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

2023-10-17

Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N

Title: Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N
Record Date: 10/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,048.19

Proposed Collection; Comment Request; Extension: Form 2-E

Title: Proposed Collection; Comment Request; Extension: Form 2-E
Record Date: 10/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,048.19

Proposed Collection; Comment Request; Extension: Rule 19a-1

Title: Proposed Collection; Comment Request; Extension: Rule 19a-1
Record Date: 10/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,048.19

Supervisory Highlights Junk Fees Update Special Edition, Issue 31, Fall 2023

Title: Supervisory Highlights Junk Fees Update Special Edition, Issue 31, Fall 2023
Record Date: 10/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,048.19

2022-10-11

Submission for OMB Review; Comment Request; Extension: Form 20-F

Title: Submission for OMB Review; Comment Request; Extension: Form 20-F
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Submission for OMB Review; Comment Request; Extension: Industry Guide

Title: Submission for OMB Review; Comment Request; Extension: Industry Guide
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Submission for OMB Review; Comment Request; Extension: Form 10

Title: Submission for OMB Review; Comment Request; Extension: Form 10
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Submission for OMB Review; Comment Request; Extension: Rule 12d1-3

Title: Submission for OMB Review; Comment Request; Extension: Rule 12d1-3
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Submission for OMB Review; Comment Request; Extension: Form 18-K

Title: Submission for OMB Review; Comment Request; Extension: Form 18-K
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.28(a) To Extend the MOC Cut-Off Time

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 11.28(a) To Extend the MOC Cut-Off Time
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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 VanEck 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 VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration to Enhanced Nasdaq Functionality
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

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

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of 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 Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Market Data 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 To Adopt Market Data Fees
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

Supervisory Highlights, Issue 27, Fall 2022

Title: Supervisory Highlights, Issue 27, Fall 2022
Record Date: 10/11/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,419.19

2023-10-10

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee
Record Date: 10/10/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,055.19

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee
Record Date: 10/10/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,055.19

Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934

Title: Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934
Record Date: 10/10/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,055.19

2022-10-04

Procedures for Review of Final Civil Sanctions Imposed Under the Horseracing Integrity and Safety Act

Title: Procedures for Review of Final Civil Sanctions Imposed Under the Horseracing Integrity and Safety Act
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Proposed Collection; Comment Request; Extension: Form N-17D-1

Title: Proposed Collection; Comment Request; Extension: Form N-17D-1
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Submission for OMB Review; Comment Request; Extension: Rule 31a-2

Title: Submission for OMB Review; Comment Request; Extension: Rule 31a-2
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 Through 14c-7 and Schedule 14C)

Title: Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 Through 14c-7 and Schedule 14C)
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 10/04/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,426.19

2023-10-03

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to Its Operational Risk and Resilience Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to Its Operational Risk and Resilience Policy
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Settlement Values for FLEX Index Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Settlement Values for FLEX Index Options
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Margin Liquidity Adjustment Charge

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Margin Liquidity Adjustment Charge
Record Date: 10/03/2023
Event Classification: award
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations

Title: Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) Under FINRA Rule 3110 (Supervision) To Include Calendar Year 2024

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) Under FINRA Rule 3110 (Supervision) To Include Calendar Year 2024
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule at Options 7, Section 4 Regarding Marketing Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule at Options 7, Section 4 Regarding Marketing Fees
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Hashdex Nasdaq Ethereum ETF Under Nasdaq Rule 5711(i)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Hashdex Nasdaq Ethereum ETF Under Nasdaq Rule 5711(i)
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules To Govern FLEX Equity Options and a New Order Type To Trade FLEX Equity Options on the BOX Trading Floor

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules To Govern FLEX Equity Options and a New Order Type To Trade FLEX Equity Options on the BOX Trading Floor
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the Model Risk Policy
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Open-Close Volume Data
Record Date: 10/03/2023
Event Classification: deadline
Age Or Deadline Days: 1,062.19

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Adoption of Updated EDGAR Filer Manual

Title: Adoption of Updated EDGAR Filer Manual
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 10/03/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,062.19

2022-11-29

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Concerning the Options Regulatory Fee
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,370.19

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

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 Concerning the Options Regulatory Fee
Record Date: 11/29/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,370.19