Financial Services:

Finance has hundreds of regulations that can affect training at the federal & state levels. Chief compliance officers will typically communicate where mandatory training and reporting are needed for compliance. Examples include:

Americans with Disabilities Act (ADA) Anti-Tying Bank Bribery Act Bank Holding Company Act Bank Protection Act Bank Secrecy Act (BSA) Basel II California Sexual Harassment California Financial Information Privacy Act Canadian Tied Selling Rule CAN-SPAM Act Check 21 Community Reinvestment Act (CRA) - RegulationBB Electronic Funds Transfer Act - Regulation E Equal Credit Opportunity Act (ECOA) - Regulation B Employee Retirement Income Securities Act (ERISA) Expedited Funds Availability Act - Regulation CC Fair and Accurate Credit Transaction Act (FACT Act) Fair Credit Reporting Act (FCRA) - Regulation V Fair Debt Collection Practices Act Fair Housing Act (FHA) Fair Labor Standards Act (FLSA) Family Medical Leave Act (FMLA) Federal Deposit Insurance Act Federal Deposit Insurance Corporation Improvement Act (FDICIA) Financial Institutions Reform, Recovery and Enforcement Act (FIRREA) Flood Disaster Protection Act Government Securities Act Gramm-Leach-Bliley Act (GLBA) Health Insurance Portability and Accountability Act (HIPAA) Home Mortgage Disclosure Act (HMDA) - Regulation C Homeowners' Protection Act Inter-Affiliate Transactions Interest on Demand Deposits - Regulation Q IRS Rules and Regulations National Bank Act National Bank Lending Limits National Flood Insurance Act (NFIA) Office of Foreign Assets Control (OFAC) Real Estate Settlement Procedures Act (RESPA) - HUD Reg X Regulation 9 Regulation A - Extensions of Credit by Federal Reserve Banks Regulation AA - Unfair or Deceptive Acts or Practices Regulation B - Equal Credit Opportunity Act (ECOA) Regulation BB - Community Reinvestment Act (CRA) Regulation C - Home Mortgage Disclosure Act (HMDA)

Regulation CC - Expedited Funds Availability Act Regulation D - Reserve Requirements of Depository Institutions Regulation DD - Truth in Savings (TISA) Regulation E - Electronic Fund Transfers Act Regulation EE - Netting Eligibility for Financial Institutions Regulation F - Limitations on Interbank Liabilities Regulation G - Disclosure and Reporting of CRA-Related Agreements Regulation H - Membership of State Banking Institutions in the Federal Reserve System Regulation I - Issue and Cancellation of Federal Reserve Bank Capital Stock Regulation J - Collection of Checks and Other Items by Federal Reserve Banks and Funds Transfers through Fedwire Regulation K - International Banking Operations Regulation L - Management Official Interlocks Regulation M - Truth In Leasing Act Regulation N - Relations with Foreign Banks and Bankers Regulation O - Loans to Executive Officers, Directors and Principal Shareholders of Member Banks Regulation P - Privacy of Consumer Financial Information Regulation Q - Interest on Demand Deposits Regulation S - Reimbursement Financial Institutions Providing Financial Records Recordkeeping Requirements Certain Financial Records Regulation T - Credit by Brokers and Dealers Regulation U - Credit by Banks or Persons other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks Regulation V - Fair Credit Reporting Act (FCRA) Regulation W - Transactions between Banks and Their Affiliates Regulation X - Borrowers of Securities Credit Regulation X (Real Estate Settlement Procedures Act) Regulation Y - Bank Holding Companies and Change in Bank Control Regulation Z - Truth in Lending Act (TILA) Retail Sales of Non-Deposit Investments Right to Financial Privacy Act Sarbanes-Oxley Act of 2002 Securities Act of 1933 Securities and Exchange Act of 1934 Servicemembers' Civil Relief Act (SCRA) Truth In Leasing Act - Regulation M Truth In Lending Act (TILA) - Regulation Z Truth In Savings Act (TISA) - Regulation DD Truth in Securities: Securities Act of 1933 Trust Indenture Act USA PATRIOT Act

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