In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. U.S. Bank is building a scalable, lifecycle-aligned Broker-Dealer Operations organization to support business growth, regulatory requirements, new trading capabilities, and an expanding institutional client base.