Compendium

Treaties and Regulatory Agencies — Tier 3 Family Index

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Treaties and Regulatory Agencies

Catalog of the US treaty-making framework (Article II ratification vs executive agreements), the major multilateral treaties the US is party to (or notably is not), and the comprehensive map of US federal regulatory agencies — Cabinet departments, independent commissions, banking regulators, securities and commodities regulators, environmental and energy regulators, transportation regulators, and the regulatory infrastructure (Federal Register, CFR, Reg Identifier Numbers, unified regulatory agenda) that produces and codifies federal rulemaking.

1. US Treaty-Making Framework

Article II Section 2

  • Constitutional text: “He shall have Power, by and with the Advice and Consent of the Senate, to make Treaties, provided two thirds of the Senators present concur”
  • Process: President negotiates and signs → Senate Foreign Relations Committee hearings → Senate floor vote → 2/3 of Senators present (typically 67 of 100) ratify → President deposits instrument of ratification
  • Treaty Clause supremacy (Article VI): treaties are “supreme law of the land” coequal with federal statutes

Executive agreements (used more frequently than treaties)

  • Sole executive agreements: President alone (within constitutional Article II powers); examples — agreements settling tort claims, recognition agreements, executive orders implementing foreign policy
  • Congressional-executive agreements: presidential negotiation + majority approval in both houses of Congress (rather than 2/3 Senate); used for most modern trade agreements (NAFTA, USMCA, KORUS, US-Japan TAG); some constitutional scholars dispute interchangeability with Article II treaties
  • Treaty-executive agreements: implementing instruments under prior ratified treaties

Self-executing vs non-self-executing

  • Self-executing: treaty creates judicially enforceable obligations without further legislation (e.g., extradition treaties, certain tax treaties)
  • Non-self-executing: requires implementing legislation before treaty operative as US law (Medellín v. Texas 2008 held ICJ Avena judgment non-self-executing)

2. Major Multilateral Treaties: US Position

Founding international institutions

  • UN Charter (1945) — ratified by US Senate 28 July 1945 (89–2); foundational Westphalian successor; Truman administration; San Francisco Conference April–June 1945
  • NATO Treaty (1949) — signed Washington 4 April 1949; ratified Senate 21 July 1949 (82–13); Article V mutual defense (“an armed attack against one or more of them … shall be considered an attack against them all”) invoked exactly once — after 11 September 2001 attacks
  • Geneva Conventions (1949) — US ratified all four Conventions 2 August 1955; Additional Protocols 1977/2005 — US did not ratify Protocol I or Protocol II; ratified Protocol III (Red Crystal emblem) 2007
  • Universal Declaration of Human Rights (1948) — non-binding declaration; US voted in favor

Arms control and non-proliferation

  • Nuclear Non-Proliferation Treaty (NPT, 1968) — signed by US 1 July 1968; ratified 5 March 1970; IAEA safeguards system
  • Comprehensive Test Ban Treaty (CTBT, 1996) — signed by Clinton 24 September 1996; Senate rejected ratification 1999 (51–48, needed 67); 178 other countries have ratified; not yet in force globally
  • Treaty on Open Skies (1992) — signed by US; Trump withdrew 22 November 2020; Biden administration has not rejoined; Russia withdrew 18 December 2021
  • INF Treaty (Intermediate-Range Nuclear Forces, 1987) — Reagan-Gorbachev; US-Soviet bilateral; US withdrew 2 August 2019 citing Russian violations (9M729 missile system)
  • START / New START (April 2010) — US-Russia strategic arms limit; extended to 4 February 2026; Russia suspended participation February 2023 post-Ukraine invasion; future replacement uncertain
  • AUKUS (15 September 2021) — Australia + UK + US trilateral security pact; nuclear-powered submarine technology transfer to Australia (Pillar 1) + advanced capabilities (Pillar 2 — quantum, AI, hypersonics, cyber)

