Anatomy of a Regulation for Compliance Professionals


Description: The purpose of this course is to provide  an overview of federal laws and regulations, as they apply to the banking industry. You will learn about the purpose and structure of banking laws and regulations and the relationship between laws and regulations. You will also learn about the legislative process and the steps in the rulemaking process. In addition, you will learn about the standard means for referencing a citation and how to research regulations using the Code of Federal Regulations. Finally, you will learn about sources of guidance and practical tips on how to navigate and research federal laws and regulations. At the end of the course is a summary of resources that will help you understand and interpret the impact of banking laws and regulations.

Students will learn through a combination of instructor videos, exercises, readings, glossaries, self-assessments and more. Students will complete the course with a final exam to earn Certified Regulatory Compliance Manager (CRCM) credits.

Audience: Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.

Learning Objectives: After completing this course, students will gain a fundamental understanding of Anatomy of a Regulation for Compliance Professionals and learn how to:

  • Explain the purpose of federal banking laws and regulations
  • Explain how bills become law and describe the structure of a typical law
  • Describe the structure and format of regulations
  • Identify sources of guidance and practical tips for understanding and interpreting federal laws and regulations