States, territories and US government agencies like The Federal Reserve and the Department of the Treasury regulate financial services. This module provides record series for banking, lending, securities, mutual funds, trusts, wealth management, pension plan management and more. States and territories add thousands of additional laws and co-regulate in the same area with some unique requirements for state-chartered banks.
Our module offers a default general record series that can be expanded by selecting from dozens of pre-defined records, all linked to retention period and legal research. Specific activities can be chosen and jurisdictions with no financial services excluded. Finally, all the record series’ subjects, text, and retention can be customized to meet any unique requirements.