Trade

  • NAFTA (1 January 1994) — North American Free Trade Agreement (US-Canada-Mexico); replaced USMCA effective 1 July 2020 (Trump renegotiation; rules-of-origin tightening; sunset clause every 6 years; review July 2026)
  • CPTPP (Comprehensive and Progressive Trans-Pacific Partnership) — 12-country Asia-Pacific FTA originally TPP under Obama; Trump withdrew January 2017 (executive order); remaining 11 countries restructured as CPTPP; Biden administration did not rejoin; UK acceded July 2023
  • IPEF (Indo-Pacific Economic Framework, May 2022) — Biden alternative to CPTPP; 14 countries; non-binding, four pillars (trade, supply chains, clean economy, fair economy); pillar 1 (trade) not concluded
  • WTO Agreement (1995) — US Senate-Executive Agreement; ongoing US appellate body blockage (since 2019, Trump + Biden continuing) has paralyzed WTO dispute resolution

Climate

  • Paris Agreement (12 December 2015) — US joined under Obama; Trump withdrew November 2020 (formal withdrawal effective 4 November 2020 under 4-year notice provision); Biden rejoined 19 February 2021; Trump 2.0 withdrew again via Executive Order signed 20 January 2025 (effective 27 January 2026 after 1-year notice)
  • Kigali Amendment to Montreal Protocol (2016) — HFC hydrofluorocarbon phase-down; US Senate ratified 21 September 2022 (69–27) — rare bipartisan environmental ratification
  • UNFCCC (1992) — original framework convention; US ratified 15 October 1992

Oceans and biodiversity

  • UNCLOS (UN Convention on the Law of the Sea, 1982) — US signed but never ratified; only major maritime nation outside (Senate Foreign Relations Committee favorably reported multiple times since 2003 but never floor vote)
  • BBNJ Treaty (Biodiversity Beyond National Jurisdiction, 2023) — High Seas Treaty; signed by US 20 September 2023; not ratified; needs 60 ratifications globally for entry into force (45+ ratifications as of mid-2025)

Human rights

  • ICC Rome Statute (1998) — US signed under Clinton 31 December 2000; Bush administration “unsigned” 6 May 2002 (Bolton letter); US not party
  • Convention on Rights of Persons with Disabilities (CRPD, 2006) — US signed 2009; Senate rejected ratification 4 December 2012 (61–38, needed 67)
  • Convention on the Elimination of All Forms of Discrimination against Women (CEDAW, 1979) — US signed Carter 1980; never ratified by Senate

Conventional weapons

  • Ottawa Treaty (Anti-Personnel Mine Ban Convention, 1997) — US not party; 164 countries are
  • CCM (Convention on Cluster Munitions, 2008) — US not party; 124 countries are; controversy 2024 over US transfers to Ukraine

3. US Federal Regulatory Agencies — Treasury Cluster

Department of the Treasury (Cabinet)

  • Founded: 1789; first Secretary Alexander Hamilton
  • Components:
    • Internal Revenue Service (IRS) — tax administration; ~85,000 employees
    • Office of the Comptroller of the Currency (OCC) — primary regulator of national banks + federal savings associations + federal branches of foreign banks; ~3,500 supervised institutions; headed by Comptroller (5-year term)
    • Financial Crimes Enforcement Network (FinCEN) — AML/BSA enforcement; Corporate Transparency Act beneficial ownership reporting since 1 January 2024 (though enforcement uncertain)
    • Office of Foreign Assets Control (OFAC) — sanctions enforcement; SDN List
    • Alcohol and Tobacco Tax and Trade Bureau (TTB) — alcohol/tobacco/firearms tax
    • US Mint — coinage
    • Bureau of Engraving and Printing (BEP) — Federal Reserve notes, postage stamps, security documents
    • Bureau of the Fiscal Service — federal debt management, payments
    • Treasury Inspector General for Tax Administration (TIGTA) — IRS oversight

