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Articles - Page 21
1,582 articles
FINRA Rules: A Compliance Guide for Broker-Dealers
Learn how FINRA rules affect broker-dealers, including supervision, communications, trade practices, recordkeeping, and compliance responsibilities.
OFAC Sanctions: A Compliance Guide for Businesses
Learn how OFAC sanctions affect businesses, how to screen customers and transactions against restricted-party lists, and how to manage sanctions compliance and reporting obligations.
Bank Secrecy Act (BSA): A Compliance Guide
Learn how the Bank Secrecy Act (BSA) helps prevent money laundering, what financial institutions must report, and how to manage customer due diligence, transaction monitoring, and recordkeeping.
Community Reinvestment Act (CRA): A Bank Compliance Guide
Learn how the Community Reinvestment Act (CRA) affects banks, how regulators assess community lending and investment, and what financial institutions need to know about CRA compliance.
HMDA Compliance: A Guide for Mortgage Lenders
Learn how the Home Mortgage Disclosure Act (HMDA) affects mortgage lenders, including data collection, loan application reporting, demographic information, submission deadlines, and compliance requirements.
RESPA Compliance: A Guide for Lenders and Real Estate Teams
Learn how the Real Estate Settlement Procedures Act (RESPA) regulates mortgage disclosures, settlement costs, referral fees, escrow accounts, and compliance responsibilities across real estate transactions.
FDCPA Compliance: A Guide to Debt Collection Rules
Learn how the Fair Debt Collection Practices Act (FDCPA) regulates debt collection, protects consumers from abusive practices, and outlines key requirements for communication, disclosures, and dispute handling.
Truth in Lending Act (TILA): A Lender Compliance Guide
Learn how the Truth in Lending Act (TILA) protects borrowers, what lenders must disclose, how finance charges and APR are calculated, and how to manage lending compliance
Government Contracting Compliance: A Practical Guide
Learn how government contractors can meet compliance requirements, manage contract obligations, maintain accurate records, and avoid common issues involving labor laws and federal regulations.
Davis-Bacon Act: A Prevailing Wage Compliance Guide
Learn how Davis-Bacon prevailing wage requirements affect federal construction projects, including wage determinations, worker classifications, certified payroll, and contractor compliance.
Right-to-Work Laws: A Compliance Guide for Employers
Learn how right-to-work laws affect union membership and dues, how state requirements differ, and what employers need to know to manage labor relations compliantly.
NLRA Compliance: A Guide for Employers and HR Teams
Learn how the National Labor Relations Act affects workplace rights, employee organizing, protected concerted activity, employer policies, and HR compliance responsibilities.