams Trade Regulation Rule
Record Date: 01/04/2024
Event Classification: regulatory-event
Age Or Deadline Days: 966.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules To Accommodate the Listing of Options Series That Would Expire at the Close of Business on the Last Business Day of a Calendar Month (“Monthly Options Series”)

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules To Accommodate the Listing of Options Series That Would Expire at the Close of Business on the Last Business Day of a Calendar Month (“Monthly Options Series”)
Record Date: 01/04/2024
Event Classification: deadline
Age Or Deadline Days: 966.07

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 01/04/2024
Event Classification: regulatory-event
Age Or Deadline Days: 966.07

2024-02-29

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers

Title: Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Content of the NYSE Best Quote & Trades Data Feed

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Content of the NYSE Best Quote & Trades Data Feed
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

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: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change, as Modified by Amendment No. 2 To Amend Rule 915 To Permit the Listing and Trading of Options on the Bitwise Bitcoin ETF, the Grayscale Bitcoin Trust, and Any Trust That Holds Bitcoin

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change, as Modified by Amendment No. 2 To Amend Rule 915 To Permit the Listing and Trading of Options on the Bitwise Bitcoin ETF, the Grayscale Bitcoin Trust, and Any Trust That Holds Bitcoin
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.91P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.91P-O
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

Avast Limited et al.; Analysis of Proposed Consent Order To Aid Public Comment

Title: Avast Limited et al.; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 02/29/2024
Event Classification: regulatory-event
Age Or Deadline Days: 910.07

2023-02-23

J.P. Morgan Investment Management Inc.

Title: J.P. Morgan Investment Management Inc.
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

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: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

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

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Options 7, Section 7
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

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

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments Part Q of its White Sugar Delivery Procedures
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44 Relating to the Retail Liquidity Program

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.44 Relating to the Retail Liquidity Program
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

Proposed Collection; Comment Request; Extension: Form N-3

Title: Proposed Collection; Comment Request; Extension: Form N-3
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

The RBB Fund, Inc., et al.

Title: The RBB Fund, Inc., et al.
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

The RBB Fund, Inc., et al.

Title: The RBB Fund, Inc., et al.
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 02/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,281.07

2024-02-22

Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Twenty-Third Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., The Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, MIAX Pearl, LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Title: Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Twenty-Third Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., The Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, MIAX Pearl, LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.
Record Date: 02/22/2024
Event Classification: regulatory-event
Age Or Deadline Days: 917.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1308 To Extend the Temporary Remote Inspection Relief for Members Through June 30, 2024

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1308 To Extend the Temporary Remote Inspection Relief for Members Through June 30, 2024
Record Date: 02/22/2024
Event Classification: regulatory-event
Age Or Deadline Days: 917.07

Combating Auto Retail Scams Trade Regulation Rule

Title: Combating Auto Retail Scams Trade Regulation Rule
Record Date: 02/22/2024
Event Classification: regulatory-event
Age Or Deadline Days: 917.07

Supervisory Appeals Process

Title: Supervisory Appeals Process
Record Date: 02/22/2024
Event Classification: regulatory-event
Age Or Deadline Days: 917.07

2023-02-16

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Record Date: 02/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,288.07

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: 02/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,288.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed
Record Date: 02/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,288.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Data Product Called the Cboe One Options Feed
Record Date: 02/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,288.07

2024-02-15

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Equities Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Equities Fee Schedule
Record Date: 02/15/2024
Event Classification: regulatory-event
Age Or Deadline Days: 924.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Regarding Periodic Auctions

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Regarding Periodic Auctions
Record Date: 02/15/2024
Event Classification: regulatory-event
Age Or Deadline Days: 924.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Related to Stock-Option Orders

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Related to Stock-Option Orders
Record Date: 02/15/2024
Event Classification: regulatory-event
Age Or Deadline Days: 924.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Enhancements to Its DMM Program

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Enhancements to Its DMM Program
Record Date: 02/15/2024
Event Classification: regulatory-event
Age Or Deadline Days: 924.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5815 and 5820 To Modify the Deadline To Submit the Required Fee for a Hearing Request and To Remove Obsolete Language

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5815 and 5820 To Modify the Deadline To Submit the Required Fee for a Hearing Request and To Remove Obsolete Language
Record Date: 02/15/2024
Event Classification: deadline
Age Or Deadline Days: 924.07

2023-02-09

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Record Date: 02/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,295.07

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: 02/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,295.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830
Record Date: 02/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,295.07