Federal Reserve System

  • Federal Reserve Act 1913 (Owen-Glass); independent within government
  • Board of Governors — 7 members, 14-year staggered terms, Senate-confirmed; chair Jerome Powell (term 2026)
  • 12 Federal Reserve Banks — Boston, NY, Philadelphia, Cleveland, Richmond, Atlanta, Chicago, St. Louis, Minneapolis, Kansas City, Dallas, San Francisco; quasi-public with private member-bank stock
  • FOMC (Federal Open Market Committee) — sets monetary policy; 12 voting members (7 Governors + NY Fed President + 4 rotating regional Fed Presidents); meets 8 times yearly
  • Functions: monetary policy (dual mandate price stability + maximum employment), bank supervision (state-member banks, bank holding companies, FHCs), payment systems operator (FedACH, FedNow, Fedwire), discount window lender of last resort, consumer protection (until CFPB)

Consumer Financial Protection Bureau (CFPB)

  • Dodd-Frank Section 1011 (2010) created CFPB
  • Director: 5-year term (Seila Law v. CFPB 2020 made removable at will)
  • Funded by Fed (not appropriated by Congress; CFPB v. Community Financial Services Association 2024 upheld this funding structure 7–2)
  • Jurisdiction: consumer financial products (mortgage, credit cards, deposit accounts, payday loans, debt collection, credit reporting, student loans, prepaid cards, remittances)

FDIC (Federal Deposit Insurance Corporation)

  • Founded: 1933 (Banking Act / Glass-Steagall); first head Walter Bates
  • Insurance: USD 250,000 per depositor per insured bank per ownership category
  • Primary regulator: state non-member commercial banks
  • Receiver: for failed banks (e.g., SVB March 2023, First Republic May 2023)

FHFA (Federal Housing Finance Agency)

  • Founded: 30 July 2008 (HERA Housing and Economic Recovery Act)
  • Oversees: Fannie Mae, Freddie Mac (conservatorship since September 2008), 11 Federal Home Loan Banks
  • Director: 5-year term

NCUA (National Credit Union Administration)

  • Founded: 1970; independent agency; insures credit union deposits (NCUSIF)
  • 3-member Board (5-year staggered terms)

4. Securities and Commodities Regulators

SEC (Securities and Exchange Commission)

  • Founded: 6 June 1934 (Securities Exchange Act); first Chairman Joseph P. Kennedy Sr.
  • Structure: 5 Commissioners (5-year staggered terms; no more than 3 from same party); Chair appointed by President from sitting Commissioners
  • Current Chair: Paul Atkins (since April 2025; succeeded Gary Gensler who served 2021–early 2025)
  • Divisions:
    • Corporation Finance — ‘33 Act registration, periodic reporting (‘34 Act)
    • Trading and Markets — broker-dealers, exchanges, SROs, clearing agencies
    • Investment Management — investment advisers, investment companies
    • Examinations — compliance examinations
    • Enforcement — civil enforcement
    • Economic and Risk Analysis (DERA) — economic analysis
    • Office of the General Counsel, Office of the Chief Accountant, Office of International Affairs
  • SROs (Self-Regulatory Organizations) under SEC oversight:
    • FINRA (Financial Industry Regulatory Authority) — broker-dealers
    • MSRB (Municipal Securities Rulemaking Board) — muni securities
    • NYSE, Nasdaq, Cboe, MIAX — exchanges
    • PCAOB (Public Company Accounting Oversight Board) — audit firms; Sarbanes-Oxley 2002

CFTC (Commodity Futures Trading Commission)

  • Founded: 1974 (Commodity Futures Trading Commission Act); successor to USDA Commodity Exchange Authority
  • 5 Commissioners (5-year staggered terms)
  • Current Chair: Caroline D. Pham (acting/permanent role through 2025; succeeded Rostin Behnam)
  • Jurisdiction: futures, options on futures, swaps (post-Dodd-Frank Title VII); DCMs (Designated Contract Markets like CME), DCOs (Derivatives Clearing Organizations), SDRs (Swap Data Repositories), SEFs (Swap Execution Facilities)

FTC (Federal Trade Commission)

  • Founded: 26 September 1914 (FTC Act)
  • 5 Commissioners (7-year staggered terms; no more than 3 same party); Chair selected by President
  • Bureau structure:
    • Bureau of Competition — antitrust (merger review pre-clearance with DOJ; Section 7 Clayton Act enforcement)
    • Bureau of Consumer Protection — unfair/deceptive practices (Section 5 FTC Act); FTC Rule Section 18 rulemaking
    • Bureau of Economics — economic analysis
  • Current Chair: Andrew Ferguson (since January 2025; succeeded Lina Khan)
  • Notable Khan-era actions: Non-Compete Rule (April 2024, struck down by ND Texas August 2024), Click-to-Cancel Rule, FTC v. Microsoft-Activision (lost)

