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

2023-11-30

Regulatory Review Schedule

Title: Regulatory Review Schedule
Record Date: 11/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,004.19

Self-Regulatory Organizations; MEMX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule To Establish an Options Regulatory Fee

Title: Self-Regulatory Organizations; MEMX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule To Establish an Options Regulatory Fee
Record Date: 11/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,004.19

2023-11-16

Submission for OMB Review; Comment Request; Extension: Rule 15g-9

Title: Submission for OMB Review; Comment Request; Extension: Rule 15g-9
Record Date: 11/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,018.19

Proposed Collection; Comment Request; Extension: Rule 12d1-4

Title: Proposed Collection; Comment Request; Extension: Rule 12d1-4
Record Date: 11/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,018.19

Proposed Collection; Comment Request; Extension: Rule 17f-1

Title: Proposed Collection; Comment Request; Extension: Rule 17f-1
Record Date: 11/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,018.19

Submission for OMB Review; Comment Request; Extension: Rule 17Ac3-1(a) and Form TA-W

Title: Submission for OMB Review; Comment Request; Extension: Rule 17Ac3-1(a) and Form TA-W
Record Date: 11/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,018.19

2022-11-10

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of filing of Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of filing of Proposed Rule Change Relating to the ICC Collateral Risk Management Framework, ICC Treasury Operations Policies and Procedures, and ICC Liquidity Risk Management Framework
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.19

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.19

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 To Amend Certain Fees and Rebates for Qualified Contingent Cross Transactions

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 To Amend Certain Fees and Rebates for Qualified Contingent Cross Transactions
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 6.64P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 6.64P-O
Record Date: 11/10/2022
Event Classification: award
Age Or Deadline Days: 1,389.19

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 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)

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 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.19

HISA Assessment Methodology Rule Modification

Title: HISA Assessment Methodology Rule Modification
Record Date: 11/10/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,389.19

2023-11-09

Trade Regulation Rule on Unfair or Deceptive Fees

Title: Trade Regulation Rule on Unfair or Deceptive Fees
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a 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 Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1
Record Date: 11/09/2023
Event Classification: deadline
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Rule 935NY

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Rule 935NY
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

Kayne Anderson Energy Infrastructure Fund, Inc., et al.

Title: Kayne Anderson Energy Infrastructure Fund, Inc., et al.
Record Date: 11/09/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,025.19

2022-11-03

Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Title: Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, 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 Miami International Securities Exchange, LLC To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule 5732 To Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for NQX

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Standard Monthly Expirations for NQX
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

Proposed Collection; Comment Request; Extension: Rule 17Ad-22

Title: Proposed Collection; Comment Request; Extension: Rule 17Ad-22
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 11/03/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,396.19

2023-11-02

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Consumer Credit Card Market Report, 2023

Title: Consumer Credit Card Market Report, 2023
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule Related to Physical Port Fees
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

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

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Clearing Agency Operational Risk Management Framework
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan

Title: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the Wind Down Framework and Plan
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) Under the Securities Exchange Act of 1934, From Rule 15c2-11 for Fixed-Income Securities Sold in Compliance With the Safe Harbor of Rule 144A Under the Securities Act of 1933

Title: Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) Under the Securities Exchange Act of 1934, From Rule 15c2-11 for Fixed-Income Securities Sold in Compliance With the Safe Harbor of Rule 144A Under the Securities Act of 1933
Record Date: 11/02/2023
Event Classification: award
Age Or Deadline Days: 1,032.19

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2614(a)(1)(ix) and 2618(b)(1) To Amend Certain Risk Controls When Trading Equity Securities on MIAX Pearl Equities

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 2614(a)(1)(ix) and 2618(b)(1) To Amend Certain Risk Controls When Trading Equity Securities on MIAX Pearl Equities
Record Date: 11/02/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,032.19

2024-05-30

Health Breach Notification Rule

Title: Health Breach Notification Rule
Record Date: 05/30/2024
Event Classification: regulatory-event
Age Or Deadline Days: 822.19

2026-05-28

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options
Record Date: 05/28/2026
Event Classification: award
Age Or Deadline Days: 94.19

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 928NYP

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 928NYP
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Options Opening Process

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Options Opening Process
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19

MindSift LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: MindSift LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 94.19