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

2023-09-18

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/18/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,074.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/18/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,074.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/18/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,074.07

2022-09-12

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating To Providing Clearing Services for Additional Index and Single Name CDS

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating To Providing Clearing Services for Additional Index and Single Name CDS
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the BX Retail Price Improvement Program

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the BX Retail Price Improvement Program
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt the Primary Peg Order Type

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt the Primary Peg Order Type
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/12/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,445.07

2023-09-11

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Triparty Collateral Mechanism Fee Changes

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Triparty Collateral Mechanism Fee Changes
Record Date: 09/11/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,081.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Requirements Relating to the Waiver of the Code of Conduct in Listing Rule 5610 and IM-5610

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Requirements Relating to the Waiver of the Code of Conduct in Listing Rule 5610 and IM-5610
Record Date: 09/11/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,081.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33.01

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to the Continuing Education for Registered Persons as Provided Under Exchange Rule 3.33.01
Record Date: 09/11/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,081.07

Intercontinental Exchange, Inc. and Black Knight, Inc.; Analysis of Agreement Containing Consent Order To Aid Public Comment

Title: Intercontinental Exchange, Inc. and Black Knight, Inc.; Analysis of Agreement Containing Consent Order To Aid Public Comment
Record Date: 09/11/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,081.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 09/11/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,081.07

2022-10-31

Submission for OMB Review; Comment Request; Extension: Regulation S-AM

Title: Submission for OMB Review; Comment Request; Extension: Regulation S-AM
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-13

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-13
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Commentary .01 of NYSE National Rule 2.1210

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Commentary .01 of NYSE National Rule 2.1210
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757 To Enhance the Anti-Internalization Functionality Available on the Exchange

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4757 To Enhance the Anti-Internalization Functionality Available on the Exchange
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of Article 6, Rule 13

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of Article 6, Rule 13
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of NYSE Arca Rule 2.1210

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 of NYSE Arca Rule 2.1210
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating To Providing Clearing Services for Additional Index and Single Name CDS

Title: Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Relating To Providing Clearing Services for Additional Index and Single Name CDS
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3307 To Enhance the Anti-Internalization Functionality Available on the Exchange

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3307 To Enhance the Anti-Internalization Functionality Available on the Exchange
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/31/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.07

2023-10-30

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

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Physical Port Fees
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Clearing Membership Policy and Clearing Membership Procedures
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, T o Permit Legging Through the Simple Market

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, T o Permit Legging Through the Simple Market
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule Related to Physical Port Fees
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

Eaton Vance Floating-Rate Opportunities Fund and Eaton Vance Management

Title: Eaton Vance Floating-Rate Opportunities Fund and Eaton Vance Management
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.07

2022-10-24

Proposed Collection; Comment Request; Extension: Rule 602

Title: Proposed Collection; Comment Request; Extension: Rule 602
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Proposed Collection; Comment Request; Extension: Rule 18f-1 and Form N-18f-1

Title: Proposed Collection; Comment Request; Extension: Rule 18f-1 and Form N-18f-1
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Proposed Collection; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO

Title: Proposed Collection; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC and MEMX LLC Concerning Options-Related Sales Practice Matters
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Title: Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/24/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,403.07

2023-10-23

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,039.07

2022-10-17

Trade Regulation Rule on Impersonation of Government and Businesses

Title: Trade Regulation Rule on Impersonation of Government and Businesses
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Main Street Capital Corporation, et al.

Title: Main Street Capital Corporation, et al.
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Sections 140 and 141 of the NYSE American Company Guide To Waive Initial Listing Fees and Annual Listing Fees for the Remainder of the Year the Listing Occurs for an Issuer Listing Upon Closing of Its Acquisition of an Exchange-Listed Special Purpose Acquisition Company

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Sections 140 and 141 of the NYSE American Company Guide To Waive Initial Listing Fees and Annual Listing Fees for the Remainder of the Year the Listing Occurs for an Issuer Listing Upon Closing of Its Acquisition of an Exchange-Listed Special Purpose Acquisition Company
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

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: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 11.190(g) To Provide an Alternative Calculation for Pegged Order Types for Determining Whether a Quote Instability Condition Exists
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change 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; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Securities Listed on the Exchange Pursuant to a Primary Direct Floor Listing
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/17/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,410.07

2023-10-16

Submission for OMB Review; Comment Request; Extension: Rule 17a-11

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-11
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-5
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Submission for OMB Review; Comment Request; Extension: Rule 10b-17

Title: Submission for OMB Review; Comment Request; Extension: Rule 10b-17
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Submission for OMB Review; Comment Request; Extension: Rule 17a-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-5
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Consumer Information Requests to Large Banks and Credit Unions

Title: Consumer Information Requests to Large Banks and Credit Unions
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,046.07