DOJ Antitrust Division

  • Within DOJ, separate from FTC; criminal antitrust authority (FTC has only civil)
  • Merger review: shares with FTC under HSR Act (Hart-Scott-Rodino 1976); typically split by industry expertise
  • Assistant Attorney General for Antitrust: Jonathan Kanter (under Biden); successor under Trump 2.0

5. Labor, Employment, Health and Safety

NLRB (National Labor Relations Board)

  • Founded: 1935 (Wagner Act/NLRA)
  • 5-member Board (5-year staggered terms); separate General Counsel (4-year term, prosecutorial role)
  • Jurisdiction: private-sector union representation elections, unfair labor practices (Sections 7, 8); does not cover railroad/airline workers (RLA Railway Labor Act → NMB National Mediation Board)
  • 2025: substantial reset of Biden-era General Counsel memos under Trump

EEOC (Equal Employment Opportunity Commission)

  • Founded: 1965 (Title VII Civil Rights Act 1964)
  • 5 Commissioners (5-year staggered terms); General Counsel separately appointed
  • Enforces: Title VII (race/color/religion/sex/national origin); ADEA Age Discrimination; ADA Americans with Disabilities Act; Equal Pay Act; GINA Genetic Information Nondiscrimination Act; Section 501 Rehabilitation Act; PWFA Pregnant Workers Fairness Act 2023

OSHA (Occupational Safety and Health Administration)

  • Within Department of Labor; founded 1971 (OSH Act 1970, Nixon)
  • Administrator: Senate-confirmed (Assistant Secretary of Labor)
  • General Duty Clause (Section 5(a)(1)) + specific standards (29 CFR 1910 general industry, 1926 construction)
  • OSHRC (Occupational Safety and Health Review Commission) — independent quasi-judicial review

NIOSH (National Institute for Occupational Safety and Health)

  • Within CDC (HHS); research arm; not enforcement (OSHA enforces)

6. Environmental and Energy Regulators

EPA (Environmental Protection Agency)

  • Founded: 2 December 1970 (Reorganization Plan No. 3 by Nixon; not statutory creation)
  • Administrator: Senate-confirmed
  • HQ: Washington DC + 10 regional offices (Boston, NYC, Philadelphia, Atlanta, Chicago, Dallas, Kansas City, Denver, San Francisco, Seattle)
  • Major statutes administered: Clean Air Act, Clean Water Act, Safe Drinking Water Act, RCRA Resource Conservation and Recovery Act, CERCLA (Superfund), TSCA Toxic Substances Control Act, FIFRA Federal Insecticide Fungicide and Rodenticide Act
  • 2025 Trump 2.0 rollbacks: power plant emissions rules, vehicle GHG standards, methane rules, PFAS standards being revisited

NRC (Nuclear Regulatory Commission)

  • Founded: 1974 (Energy Reorganization Act split AEC into NRC + ERDA); ERDA became DOE 1977
  • 5 Commissioners (5-year staggered terms); Chair designated by President
  • Current Chair: David Wright (since 2024; succeeded Christopher Hanson)
  • Jurisdiction: commercial nuclear reactors, fuel cycle facilities, materials licensees, transport, waste

FERC (Federal Energy Regulatory Commission)

  • Founded: 1977 (DOE Organization Act; FPC Federal Power Commission predecessor 1920)
  • 5 Commissioners (5-year staggered terms); no more than 3 same party
  • Jurisdiction: interstate natural gas pipelines and LNG terminals, interstate electric transmission and wholesale electricity markets, hydroelectric licensing, oil pipeline rates

DOE (Department of Energy)

