Tracking Trends
Anti-Money Laundering
Anti-money laundering is an evolving topic that places additional due diligence and reporting responsibilities on firms, supervisors, and registered representatives.
- Regulatory Notice 10-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Date posted: 4/15/2010
- FINRA Information Notice - May 20, 2009
Continuing Education Planning
Date posted: 5/20/2009
- CBOE Regulatory Circular RG08-14
January 16, 2008 - Revisions to CBOE Rule 4.20 – Anti Money Laundering Compliance Program - The Securities and Exchange Commission ("SEC") has approved Chicago Board Options Exchange ("CBOE" or "the Exchange") rule filing SR-CBOE-2007-130, which amends Exchange Rules 4.20 – Anti Money Laundering Compliance Program.
Date posted: 1/22/2008
- NFA Notice I-07-26
On June 13, 2007, the Financial Crimes Enforcement Network (FinCEN) issued two pieces of guidance that are applicable to FCM and IB Members. The first piece of guidance involves SAR supporting documentation. The second piece of guidance addresses situations where a law enforcement agency requests that a financial institution keep an account open.
Date posted: 6/20/2007
- NASD Notice to Members 07-17
April 18, 2007 - NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act - This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited (Banco Delta Asia or bank).3 Banco Delta Asia is a commercial bank in Macau, Special Administrative Region, China. This measure is comparable to that imposed against the Latvian bank VEF Banka and its subsidaries, including Veiksmes lizings.
Date posted: 4/18/2007
- NYSE Information Memo 07-34
April 18, 2007 - NYSE And NASD Joint Release Regarding Special Measures Against Specified Banks Pursuant To Section 311 Of The USA Patriot Act - This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited (“Banco Delta Asia” or “bank”).3 Banco Delta Asia is a commercial bank in Macau, Special Administrative Region, China. This measure is comparable to that imposed against the Latvian bank VEF Banka and its subsidiaries, including Veiksmes lîzings.
Date posted: 4/18/2007
- NYSE Information Memo 06-58
NYSE and NASD Joint Release Regarding Special Measures Against Specified Banks Pursuant To Section 311 Of The USA Patriot Act
Date posted: 8/15/2006
- NASD Notice to Members 06-41
Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act
Date posted: 8/14/2006
- NYSE Information Memo 06-50
Effective Dates For Section 312 Of The USA Patriot Act
Date posted: 7/3/2006
- NYSE Information Memo 06-04
Amendments To Rule 445 ("Anti-Money Laundering Compliance Program")
Date posted: 2/6/2006
- MSRB Notice 2005-24
Amendment to File No. SR-MSRB-2005-03 Regarding Amendments To Rule G-41, on Anti-Money Laundering Compliance.
Date posted: 4/27/2005
- NYSE Information Memo 03-48
NYSE RULE 445 - INITIAL ANTI-MONEY LAUNDERING AUDIT
Date posted: 9/3/2004
- NFA Notice
AML Update: Effective May 18, FCMs and IBs must file Suspicious Activity Reports
Date posted: 8/13/2004
