Regulations Related to Compliance

In addition to laws, several regulations have created different U.S. entities. Most of these entities operate at the federal level.

Some of these entities have a direct impact on IT initiatives for most companies. Others are related only to companies engaged in specific activities. Organizations covered in this section are:

  • Securities and Exchange Commission (SEC)
  • Federal Deposit Insurance Corporation (FDIC)
  • Department of Homeland Security (DHS)
  • Federal Trade Commission (FTC)
  • State Attorney General (AG)
  • U.S. Attorney General (U.S. AG)

Securities and Exchange Commission

The Securities and Exchange Commission (SEC) is a federal agency. It is charged with regulating the securities industry, which includes ...

Get Managing Risk in Information Systems, 3rd Edition now with O’Reilly online learning.

O’Reilly members experience live online training, plus books, videos, and digital content from 200+ publishers.