  • Founded: 1977 (DOE Organization Act)
  • Components: NNSA (National Nuclear Security Administration — weapons + naval reactors + nonprolif); EIA (Energy Information Administration); EERE (Energy Efficiency and Renewable Energy); ARPA-E (Advanced Research Projects Agency–Energy); DOE National Labs (Argonne, Brookhaven, Berkeley, Fermilab, Idaho, Lawrence Livermore, Los Alamos, NREL, Oak Ridge, Pacific Northwest, Princeton Plasma Physics, Sandia, SLAC, Thomas Jefferson, Savannah River)

7. Communications and Transportation

FCC (Federal Communications Commission)

  • Founded: 1934 (Communications Act)
  • 5 Commissioners (5-year staggered terms); no more than 3 same party; Chair by Presidential designation
  • Current Chair: Brendan Carr (since January 2025)
  • Jurisdiction: interstate + international communications by radio, TV, wire, satellite, cable; spectrum auctions; broadband (Title I vs Title II classification debates)

DOT (Department of Transportation)

  • Founded: 1966
  • Modal administrations:
    • FAA (Federal Aviation Administration) — aviation safety, ATC; ~46,000 employees
    • FHWA (Federal Highway Administration) — federal-aid highway program
    • FRA (Federal Railroad Administration) — rail safety; recent PTC mandate
    • FTA (Federal Transit Administration) — mass transit
    • FMCSA (Federal Motor Carrier Safety Administration) — commercial trucks/buses
    • NHTSA (National Highway Traffic Safety Administration) — vehicle safety standards FMVSS, recalls
    • MARAD (Maritime Administration) — maritime promotion
    • PHMSA (Pipeline and Hazardous Materials Safety Administration) — pipelines, hazmat transport
    • STB (Surface Transportation Board) — independent within DOT; rail rates and economic regulation

8. Food and Drug

FDA (Food and Drug Administration)

  • Within HHS; founded 1906 (Pure Food and Drug Act); modernized 1938 (FD&C Act Federal Food Drug and Cosmetic Act)
  • Centers:
    • CDER (Drugs) — drug approvals (NDAs New Drug Applications, ANDAs Abbreviated NDAs for generics)
    • CBER (Biologics) — biologics, gene therapy, blood products, vaccines
    • CDRH (Devices and Radiological Health) — medical devices (510(k), De Novo, PMA), radiation-emitting products
    • CFSAN (Food Safety and Applied Nutrition) — food (other than meat/poultry), cosmetics, dietary supplements
    • CVM (Veterinary Medicine) — animal drugs/food
    • CTP (Tobacco Products) — Family Smoking Prevention 2009
  • FDA does NOT regulate meat, poultry, or processed egg products — those go to USDA FSIS

USDA (Department of Agriculture) Components

  • FSIS (Food Safety and Inspection Service) — meat, poultry, processed eggs
  • APHIS (Animal and Plant Health Inspection Service) — animal/plant pest control, biotechnology
  • AMS (Agricultural Marketing Service) — marketing orders, organic, country-of-origin labeling
  • FNS (Food and Nutrition Service) — SNAP, WIC, school meals
  • NRCS (Natural Resources Conservation Service) — soil + water conservation
  • Forest Service — national forests (193M acres)

9. Homeland Security and Justice

DHS (Department of Homeland Security)

  • Founded: 2002 (HSA Homeland Security Act); merger of 22 agencies
  • Components:
    • TSA (Transportation Security Administration) — aviation/transit screening
    • CBP (Customs and Border Protection) — borders, ports of entry
    • ICE (Immigration and Customs Enforcement) — interior enforcement
    • CISA (Cybersecurity and Infrastructure Security Agency) — critical infrastructure cyber + physical
    • USCG (Coast Guard) — maritime; transfers to Navy in wartime
    • FEMA (Federal Emergency Management Agency) — disaster response
    • USSS (United States Secret Service) — presidential protection, financial crimes
    • USCIS (US Citizenship and Immigration Services) — immigration benefits, asylum

DOJ (Department of Justice)

  • Components include: FBI, DEA, ATF, US Marshals, BOP Federal Bureau of Prisons, EOIR Executive Office for Immigration Review (immigration courts), OLP Office of Legal Policy, OLC Office of Legal Counsel, ATR Antitrust Division, Civil Division, Civil Rights Division, Criminal Division, Tax Division, Environment and Natural Resources Division (ENRD), National Security Division (NSD)

