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Regulations and Codes

Knowledge of relevant regulations and codes that impact the financial services industry.

Critical Work Functions

  • Research the regulatory requirements of financial and investment planning and security sales to assure compliance with codes.
    • Use federal, state, and local regulations to determine financial records management.
      • Review most current state and federal regulations to apply the tax code professionally.
        • Compare legal interpretations to clarify regulations.
          Technical Content Areas

          • Regulation and Code Compliance
            • Understands and complies with all relevant laws imposed by regulatory agencies including:
            • Federal Deposit Insurance Corporation
            • Board of Governors of the Federal Reserve System
            • Federal Trade Commission
            • Internal Revenue Service
            • National Credit Union Administration
            • U.S. Securities and Exchange Commission
            • State agencies
            • Follows the financial services industry codes of practice;
            • Monitors new legislation impacting the financial services industry.