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

2023-03-30

Submission for OMB Review; Comment Request; Extension: Rule 15c3-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 15c3-1
Record Date: 03/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,246.07

Submission for OMB Review; Comment Request; Extension: Rule 15c2-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 15c2-5
Record Date: 03/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,246.07

General Rules and Regulations, Securities Exchange Act of 1934

Title: General Rules and Regulations, Securities Exchange Act of 1934
Record Date: 03/30/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,246.07

2024-03-28

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Title: The Enhancement and Standardization of Climate-Related Disclosures for Investors
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc.

Title: Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc.
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Coller Secondaries Private Equity Opportunities Fund, et al.

Title: Coller Secondaries Private Equity Opportunities Fund, et al.
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an OTTO Protocol

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an OTTO Protocol
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees for Top of PHLX Options (TOPO), PHLX Orders, and TOPO Plus Orders
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; NYSE Arca, 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 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 Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Corporate Actions Distributions Service Guide and the DTC Settlement Service Guide

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Corporate Actions Distributions Service Guide and the DTC Settlement Service Guide
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice To Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice To Modify the GSD Rules (i) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Create a New, Non-Trading Limited Underwriter Membership Class and Impose Related Requirements for Principal Underwriting Activity
Record Date: 03/28/2024
Event Classification: award
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Select Membership Model

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Select Membership Model
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

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: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

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

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Connectivity Fee Schedule
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

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: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

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: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

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: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Calculation of the Annual Fee on Municipal Advisors Under MSRB Rule A-11

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Calculation of the Annual Fee on Municipal Advisors Under MSRB Rule A-11
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 5.33, Complex Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 5.33, Complex Orders
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Options That Overlie a Reduced Value of the MSCI World Index, the Full Value of the MSCI ACWI Index, and a Reduced Value of the MSCI USA Index

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Options That Overlie a Reduced Value of the MSCI World Index, the Full Value of the MSCI ACWI Index, and a Reduced Value of the MSCI USA Index
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Submission for OMB Review; Comment Request; Extension: Rule 34b-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 34b-1
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Submission for OMB Review; Comment Request; Extension: Rule 18f-4

Title: Submission for OMB Review; Comment Request; Extension: Rule 18f-4
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Submission for OMB Review; Comment Request; Extension: Form PF & Rule 204(b)-1

Title: Submission for OMB Review; Comment Request; Extension: Form PF & Rule 204(b)-1
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Submission for OMB Review; Comment Request; Extension: Form N-CEN

Title: Submission for OMB Review; Comment Request; Extension: Form N-CEN
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

Submission for OMB Review; Comment Request; Extension: Rule 13h-1 and Form 13H

Title: Submission for OMB Review; Comment Request; Extension: Rule 13h-1 and Form 13H
Record Date: 03/28/2024
Event Classification: regulatory-event
Age Or Deadline Days: 882.07

2023-03-23

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Its Fee Schedule
Record Date: 03/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,253.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange Pricing Schedule at Options 7, Section 3
Record Date: 03/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,253.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Breakwave Tanker Shipping ETF
Record Date: 03/23/2023
Event Classification: award
Age Or Deadline Days: 1,253.07

Bulletin 2023-01: Unfair Billing and Collection Practices After Bankruptcy Discharges of Certain Student Loan Debts

Title: Bulletin 2023-01: Unfair Billing and Collection Practices After Bankruptcy Discharges of Certain Student Loan Debts
Record Date: 03/23/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,253.07

2024-03-21

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: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees for Connectivity and Co-Location Services
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate a Shorter Standard Settlement Cycle and Make Other Changes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate a Shorter Standard Settlement Cycle and Make Other Changes
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX Options Market Facility To Amend Certain 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 for Trading on BOX Options Market Facility To Amend Certain Rebates for Qualified Contingent Cross Transactions
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

Submission for OMB Review; Comment Request; Extension: Rule 18a-5

Title: Submission for OMB Review; Comment Request; Extension: Rule 18a-5
Record Date: 03/21/2024
Event Classification: regulatory-event
Age Or Deadline Days: 889.07

2023-03-16

Regulation Z's Mortgage Loan Originator Rules Review Pursuant to the Regulatory Flexibility Act

Title: Regulation Z's Mortgage Loan Originator Rules Review Pursuant to the Regulatory Flexibility Act
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

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

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Regarding PRISM Pricing

Title: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 Regarding PRISM Pricing
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477

Title: Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477
Record Date: 03/16/2023
Event Classification: regulatory-event
Age Or Deadline Days: 1,260.07

2024-03-14

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Equities Fee Schedule Regarding the NBBO Setter Plus Program

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Equities Fee Schedule Regarding the NBBO Setter Plus Program
Record Date: 03/14/2024
Event Classification: regulatory-event
Age Or Deadline Days: 896.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Provide Relief Relating to Specified Option Transactions Under FINRA Rule 4210 (Margin Requirements)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Provide Relief Relating to Specified Option Transactions Under FINRA Rule 4210 (Margin Requirements)
Record Date: 03/14/2024
Event Classification: regulatory-event
Age Or Deadline Days: 896.07