Resource Links

Additional links with detail are provided through the buttons on the side of this page.

Government Sites

Department of Labor
IRS's Tax Professional
Department of the Treasury
US Tax Code
Internal Revenue Service
Federal Trade Commission

Laws & Regulations

Cornell Law School - Legal Information Institute
American Bar Association
United States Code
OCC - 12 CFR 9 Fiduciary Activities of National Banks
OTS - 12 CFR 550 Fiduciary Powers of Savings Association
Uniform Prudent Investor Act 
Uniform Trustees' Power Act
Uniform Principal and Income Act
Uniform Management of Institutional Funds Act
Uniform Fraudulent Transfer Act
Uniform Fraudulent Conveyance Act
Uniform Fiduciaries Act
American College of Trust and Estate Counsel
American Academy of Estate Planning Attorneys
Trust Indenture Act of 1939
The Securities Act of 1933
The Securities Exchange Act of 1934  
Investment Advisors Act of 1940
Investment Company Act 1940  
Sarbanes-Oxley Act of 2002

Banking Associations

American Bankers Association
Independent Community Bankers of America
Bank Administration Institute


FFIEC Information Technology Infobase
Federal Deposit Insurance Corp.
Federal Reserve System Board of Governors
Office of the Comptroller of Currency
Office of Thirft Supervision
National Credit Union Administration
Federal Financial Institutions Examination
FRB Atlanta
FRB Boston
FRB Cleveland
FRB Dallas
FRB Kansas
FRB Minneapolis
FRB New York
FRB Philadelphia
FRB Richmond
FRB San Francisco
FRB St. Louis

Audit Issues

Jim Kaplan's AuditNet
Audit, Risk Management and Information Security Site
Institute of Internal Auditors
ISACA (Information Systems Audit and Control Association)


BIS (Bank for International Settlements)
IOSCO (International Organization of Securities Commissions)
ISSA (International Securities Services Association)
LII (Legal Information Institute) - Laws and Court Opinions
Securities Operations Forum

ERISA Matters

EBSA - Compliance Assistance

OCC Handbooks

Asset Management
Conflict of Interest Custody Services
Investment Management Services
Personal Fiduciary Services
Collective Investment Funds

Contingency Planning and Risk Management

ACP (Association of Contingency Planners)
Contingency Planning & Management Group
RMA (Risk Management Association)


Risk Technology Guide

Securities Regulators and SEC Rules

National Association of Securities Dealers
Securities and Exchange Commission
SEC EDGAR Filings & Forms