A - Z Guide to Agency Lending Disclosure and Related Documents
The A - Z Guide to ALD contains all the information broker-dealers and agent lenders need to know to be ALD compliant. A new firm should begin by reviewing the Basic Set up Instructions below. In addition to the A - Z Guide, the Testing Guide to ALD contains comprehensive guidelines for conducting testing in preparation for ALD compliance. The testing Guide should always be used in conjunction with the A - Z Guide.
IMPORTANT INFORMATION
Any business assumptions or regulatory interpretations expressed in the documents contained in the Agency Lending Disclosure web site are the product of Agency Lending Disclosure Task force discussions and represent the opinions of the Task force members. Each firm is responsible for its own interpretations of existing rules and making decisions based on its internal business policies and procedures.