Regulations

Federal Rules of Civil Procedure (FRCP)
 

The Federal Rules of Civil Procedure apply to any organization that has the potential to be involved in litigation in the U.S. Federal Court system.

Financial Industry Regulatory Authority (FINRA)
 

The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States.

Gramm-Leach-Bliley Act (GLBA)
 

The Gramm-Leach-Bliley Act (commonly called GLB or GLBA), also known as the Financial Modernization Act of 1999, includes provisions to protect consumers' personal financial information.

Health Insurance Portability and Accountability Act (HIPAA)
 

HIPAA calls for national standards for electronic patient healthcare transactions and requires organizations that deal with such information to protect the security and confidentiality of it.

Hedge Fund Transparency Act (HFTA)
 

The Hedge Fund Transparency Act is aimed at closing a loophole in securities law that allows hedge funds to operate without considerable supervision.

National Association of Securities Dealers (NASD) Guide
 

NASD (now part of FINRA) has developed this guide to make registered representatives aware of the compliance requirements and potential liabilities when using the Internet and electronic communications.

New York Stock Exchange (NYSE)
 

Certain NYSE Rules apply solely to those members of FINRA that are also members of NYSE on or after July 30, 2007.

Rule 342

Rule 472

Rule 440

Red Flags Rules
 

Red Flags Rules were created to combat identity theft and require financial institutions and creditors to develop and implement written identity theft prevention programs.

Sarbanes-Oxley Act (SOX)
 

The Sarbanes-Oxley Act, commonly called SOX, sets forth records management and retention policies for all public companies.

U.S. Securities and Exchange Commission (SEC)
 

SEC Rules 17a-3 and 17a-4 set record-retention standards for brokers-dealers, spelling out which records must be kept current and how long those records must be retained.