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: 08/30/2026
Update schedule: 35 1 * * * UTC
Coverage: 03/28/2022–08/31/2026
Method: Methodology

2022-10-07

Submission for OMB Review; Comment Request; Extension: Rule 17a-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-3
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.19

Submission for OMB Review; Comment Request; Extension: Rule 237

Title: Submission for OMB Review; Comment Request; Extension: Rule 237
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.19

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk and Resilience Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk and Resilience Policy
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.19

PennantPark Investment Advisers, LLC, et al.

Title: PennantPark Investment Advisers, LLC, et al.
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.19

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 10/07/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,423.19

2022-11-25

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Title: Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Business Opportunity Rule

Title: Business Opportunity Rule
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to ICE Clear Europe Operational Risk and Resilience Policy
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7)

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify IEX Rule 11.190(b)(7)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Order Cancelling Registrations of Certain Transfer Agents

Title: Order Cancelling Registrations of Certain Transfer Agents
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program)

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-5050-6 (Short Term Option Series Program)
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

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: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

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

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.28(a) To Extend the MOC Cut-Off Time
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

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: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ATR and Re-Pricing Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 11/25/2022
Event Classification: award
Age Or Deadline Days: 1,374.19

Supervisory Highlights, Issue 28, Fall 2022

Title: Supervisory Highlights, Issue 28, Fall 2022
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Fair Credit Reporting Act Disclosures

Title: Fair Credit Reporting Act Disclosures
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 11/25/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,374.19

2023-11-24

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)
Record Date: 11/24/2023
Event Classification: award
Age Or Deadline Days: 1,010.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) To Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) To Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications
Record Date: 11/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,010.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 11/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,010.19

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Record Date: 11/24/2023
Event Classification: award
Age Or Deadline Days: 1,010.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)
Record Date: 11/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,010.19

2022-11-18

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: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend the NYSE Arca Equities Fees and Charges
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

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

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Proposed Collection; Comment Request; Extension: Rule 10b-10

Title: Proposed Collection; Comment Request; Extension: Rule 10b-10
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Proposed Collection; Comment Request; Extension: Rule 3a71-3(d)

Title: Proposed Collection; Comment Request; Extension: Rule 3a71-3(d)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rule 6c-11

Title: Submission for OMB Review; Comment Request; Extension: Rule 6c-11
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rule 204-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 204-5
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rule 22c-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 22c-1
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)

Title: Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rule 17a-6

Title: Submission for OMB Review; Comment Request; Extension: Rule 17a-6
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-2
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37

Title: Proposed Collection; Comment Request; Extension: 7a-15 Through 7a-37
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Proposed Collection; Comment Request; Extension: Schedule 13E-4F

Title: Proposed Collection; Comment Request; Extension: Schedule 13E-4F
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Trinity Capital Inc.

Title: Trinity Capital Inc.
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Proposed Collection; Comment Request; Extension: Rule 155

Title: Proposed Collection; Comment Request; Extension: Rule 155
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Credits at Equity 7, Section 118(a)
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Initial and Annual Fees for Exchange Traded Products
Record Date: 11/18/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,381.19

2023-11-17

Academic Research Council Meeting

Title: Academic Research Council Meeting
Record Date: 11/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,017.19

Defining Larger Participants of a Market for General-Use Digital Consumer Payment Applications

Title: Defining Larger Participants of a Market for General-Use Digital Consumer Payment Applications
Record Date: 11/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,017.19

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program To Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program To Permit the Listing of Two Wednesday Expirations for Options on Certain Exchange Traded Products
Record Date: 11/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,017.19

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 Amend Sections IV.A (Non-Auction Transactions) and IV.A.1 (Tiered Volume Rebate for Non-Auction Transactions)

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 Amend Sections IV.A (Non-Auction Transactions) and IV.A.1 (Tiered Volume Rebate for Non-Auction Transactions)
Record Date: 11/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,017.19