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

2024-02-13

Proposed Collection; Comment Request; Extension: Form C

Title: Proposed Collection; Comment Request; Extension: Form C
Record Date: 02/13/2024
Event Classification: regulatory-event
Age Or Deadline Days: 929.19

Proposed Collection; Comment Request; Extension: Market Data Infrastructure

Title: Proposed Collection; Comment Request; Extension: Market Data Infrastructure
Record Date: 02/13/2024
Event Classification: regulatory-event
Age Or Deadline Days: 929.19

Blackbaud, Inc.; Analysis of Proposed Consent Order To Aid Public Comment

Title: Blackbaud, Inc.; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 02/13/2024
Event Classification: regulatory-event
Age Or Deadline Days: 929.19

2023-02-07

Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission

Title: Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISO Functionality
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review

Title: In the Matter of the MEMX LLC Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Retail Midpoint Liquidity Program (File No. SR-MEMX-2021-10); Order Scheduling Filing of Statements on Review
Record Date: 02/07/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,300.19

2024-02-06

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Methodology Documents

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Methodology Documents
Record Date: 02/06/2024
Event Classification: regulatory-event
Age Or Deadline Days: 936.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3
Record Date: 02/06/2024
Event Classification: regulatory-event
Age Or Deadline Days: 936.19

Submission for OMB Review; Comment Request; Extension: Rule 30b2-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 30b2-1
Record Date: 02/06/2024
Event Classification: regulatory-event
Age Or Deadline Days: 936.19

Proposed Collection; Comment Request; Extension: Rule 11a-3

Title: Proposed Collection; Comment Request; Extension: Rule 11a-3
Record Date: 02/06/2024
Event Classification: regulatory-event
Age Or Deadline Days: 936.19

Diameter Credit Company, et al.

Title: Diameter Credit Company, et al.
Record Date: 02/06/2024
Event Classification: regulatory-event
Age Or Deadline Days: 936.19

2022-12-27

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4754 Regarding Close Eligible Interest
Record Date: 12/27/2022
Event Classification: deadline
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

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: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate MIAX's 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, MIAX PEARL, LLC
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Establish a Monthly Membership Fee
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 519C Mass Cancellation of Trading Interest
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To No Longer Operate Its 10 Gigabit Ultra-Low Latency Connectivity on a Single Shared Network With Its Affiliate, Miami International Securities Exchange, LLC
Record Date: 12/27/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,342.19

Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes

Title: Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Corporation; Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Record Date: 12/27/2022
Event Classification: award
Age Or Deadline Days: 1,342.19

2023-12-26

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
Record Date: 12/26/2023
Event Classification: regulatory-event
Age Or Deadline Days: 978.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Price List
Record Date: 12/26/2023
Event Classification: regulatory-event
Age Or Deadline Days: 978.19

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: 12/26/2023
Event Classification: regulatory-event
Age Or Deadline Days: 978.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Modifying Certain Tiers and Discontinuing the NBBO Setter Program

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Modifying Certain Tiers and Discontinuing the NBBO Setter Program
Record Date: 12/26/2023
Event Classification: regulatory-event
Age Or Deadline Days: 978.19

2022-12-20

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

Title: Proposed Collection; Comment Request; Extension: Rule 19b-1
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,349.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 5606

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rules 5605 and 5606
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,349.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.19-E
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,349.19

Guides for the Use of Environmental Marketing Claims

Title: Guides for the Use of Environmental Marketing Claims
Record Date: 12/20/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,349.19

2023-12-19

Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024

Title: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2024
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading
Record Date: 12/19/2023
Event Classification: award
Age Or Deadline Days: 985.19

Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 530, Limit Up-Limit Down, Rule 2612, Minimum Price Variations, Rule 2614, Orders and Order Instructions, and Rule 2705 Prohibition Against Trading Ahead of Customer Orders

Title: Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 530, Limit Up-Limit Down, Rule 2612, Minimum Price Variations, Rule 2614, Orders and Order Instructions, and Rule 2705 Prohibition Against Trading Ahead of Customer Orders
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

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 Regarding Enhancements to Its DMM Program

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 Regarding Enhancements to Its DMM Program
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BZX Rule 14.11(e)(4)(C)(i) (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BZX Rule 14.11(e)(4)(C)(i) (Commodity-Based Trust Shares)
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Commodity-Based Trust Shares in Nasdaq Rule 5711(d)(iv)(A) and To Correct a Typographical Error in Nasdaq Rule 5711(d)(iv)(B)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Commodity-Based Trust Shares in Nasdaq Rule 5711(d)(iv)(A) and To Correct a Typographical Error in Nasdaq Rule 5711(d)(iv)(B)
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

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 Invesco Galaxy 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 Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

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: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Changes to Certain Representations Relating to the Hashdex Bitcoin Futures Fund

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Changes to Certain Representations Relating to the Hashdex Bitcoin Futures Fund
Record Date: 12/19/2023
Event Classification: regulatory-event
Age Or Deadline Days: 985.19

2022-12-13

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

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,356.19

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .15 of IEX Rule 5.110 (Supervision) To Extend the Temporary Remote Inspection Relief to IEX Members for Calendar Year 2022
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,356.19

Proposed Collection; Comment Request; Extension: Rule 17f-7

Title: Proposed Collection; Comment Request; Extension: Rule 17f-7
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,356.19

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 12/13/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,356.19

2023-12-12

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.02 and 902.03 of the NYSE Listed Company Manual To Amend Its Initial Listing Fee and Certain of Its Annual Fees

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.02 and 902.03 of the NYSE Listed Company Manual To Amend Its Initial Listing Fee and Certain of Its Annual Fees
Record Date: 12/12/2023
Event Classification: regulatory-event
Age Or Deadline Days: 992.19

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: 12/12/2023
Event Classification: regulatory-event
Age Or Deadline Days: 992.19

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the 2024 Rate Card Fees for Dealers and Municipal Advisors Pursuant to MSRB Rules A-11 and A-13
Record Date: 12/12/2023
Event Classification: regulatory-event
Age Or Deadline Days: 992.19

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

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Record Date: 12/12/2023
Event Classification: regulatory-event
Age Or Deadline Days: 992.19