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Federal and State Regulatory Resources

On this page you will find federal and state agencies responsible for financial institutions regulation.

Federal Agencies

Consumer Financial Protection Bureau

The Consumer Financial Protection Bureau (CFPB) provides information to consumers that help them understand the terms of their agreements with financial companies. They are working to make regulations and guidance as clear and streamlined as possible so providers of consumer financial products and services can follow the rules on their own. Read more...

Division of Supervision and Regulation — Federal Reserve Bank of Chicago

The Chicago Fed department responsible for supervising bank holding companies, financial holding companies and state-chartered banks that are members of the Federal Reserve System that are headquartered in the Federal Reserve System’s Seventh District.. The District’s includes all or portions of Illinois, Indiana, Iowa, Michigan and Wisconsin. Read more...

Federal Deposit Insurance Corporation

The Federal Deposit Insurance Corporation (FDIC) is an independent agency created by the Congress to maintain stability and public confidence in the nation's financial system by, insuring deposits, examining and supervising financial institutions for safety and soundness and consumer protection, and managing receiverships. Read more...

Office of the Comptroller of the Currency

The Office of the Comptroller of the Currency (OCC) charters, regulates and supervises all national banks and federal savings associations, as well as federal branches and agencies of foreign banks. The OCC is an independent bureau of the U.S. Department of the Treasury that works to ensure national banks and federal savings associations operate in a safe and sound manner, provide fair access to financial services, treat customers fairly and comply with applicable laws and regulations. Read more...

State Agencies

Illinois Department of Financial and Professional Regulation

State-chartered banks and thrifts; corporate fiduciaries; real estate brokers and agents; appraisers; timeshare/land sales; mortgage bankers and brokers; leasing agents; check printers; pawnbrokers; and auctioneers. Read more...

Indiana Department of Financial Institutions

State-chartered commercial banks; trust companies; savings banks; building and loans associations; credit unions; pawnbrokers; money transmitters; industrial loan and investment companies; budget service companies; rental/purchase businesses; check cashers; and licensees under the Uniform Consumer Credit Code. Read more...

Iowa Department of Commerce — Division of Banking

State-chartered banks; bank holding companies; trust operations; regulated loan companies; industrial loan companies; debt management companies; mortgage bankers/brokers; delayed deposit services (payday lenders); and money transmitters. Read more...

Michigan Office of Financial and Insurance Services

State-chartered banks; banks/savings banks authorized to exercise trust powers; business and industrial development companies; de novo banks; consumer financial service licensees; credit card licensees; motor vehicle installment seller licensees; motor vehicle sales finance licensees; regulatory loan licensees; sale of check licensees; active state-chartered credit unions; and mortgage licensees/registrants. Read more...

Wisconsin Department of Financial Institutions

State-chartered banks; state-chartered credit unions; businesses engaging in various financial endeavors; such as adjustment service companies; currency exchanges; collection agencies; insurance premium finance companies; loan companies; sales finance companies; sellers of checks; mortgage banking; savings and loans; and savings banks. Read more...

Federal and State Securities and Commodities Agencies

Commodity Futures Trading Commission

Futures commission merchants; commodity pool operators; commodity trading advisors; introducing brokers, contract markets, derivatives transaction execution facilities, derivative clearing organizations and the National Futures Association (NFA). Contract markets and the NFA are self-regulatory organizations. Jurisdiction includes futures and options and Commodity Futures Trading Commission registrants may or may not be broker/dealers. Read more…

Illinois Securities Department

Regulates salespersons/agents; investment advisors; investment advisor representatives; business brokers; mutual funds; loan brokers; business opportunities; and unit investment trusts (a specialized investment company that purchases a fixed portfolio of stocks, bonds or other securities). Read more…

Indiana Securities Division

Registered mortgage loan brokers; investment advisors; investment advisor representatives; franchises; collection agencies; and continuing care facilities. Read more…

Iowa Securities Bureau

Securities sales agents and dealers. Read more…

Michigan Office of Financial and Insurance Services

Investment advisers; securities broker/dealers; finders; and agents. Read more…

Wisconsin Securities Department

The Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. Read more…

Additional Resources

Federal Register

The Office of the Federal Register of the National Archives and Records Administration and the U.S. Government Printing Office jointly administer this website. The goal of the Federal Register to make it easier for citizens and communities to understand the regulatory process and to participate in government decision-making. Read more...

All Guidance Information on Board of Governors Regulations

Bank regulation entails issuing specific regulations and guidelines governing the operations, activities and acquisitions of banking organizations. Read more...

Board of Governors Supervision Manuals

These manuals are intended to provide guidance to supervisory personnel in planning and conducting examinations and inspections and are to be used in conjunction with other supervisory guidance and manuals.

 



Federal Reserve Bank of Chicago, 230 South LaSalle Street, Chicago, Illinois 60604-1413, USA. Tel. (312) 322-5322

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