Federal Deposit Insurance Corporation (FDIC)
Provides deposit insurance to and oversight of all federally chartered financial institutions and state chartered institutions electing coverage.

Federal Financial Institutions Examination Council (FFIEC)
A formal interagency body to coordinate the examination and reporting activities of  the five primary regulators of financial institutions: FRB, FDIC, NCUA, OCC and OTS.

Federal Trade Commission (FTC)
Independent agency that enforces a variety of federal antitrust and consumer protection laws.

Financial Crimes Enforcement Network (FINCEN)
Primary regulator for prevention and detection of money laundering activities, including recordkeeping (Bank Secrecy Act) and coordination with law enforcement agencies for investigation of suspicious activities.

National Credit Union Administration (NCUA)
Independent agency that regulates federally chartered credit unions and administers the National Credit Union Share Insurance Fund.

Office of the Comptroller of the Currency (OCC)
Treasury Department agency that regulates nationally chartered banks.

Office of Thrift Supervision (OTS)
Treasury Department agency that regulates federally chartered thrift institutions (savings banks) and savings and loan associations.

Securities and Exchange Commission (SEC)
Independent agency responsible for administering securities laws, including disclosure requirements for publicly traded securities and regulation of the securities industry.

US Legislative Banking Committees
From the MoneyPage, Senate and House committees, with links to calendars, committee members and other current information.

Regulatory Compliance: Resources

Compliance Desk
Companion site to The Money Page, an excellent online resource for compliance professionals, including a message forum for specific compliance topics.

Consumer Financial Privacy and Debit Card Liability
Discussion of House subcommittee hearing from 21st Century Banking Alert.

Key Legal and Regulatory Issues (UK)
Presents issues for virtual banking and financial service providers in the UK.

OCC Publications
Publications available for ordering. Also see descriptions and sections of examination manuals that may be ordered separately.

OFAC Compliance
Complete resource on the the Treasury’s Office of Foreign Assets Control. FAQ, background articles and list updates, from bankinfo.com.

Preparing the Record for Year 2000 Litigation
Good overview for understanding the scope of the problem, including Year 2000 Compliance Checklist. From 21st Century Banking Alert.

State Statutes
Directory of statutes governing financial institutions by state, as available, from the Legal Information Institute at Cornell Law School.

21st Century Banking Alert Page
Published by a law firm, this site focuses on Interactive Banking, electronic commerce and the law. An excellent resource with timely information.

White House Report on Electronic Commerce
Excellent summary of the principles and recommendations of the report from 21st Century Banking Alert.

Tracy Pride Stoneman, P.C.
301 Snowcrest
Westcliffe, CO 81252
Telephone: (719) 783-0303
(preferred contact location)

3812 Mockingbird Ln.
Dallas, TX 75205
Telephone: (214) 853-9300

Fax Number: (214) 853-9300
(Received by email)