Lending, advice, insurance and money movement. This is its own schema, version 2.
© 2026 System Atlas · Built by MIOSA
Free to map your own company · Members $300 a year| Constraint | Kind | Jurisdiction | Applies to | Status | Met | Not met | Source |
|---|---|---|---|---|---|---|---|
Bank Secrecy Act and anti-money-laundering rules Customer identification, an anti-money-laundering programme and reports of suspicious activity. Financial Crimes Enforcement Network | Regulation | United States | Identity checks and anti-money-laundering, Regulatory reporting | In force | — | — | Official |
California Consumer Privacy Act Tell consumers what personal information is collected and let them access, delete and opt out of its sale. California Attorney General | Regulation | California, United States | Client records, Data management | In force | — | — |
Constraints scoped to Financial services, a node above it or a type of company below it, plus those every company runs under. Met and not met count companies that published their state. Not legal advice: every rule links to its official source.
Employment eligibility verification (Form I-9) Verify the identity and work authorisation of every new hire and keep the form on file. U.S. Citizenship and Immigration Services | Regulation | United States | Hiring | In force | — | — | Official |
|---|
FTC Safeguards Rule A written information security programme to protect customer financial information. Federal Trade Commission | Regulation | United States | Client records, Security and fraud controls | In force | — | — | Official |
|---|
Fair Labor Standards Act Minimum wage, overtime pay for non-exempt employees, and records of hours and pay. U.S. Department of Labor, Wage and Hour Division | Regulation | United States | Payroll, Scheduling and capacity, Policies and culture | In force | — | — | Official |
|---|
General Data Protection Regulation A lawful basis for processing personal data, records of processing, data subject rights and breach notification. EU data protection authorities | Regulation | European Union | Client records, Data management, Security and fraud controls | In force | — | — | Official |
|---|
Occupational Safety and Health Act A workplace free of recognised hazards, injury records where required, and training on the hazards of the job. Occupational Safety and Health Administration | Regulation | United States | Onboarding and training, Health, safety and environment | In force | — | — | Official |
|---|
FINRA registration and qualification exams Broker-dealer firms and their representatives register and pass the qualification exams for their role. Financial Industry Regulatory Authority | Licence | United States | Hiring, Charters and licences | In force | — | — | Official |
|---|
Federal payroll tax withholding and quarterly return (Form 941) Withhold income, Social Security and Medicare taxes from wages and report them every quarter. Internal Revenue Service | Tax rule | United States | Payroll, Accounting and close | In force | — | — | Official |
|---|
Source: US Census Bureau, County Business Patterns 2023 (national file), employees as of mid-March 2023, payroll for the year; published 2025-06-26. Coded on NAICS 2017. Withheld cells read as not published.
Focused research on the organizations with the fewest mapped parts in financial services; what it finds is public for everyone.
Counts of what public research has found and sourced, each part with its source on the organization’s profile. They say what is known, not how much of the industry exists.