United States
A federal republic where federal and state authority apply at the same time.
Overview
US businesses face obligations from federal regulators, state regulators and professional regulators simultaneously, and from SROs in securities.
Authorities in this jurisdiction include the SEC, CFPB, FTC, CFTC, Federal Reserve, OCC, FDIC, FinCEN, OFAC, FDA, FCC and EPA; state attorneys general, banking, insurance and securities departments, privacy agencies and consumer protection offices; and state medical, bar and CPA boards.
This glossary covers 38 authorities here, including SEC, CFTC, Fed, OCC, FDIC and CFPB. It contains California and New York.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Operating here brings this jurisdiction’s laws and authorities into scope, on top of any parent jurisdiction’s.
Who it affects
Organisations established in, or serving customers in, United States.
Where it sits
Ten linked steps connect where you operate to the proof that you complied.
- 01Jurisdiction
- 02Industry
- 03Activity
- 04Authority
- 05Regulation
- 06Requirement
- 07Guidance
- 08Control
- 09Evidence
- 10Enforcement
Hierarchy
- Part of
- North America
- Includes
- CaliforniaNew York
- Members & authorities
- CFTCCFPBDOJ Antitrust DivisionEPAFAAFCCFDICFERCFMCSAFRAFedFTCFinCENFINRAFDANHTSANYDFSNRCOSHAOFACOCCSECState attorneys generalState banking departmentsState bar associationsState boards of accountancyState consumer protection officesState engineering boardsState environmental agenciesState insurance departmentsState medical boardsState privacy agenciesState securities departmentsState utility commissionsTSAUS CongressDOJUS state legislatures
Connections
The terms most closely tied to United States. Select one to open it.
What to do about it
- 1Establish your nexus: establishment, licences, customers or employees there.
- 2List the authorities with power over you there.
- 3Map local requirements and how they differ from the parent jurisdiction.
- 4Track local guidance and enforcement.
From requirement to evidence.
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