Compliance E-Guide
Affirmative Action Americans With Disabilities Appraisals Bank Bribery Act Bank Secrecy Act Bankruptcy Board Governance Bylaws Certificates of Indebtedness Charitable Contributions Check 21 Child Support Data Matching Children's Online Privacy Protection Act - COPPA Community Development Revolving Loan Program Conflicts Of Interest Conversion To Mutual Savings Bank Credit Practices Rule Credit Risk Retention Credit Union Service Organizations (CUSOs) Cybersecurity Derivatives Disaster Recovery Due Diligence Reviews Elder Financial Abuse Electronic Fund Transfers - Regulation E Electronic Signatures Eligible Obligations Environmental Lender Liability - CERCLA Equal Credit Opportunity - REG B Examinations Expedited Funds Availability Act - REG CC FACT Act Fair Credit Reporting Act Fair Debt Collection Practices Act Fair Housing Act Fair Labor Standards Act Family And Medical Leave Act FATCA Federal Election Campaign Issues Federal Rules Of Civil Procedure Fidelity Bonds Field Of Membership Financial Elder-Dependent Adult Abuse Reporting Act - California State Law Fixed Assets Flood Insurance FOM Summary July 2015 Foreign Branching Garnishments (Federal Benefit Payments) Health Care Tax Credit Health Savings Accounts History of Federal Income Tax Exemption Holder In Due Course Rule Home Mortgage Disclosure Act - REG C Home Ownership Counseling Notification Identity Theft Incidental Powers Individual Development Accounts - IDAs Individual Retirement Accounts (IRAs) Interchange Fees And Routing Internet Gambling Investments - NCUA Part 703 IRS Reporting – 1098-E Student Loan Interest Statement IRS Reporting – Form 1099-INT Interest Reporting IRS Reporting - Form W-9 - Request For Taxpayer Identification Number And Certification IRS Reporting - IRS Form 1120-POL - U.S. Income Tax Return For Certain Political Organizations IRS Reporting 1098 Mortgage Interest IRS Reporting Form 1099-C Discharge Of Indebtedness IRS Reporting Non-Resident Alien Reporting–Forms W-8BEN and 1042-S (also see E-guide section for FATCA) IRS REPORTING–1099-MISC,Miscellaneous Income IRS Reporting-Form 990,Return of Organization Exempt from Income Tax IRS Small Business Health Care Tax Credit IRS Summons And Levies J-Regulation J - Collection of Checks or Funds Transfer Through Fedwire Leasing - REG M Legal Opinion Letters Liquidity Loan Participations Making Home Affordable Loan Modification Program Management Interlocks Margin Loans - REG U Member Business Loans Mergers Military Lending Act Mortgage Lending Rules - New 2013 CFPB Rules Mortgage Lending Rules - TILA/RESPA Disclosure Forms Mortgage Lending Rules (2013) - Ability-to-Repay/Qualified Mortgage Mortgage Lending Rules (2013) - Appraisals Mortgage Lending Rules (2013) - Escrow Mortgage Lending Rules (2013) - HOEPA Mortgage Lending Rules (2013) - Homeownership Counseling Mortgage Lending Rules (2013) - MLO Compensation Mortgage Lending Rules (2013) - Mortgage Servicing/ RESPA Mortgage Lending Rules (2013) - Mortgage Servicing/ TILA Mortgage Loan Originator Registration (SAFE Act) NCUA - Private Student Loans NCUA Lending Non-Member Services Office Of Foreign Assets Control (OFAC) Powers- Credit Union vs Bank Predatory Lending Privacy Private Mortgage Insurance Private Student Loans Prompt Corrective Action Real Estate Settlement Procedures Reclamations Record Retention-NCUA Records Preservation Program Regulation J-Collection of Checks-Funds Transfers Through Fedwire Regulatory Relief-REGFLEX Remittance Transfers (Regulation E) Reserve Requirements (Regulation D) Right To Financial Privacy Act Savings Bonds Security Program-Security Of Member Information Service Members Civil Relief Act Service to the Under-Served Share Insurance Signature Guarantee Programs Small Business Administration (SBA) Loans Social Security Funds Usage SPAM e-MAIL State Chartered Credit Unions Statutory Lien Supervisory Committee Tax Exemption History Taxation of Federal Credit Unions Telemarketing Truth In Lending - REG Z Truth In Savings Undocumented Individuals Uniform Commercial Code Uniformed Services Employment And Reemployment Rights Act Unrelated Business Income Taxes (UBIT)
Compliance Acronyms
Compliance Acronym List

Regulatory Agencies


Americans with Disabilities Act (ADA), U.S. Department of Justice 


Consumer Financial Protection Bureau 


Department of Justice 

Department of Labor   

Federal Reserve Board 

Federal Trade Commission (FTC) 

FinCEN- Financial Crimes Enforcement Network

  • Financial Crimes Enforcement Network home page
  • FinCEN Regulatory Helpline (for compliance questions):1-800-949-2732
  • FinCEN Financial Institutions Hotline (to report suspicious transactions that may relate to terrorist activity against the U.S.): 1-866-556-3974








NACHA- [Not an agency, but a helpful resource] 





National Flood Insurance Program 

NMLS- National Mortgage Licensing System and Registry

OFAC- Office of Foreign Assets Control


State Financial Services Agencies 




Jared Ihrig
Chief Compliance Officer

Mike McLain
Senior Federal Compliance Counsel, Regulatory Affairs

Valerie Moss
Senior Director of Compliance Analysis, Regulatory Affairs

Colleen Kelly
Senior Federal Compliance Counsel, Regulatory Affairs

Whitney Nicholas
Senior Federal Compliance Counsel, Regulatory Affairs

Nancy DeGrandi
Manager, Federal Compliance Info & Research, Regulatory Affairs

Tracy Blaske

Director of Compliance Education

Melisa Kallestad
Instructional Design Manager, Compliance

Jackie Ekdahl
Executive Assistant to the Chief Compliance Officer

League Compliance Contacts
2016 CUNA Governmental Affairs Conference
696 x 574 GameChange Bottom Theater