Financial services
Financial services in the United States: 8 rules in the register name this part of the market.
- For financial services the register holds SEC Climate-Related Disclosures, California SB-253 and SB-261, corporate climate reporting, FTC Act Section 5, unfair or deceptive practices in AI and data, NIST AI Risk Management Framework 1.0, GLBA Safeguards Rule, California Consumer Privacy Act, as amended by the CPRA, NYDFS Cybersecurity Regulation and SEC Rule 17a-4 and the FINRA supervision rules.
- A rule listed here names financial services in its own text. Whether it reaches a given company depends on thresholds written in that rule.
- Supervised by SEC, CARB, FTC, NIST, CPPA, NYDFS and FINRA. The text is published by U.S. Securities and Exchange Commission, California Legislative Information, California Air Resources Board, Office of the Law Revision Counsel, United States Code, U.S. Federal Trade Commission, National Institute of Standards and Technology, Electronic Code of Federal Regulations, California Privacy Protection Agency, New York State Department of Financial Services and Financial Industry Regulatory Authority.
- The text names financial services.
- US regulatory register
- SEC Climate-Related Disclosures
- California SB-253 and SB-261, corporate climate reporting
- FTC Act Section 5, unfair or deceptive practices in AI and data
- NIST AI Risk Management Framework 1.0
- GLBA Safeguards Rule
- California Consumer Privacy Act, as amended by the CPRA
- NYDFS Cybersecurity Regulation
- SEC Rule 17a-4 and the FINRA supervision rules
8 rules
- SEC Climate-Related Disclosures, Release No. 33-11275, 17 CFR Parts 210, 229, 232, 239 and 249
- California SB-253 and SB-261, corporate climate reporting, Cal. Health & Safety Code §§ 38532 and 38533
- FTC Act Section 5, unfair or deceptive practices in AI and data, 15 U.S.C. § 45
- NIST AI Risk Management Framework 1.0, NIST AI 100-1
- GLBA Safeguards Rule, 16 CFR Part 314
- California Consumer Privacy Act, as amended by the CPRA, Cal. Civ. Code § 1798.100 et seq.
- NYDFS Cybersecurity Regulation, 23 NYCRR Part 500
- SEC Rule 17a-4 and the FINRA supervision rules, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511
Official sources
- The Enhancement and Standardization of Climate-Related Disclosures for Investors, Release No. 33-11275, U.S. Securities and Exchange Commission
- Order Issuing Stay, Release No. 33-11280, U.S. Securities and Exchange Commission
- Senate Bill 253, Climate Corporate Data Accountability Act, California Legislative Information
- Senate Bill 261, Greenhouse gases: climate-related financial risk, California Legislative Information
- Climate Corporate Data Accountability Act programme page, California Air Resources Board
- 15 U.S.C. § 45, Unfair methods of competition unlawful, Office of the Law Revision Counsel, United States Code
- Legal Library, cases and proceedings, U.S. Federal Trade Commission
- Artificial Intelligence Risk Management Framework, AI RMF 1.0, NIST AI 100-1, National Institute of Standards and Technology
- 16 CFR Part 314, Standards for Safeguarding Customer Information, Electronic Code of Federal Regulations
- California Civil Code § 1798.100 et seq., California Consumer Privacy Act, California Legislative Information
- CCPA regulations, California Privacy Protection Agency
- 23 NYCRR Part 500, Cybersecurity Requirements for Financial Services Companies, New York State Department of Financial Services
- 17 CFR § 240.17a-4, Records to be preserved by certain exchange members, brokers and dealers, Electronic Code of Federal Regulations
- FINRA rulebook, Financial Industry Regulatory Authority
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