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

2022-11-23

Agency Information Collection Activities: Comment Request

Title: Agency Information Collection Activities: Comment Request
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

Hennessy Funds Trust, et al.

Title: Hennessy Funds Trust, et al.
Record Date: 11/23/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,373.07

2023-11-22

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: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

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: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

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: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

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: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

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: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Section 312.03(b) of the NYSE Listed Company Manual To Modify the Circumstances Under Which a Listed Company Must Obtain Shareholder Approval of a Sale of Securities Below the Minimum Price to a Substantial Security Holder of the Company

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Section 312.03(b) of the NYSE Listed Company Manual To Modify the Circumstances Under Which a Listed Company Must Obtain Shareholder Approval of a Sale of Securities Below the Minimum Price to a Substantial Security Holder of the Company
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Adopt Monthly Options Series

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Adopt Monthly Options Series
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Rules To Adopt Monthly Options Series

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Rules To Adopt Monthly Options Series
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Accommodate the Listings of Monthly Options Series

Title: Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Accommodate the Listings of Monthly Options Series
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

John Hancock GA Mortgage Trust, et al.

Title: John Hancock GA Mortgage Trust, et al.
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Jackson Credit Opportunities Fund and Jackson National Asset Management, LLC

Title: Jackson Credit Opportunities Fund and Jackson National Asset Management, LLC
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Application of the per User Access Fee for Use of Certain Market Data Products by Redistributors

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Application of the per User Access Fee for Use of Certain Market Data Products by Redistributors
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Application of the per User Access Fee for Use of Certain Market Data Products by Redistributors

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Application of the per User Access Fee for Use of Certain Market Data Products by Redistributors
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 11/22/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,009.07

2022-11-16

Outsourcing by Investment Advisers

Title: Outsourcing by Investment Advisers
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS

Title: Proposed Collection; Comment Request; Extension: Rule 17a-14 and Form CRS
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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.; Order Approving 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: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Short Term Option Series Program
Record Date: 11/16/2022
Event Classification: award
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Phlx Equity 6, Section 5 Concerning Optional Risk Settings for Stocks
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Violations of Rule 2.1210 to the Exchange's Minor Rule Violation Plan for the Equities and Options Markets
Record Date: 11/16/2022
Event Classification: award
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Options 7, Section 5 To Add Membership and Trading Rights Fees
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10(d) To Permit Affiliated Users To Enable EdgeRisk Self Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(f) To Permit Affiliated Users To Enable Match Trade Prevention
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Harmonize the Exchange's Reimbursement Schedule for Forwarding Proxy and Other Issuer Material
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision)
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change, As modified by Amendment No. 1, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information
Record Date: 11/16/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,380.07

2023-11-15

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 Connectivity and Application Session Fees for MEMX Options

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 Connectivity and Application Session Fees for MEMX Options
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of XND Options

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of XND Options
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

Fair Credit Reporting Act Disclosures

Title: Fair Credit Reporting Act Disclosures
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

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

Title: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31
Record Date: 11/15/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,016.07

Order Granting ICE Clear Europe Limited's Request To Withdraw From Registration as a Clearing Agency

Title: Order Granting ICE Clear Europe Limited's Request To Withdraw From Registration as a Clearing Agency
Record Date: 11/15/2023
Event Classification: award
Age Or Deadline Days: 1,016.07

2022-11-09

24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

Title: 24X National Exchange LLC; Notice of Filing of Amendment No. 1 to an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

J.P. Morgan Exchange-Traded Fund Trust, et al.

Title: J.P. Morgan Exchange-Traded Fund Trust, et al.
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Proposed Collection; Comment Request; Extension: Rule 15b11-1/Form BD-N

Title: Proposed Collection; Comment Request; Extension: Rule 15b11-1/Form BD-N
Record Date: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency 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; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Agency 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: 11/09/2022
Event Classification: regulatory-event
Age Or Deadline Days: 1,387.07