Finanzdienstleistungen

Finanzdienstleistungen in den USA: 8 Regeln im Register benennen diesen Marktbereich.

Für finanzdienstleistungen hält das Register SEC Climate-Related Disclosures, California SB-253 und SB-261, Klimaberichterstattung für Unternehmen, FTC Act Section 5, unlautere oder irreführende Praktiken bei KI und Daten, NIST AI Risk Management Framework 1.0, GLBA Safeguards Rule, California Consumer Privacy Act, geändert durch den CPRA, NYDFS Cybersecurity Regulation und SEC Rule 17a-4 und die FINRA-Aufsichtsregeln.
Eine hier gelistete Regel nennt finanzdienstleistungen in ihrem eigenen Text. Ob sie ein bestimmtes Unternehmen erreicht, hängt von den Schwellen in dieser Regel ab.
Aufsicht: SEC, CARB, FTC, NIST, CPPA, NYDFS und FINRA. Der Text wird veröffentlicht von 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 und Financial Industry Regulatory Authority.
Der Text benennt finanzdienstleistungen.

8 Regeln

SEC Climate-Related Disclosures, Release No. 33-11275, 17 CFR Parts 210, 229, 232, 239 and 249
California SB-253 und SB-261, Klimaberichterstattung für Unternehmen, Cal. Health & Safety Code §§ 38532 and 38533
FTC Act Section 5, unlautere oder irreführende Praktiken bei KI und Daten, 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, geändert durch den CPRA, Cal. Civ. Code § 1798.100 et seq.
NYDFS Cybersecurity Regulation, 23 NYCRR Part 500
SEC Rule 17a-4 und die FINRA-Aufsichtsregeln, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511

Offizielle Quellen

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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