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

2023-03-01

Proposed Collection; Comment Request; Extension: Form ADV-H

Title: Proposed Collection; Comment Request; Extension: Form ADV-H
Record Date: 03/01/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,278.19

2022-06-29

Proposed Partial Rule Exemption for Gilbarco, Inc.

Title: Proposed Partial Rule Exemption for Gilbarco, Inc.
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Proposed Collection; Comment Request; Extension: Customer Account Statements

Title: Proposed Collection; Comment Request; Extension: Customer Account Statements
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Proposed Collection; Comment Request; Extension: Rule 7d-1

Title: Proposed Collection; Comment Request; Extension: Rule 7d-1
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Proposed Collection; Comment Request; Extension: Rule 607

Title: Proposed Collection; Comment Request; Extension: Rule 607
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Proposed Collection; Comment Request; Extension: Rule 204-3

Title: Proposed Collection; Comment Request; Extension: Rule 204-3
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals
Record Date: 06/29/2022
Event Classification: award
Age Or Deadline Days: 1,523.19

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

Credit Card Late Fees and Late Payments

Title: Credit Card Late Fees and Late Payments
Record Date: 06/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,523.19

2026-06-24

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) To Permit an Intermarket Sweep Order (“ISO”) To Be Entered as a Non-Displayed Order and To Establish the Price Level at Which the System Will Consider an ISO Available for Other Orders To Be Entered

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) To Permit an Intermarket Sweep Order (“ISO”) To Be Entered as a Non-Displayed Order and To Establish the Price Level at Which the System Will Consider an ISO Available for Other Orders To Be Entered
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Two Newly Established Feeds, the Order Feed and the Trades Feed

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Two Newly Established Feeds, the Order Feed and the Trades Feed
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections To Its Rulebook at Equity 4

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections To Its Rulebook at Equity 4
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) To Permit an Intermarket Sweep Order (“ISO”) To Be Entered as a Non-Displayed Order and To Establish the Price Level at Which the System Will Consider an ISO Available for Other Orders To Be Entered

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) To Permit an Intermarket Sweep Order (“ISO”) To Be Entered as a Non-Displayed Order and To Establish the Price Level at Which the System Will Consider an ISO Available for Other Orders To Be Entered
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Certain A.M.-Settled NDX Options

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Certain A.M.-Settled NDX Options
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 22.100 To Allow Market Makers To Submit Immediate-or-Cancel Bulk Message Quotes

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 22.100 To Allow Market Makers To Submit Immediate-or-Cancel Bulk Message Quotes
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Self-Regulatory Organizations; Nasdaq Texas, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Permit the Listing and Trading of Certain Exchange-Traded Products

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Permit the Listing and Trading of Certain Exchange-Traded Products
Record Date: 06/24/2026
Event Classification: award
Age Or Deadline Days: 67.19

Joint Request for Comment on Swap and Security-Based Swap Data Reporting

Title: Joint Request for Comment on Swap and Security-Based Swap Data Reporting
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance

Title: Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 67.19

2022-06-22

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,530.19

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Transaction Fees and Credits in the NYSE American Equities Price List and Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain Transaction Fees and Credits in the NYSE American Equities Price List and Fee Schedule
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,530.19

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,530.19

Request for Comment on Certain Information Providers Acting as Investment Advisers

Title: Request for Comment on Certain Information Providers Acting as Investment Advisers
Record Date: 06/22/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,530.19

2023-06-21

Quality Control Standards for Automated Valuation Models

Title: Quality Control Standards for Automated Valuation Models
Record Date: 06/21/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,166.19

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 Offer Ad-Hoc Historical Requests for the Intraday Open-Close Data Report and Adopt Fees for This Data

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 Offer Ad-Hoc Historical Requests for the Intraday Open-Close Data Report and Adopt Fees for This Data
Record Date: 06/21/2023
Event Classification: deadline
Age Or Deadline Days: 1,166.19

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Method by Which the Exchange Provides Certain Rebates

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Method by Which the Exchange Provides Certain Rebates
Record Date: 06/21/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,166.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 308
Record Date: 06/21/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,166.19

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Complex Order Rules

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Complex Order Rules
Record Date: 06/21/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,166.19

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 307, Position Limits

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 307, Position Limits
Record Date: 06/21/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,166.19

2026-06-17

Equal Credit Opportunity (Regulation B); Special Purpose Credit Programs; Rescission

Title: Equal Credit Opportunity (Regulation B); Special Purpose Credit Programs; Rescission
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other Than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other Than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Clarifying Language to the Description of Prospective Listing Rights Set Forth in Section 703.12(II)(A) 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 Add Clarifying Language to the Description of Prospective Listing Rights Set Forth in Section 703.12(II)(A) of the NYSE Listed Company Manual
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Joint Industry Plan; Notice of Filing of the Third Amendment to the Limited Liability Company Agreement of CT Plan LLC To Adopt Revenue Allocation Formula Revisions

Title: Joint Industry Plan; Notice of Filing of the Third Amendment to the Limited Liability Company Agreement of CT Plan LLC To Adopt Revenue Allocation Formula Revisions
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares
Record Date: 06/17/2026
Event Classification: award
Age Or Deadline Days: 74.19

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

Title: The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-4

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-4
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 74.19

2022-06-15

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend BZX Rule 11.17, Clearly Erroneous Executions
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,537.19

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Certain Rates of Assessment for Rate Card Fees Under MSRB Rules A-11 and A-13, Institute an Annual Rate Card Process for Future Rate Amendments, and Provide for Certain Technical Amendments to MSRB Rules A-11, A-12, and A-13
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,537.19

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Index Options Contracts

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Index Options Contracts
Record Date: 06/15/2022
Event Classification: award
Age Or Deadline Days: 1,537.19

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,537.19

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,537.19

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility
Record Date: 06/15/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,537.19