10. Housing, Veterans, Education

HUD (Department of Housing and Urban Development)

  • Founded: 1965; FHA, Ginnie Mae (within HUD)

VA (Department of Veterans Affairs)

  • Veterans Health Administration (VHA) — largest US integrated healthcare system (~9M enrolled)
  • Veterans Benefits Administration (VBA) — disability compensation
  • National Cemetery Administration (NCA)

Department of Education

  • Founded: 1979 (separated from HEW)
  • Components: OSEP (special ed IDEA), OPE (postsecondary), FSA (Federal Student Aid), OCR (Office for Civil Rights — Title IX, Title VI)
  • Trump 2.0 EO to “dismantle” Department of Education (March 2025); requires Congressional action for full dissolution

11. Independent Agencies and Boards

  • PBGC (Pension Benefit Guaranty Corporation) — defined-benefit pension insurance; 1974 ERISA
  • Smithsonian Institution — federal trust
  • SBA (Small Business Administration) — 7(a) loans, SBIC investment companies
  • USPS (United States Postal Service) — independent establishment within executive branch
  • SSA (Social Security Administration) — independent agency since 1994; ~67M beneficiaries
  • OPM (Office of Personnel Management) — federal HR; Schedule F controversy 2025
  • GSA (General Services Administration) — federal real estate, procurement
  • NARA (National Archives and Records Administration) — Federal Register publication
  • NASA — space; founded 1958
  • NSF (National Science Foundation) — basic research grants
  • NIH (National Institutes of Health) — within HHS; biomedical research; 27 Institutes/Centers
  • NIST (National Institute of Standards and Technology) — within Commerce; measurement standards, cybersecurity framework
  • USGS (US Geological Survey) — within Interior
  • NOAA (National Oceanic and Atmospheric Administration) — within Commerce; National Weather Service, Fisheries
  • USAID (US Agency for International Development) — foreign aid; faces restructuring under Trump 2.0

12. Federal Rulemaking Infrastructure

Federal Register

  • Daily publication of proposed and final rules, presidential documents (EOs, proclamations), notices; published by NARA/GPO since 1936
  • Online: federalregister.gov (modernized 2010)

Code of Federal Regulations (CFR)

  • Annual codification of final rules by subject; 50 titles (e.g., Title 12 Banks and Banking, Title 17 Commodity and Securities Exchanges, Title 40 Protection of Environment, Title 49 Transportation)
  • Updated continuously via electronic CFR (e-CFR)

Rulemaking Procedure (Administrative Procedure Act 1946)

  • APA Section 553 notice-and-comment rulemaking:
    1. NPRM (Notice of Proposed Rulemaking) in Federal Register
    2. Comment period (minimum 30 days; commonly 60–90; major rules 180+)
    3. Final Rule with response to comments
    4. Effective date (typically 30+ days after publication; major rules under Congressional Review Act 60+ days)
  • Direct final rules — for non-controversial rules; effective unless adverse comments received
  • Interim final rules — effective immediately for good cause; subsequent comment

RIN (Regulation Identifier Number) and Unified Agenda

  • RIN: 4-digit-prefix + 4-character suffix unique identifier (e.g., 1545-BL96 for Treasury); follows rule from agenda to final
  • Unified Regulatory Agenda — semi-annual (Spring + Fall) publication coordinated by OIRA listing every rule under development across all agencies

OIRA (Office of Information and Regulatory Affairs)

  • Within OMB (Office of Management and Budget); regulatory review
  • EO 12866 (Clinton 1993) review of “significant” rules; cost-benefit analysis; coordination across agencies
  • EO 14094 (Biden 2023) updated significance threshold

Congressional Review Act (CRA, 1996)

  • Joint resolution of disapproval can nullify final rule within 60 legislative days of submission to Congress + GAO
  • No Senate filibuster — simple majority needed
  • Major use: 2017 Trump used CRA to overturn 16 Obama-era rules; 2021 Biden used to overturn 3 Trump rules

Adjacent Notes

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