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: 08/27/2026
Update schedule: 35 1 * * * UTC
Coverage: 03/28/2022–08/26/2026
Method: Methodology

2024-01-30

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 01/30/2024
Event Classification: regulatory-event
Age Or Deadline Days: 940.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 01/30/2024
Event Classification: regulatory-event
Age Or Deadline Days: 940.07

2023-01-24

Adoption of Updated EDGAR Filer Manual

Title: Adoption of Updated EDGAR Filer Manual
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Submission for OMB Review; Comment Request; Extension: Trust Indenture Act Rules 7a-15 Through 7a-37

Title: Submission for OMB Review; Comment Request; Extension: Trust Indenture Act Rules 7a-15 Through 7a-37
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Forum Real Estate Income Fund, et al.

Title: Forum Real Estate Income Fund, et al.
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Submission for OMB Review; Comment Request; Extension: Schedule 13E-4F

Title: Submission for OMB Review; Comment Request; Extension: Schedule 13E-4F
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Proposed Collection; Comment Request; Extension: Rule 15c2-5

Title: Proposed Collection; Comment Request; Extension: Rule 15c2-5
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Submission for OMB Review; Comment Request; Extension: Rule 3a71-3(d)

Title: Submission for OMB Review; Comment Request; Extension: Rule 3a71-3(d)
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Submission for OMB Review; Comment Request; Extension: Rule 10b-10

Title: Submission for OMB Review; Comment Request; Extension: Rule 10b-10
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Submission for OMB Review; Comment Request: Extension: Rule 17a-14 and Form CRS

Title: Submission for OMB Review; Comment Request: Extension: Rule 17a-14 and Form CRS
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 7.31E

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 7.31E
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Make Permanent the Operation of Its Program That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index (“S&P 500”) Options (“SPX”) Series

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Make Permanent the Operation of Its Program That Allows the Exchange To List P.M.-Settled Third Friday-of-the-Month S&P 500 Stock Index (“S&P 500”) Options (“SPX”) Series
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 9132, 9133, 9135, 9146, 9522, 9524, 9559 and 9630
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; NYSE National Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630

Title: Self-Regulatory Organizations; NYSE National Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 10.9132, 10.9133, 10.9135, 10.9146, 10.9522, 10.9524, 10.9559 and 10.9630
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Liquidity Risk Model Framework

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Liquidity Risk Model Framework
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31-E
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

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

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

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

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

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: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)

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 Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the CDSClear Fee Grid for 2023

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the CDSClear Fee Grid for 2023
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7.31
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 01/24/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,311.07

2024-01-23

Fair Credit Reporting; File Disclosure

Title: Fair Credit Reporting; File Disclosure
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Fair Credit Reporting; Background Screening

Title: Fair Credit Reporting; Background Screening
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Grayscale Bitcoin Trust

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Grayscale Bitcoin Trust
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 980NYP

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rule 980NYP
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt Listing Standards for Natural Asset Companies

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt Listing Standards for Natural Asset Companies
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Remote Inspection Relief to IEX Members To Include Calendar Year 2024 Inspection Obligations Through the Earlier of the Effective Date of the Recently Approved FINRA Pilot Program on Remote Inspections, or June 30, 2024

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Remote Inspection Relief to IEX Members To Include Calendar Year 2024 Inspection Obligations Through the Earlier of the Effective Date of the Recently Approved FINRA Pilot Program on Remote Inspections, or June 30, 2024
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

InMarket Media LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: InMarket Media LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Proposed Collection; Comment Request; Extension: Rule 13h-1 and Form 13H

Title: Proposed Collection; Comment Request; Extension: Rule 13h-1 and Form 13H
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 01/23/2024
Event Classification: regulatory-event
Age Or Deadline Days: 947.07

2023-01-17

Cadre Horizon Fund, Inc., et al.

Title: Cadre Horizon Fund, Inc., et al.
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

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 Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge

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 Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

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: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance Notice Related to Certain Enhancements to the Gap Risk Measure and the VaR Charge
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase Fees for the ToM Market Data Product and Establish Fees for the cToM Market Data Product
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity and Port Fees
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Modify Certain Connectivity and Port Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Modify Certain Connectivity and Port Fees
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Modify Certain Connectivity and Port Fees

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Modify Certain Connectivity and Port Fees
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Submission for OMB Review; Comment Request; Extension: Rule 15b11-1/Form BD-N

Title: Submission for OMB Review; Comment Request; Extension: Rule 15b11-1/Form BD-N
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07

Petition for Rulemaking of Jonathan Askin, Professor of Clinical Law, Brooklyn Law School

Title: Petition for Rulemaking of Jonathan Askin, Professor of Clinical Law, Brooklyn Law School
Record Date: 01/17/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,318.07