Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • Back Office
        • Business Continuity
        • Insider Trading
        • Registration Process
        • Capital Requirements
        • BD and FCM Risk Assessment Rules
        • Custody Rules
        • Liquidity
        • Securities Margin
        • BD Employees: Outside and Personal Activities
        • More Broker-Dealer Topics
        • Sales and Trading
        • Telemarketing
        • Political Contributions (Pay to Play)
        • BD Best Interest; IA Fiduciary Guidance
        • Research
        • Short Sales
        • Types of Firms
        • Government Securities Dealers
        • Government. Securities: Registration Requirement
        • Muni Securities and Dealers
        • Non-U.S. BDs
    • Commodity Exchange Act
      • Commodity Exchange Act
        • Overview
        • CFTC Supervision and CCO
        • Position Limits
        • FCMs
        • FCM / IB Registration Requirement
        • BD and FCM Risk Assessment Rules
        • BD and FCM Subordination Agreements
        • BD and CEA Withdrawals of Capital
        • FCM Capital
        • FCMs and Swap Dealer Custody
        • More CEA Topics
        • Swaps and Swap Dealers
        • Margin for Uncleared Swaps
        • FCMs and Swap Dealer Custody
        • Swap Dealer and SBSD Capital
        • CPOs and CTAs
        • Registration Requirement
        • Registration Process
        • Disclosure, Reporting and Recordkeeping
        • FERC Federal Registers
    • Advisers and Funds
      • Advisers and Funds
        • Overview
        • Municipal Advisors
        • IA Regulation
        • BD Best Interest; IA Fiduciary Guidance
        • Business Continuity
        • Incentive Compensation
        • Marketing Materials
        • Pay to Play
        • Recordkeeping and Reporting
        • Registration Requirement
        • SEA 13(f) Position Reporting
        • Soft Dollars
        • Custody Requirements
        • More Adviser and Funds Topics
        • Investment Companies
        • Capital Structure, Senior Securities, Liquidity
        • Custody Requirements
    • Banking
      • Banking
        • Overview
        • FRA 23A and 23B and Reg W
        • Community Reinvestment Act
        • Volcker
        • Truth in Lending
        • Truth in Savings
        • Capital Requirements
        • Enforcement Procedures
        • Consumer Leasing
      • Products and Contracts
        • Products and Contracts
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Foreign Currency
          • Government Securities and Dealers
          • LIBOR and Indices
          • Municipal Securities and Dealers
          • Securities Lending
          • Securities Options
          • Security Futures Products
          • TBAs and the MSFTA
      • Credit and Insolvency
        • Credit and Insolvency
          • Overview
          • BD Insolvency
          • FCM Insolvency
          • Insolvency of Banks
          • Protected Financial Contracts
          • Security Interests and UCC
        • Cross-Regulatory
          • Cross-Regulatory
            • Cybersecurity and Data Protection
            • Political Contributions (Pay to Play)
            • State Law
            • Telemarketing
          • ERISA and Tax
            • ERISA and Tax
              • ERISA
              • Overview
              • DOL Fiduciary Rule
              • Tax
              • FATCA
          • Enforcement and Bad Acts
            • Enforcement and Bad Acts
              • Anti-Money Laundering
              • Benchmark Enforcement
              • Class Actions
              • Disqualifications and Waivers
              • Foreign Corrupt Practices Act
              • Insider Trading
              • SEC and FINRA
              • Sanctions
              • Whistleblowers
            • Investors
              • Investors
                • Comm. on Foreign Investment in US ("CFIUS")
                • Hart-Scott-Rodino
                • SEA 13(f) Position Reporting
              • Issuers and Offerings
                • Issuers and Offerings
                  • Asset-Backed Securities
                  • Conflict Minerals
                  • Issuer Repurchases Rule 10b-18
                  • Issuer Securities Regulation and Del. Corp. Law
                  • Regulation FD (Fair Disclosure)
                  • SA and TIA Overview
                  • Securities Offerings
                  • Conflicts in Public Offerings
                  • Corporate Financing Rule
                  • FINRA Private Placement Rules (5122 and 5123)
                • Regulatory Policy
                  • Regulatory Policy
                    • Dodd-Frank
                    • Policy
                • Documents
                  • Federal Securities
                    • Federal Securities
                      • Statutes
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Rules
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Securities Act / Securities Exchange Act Regulations
                      • More Federal Securities Laws, Rules and Other Documents
                      • SEC Administrative Materials
                      • SEC Federal Registers
                      • SEC Enforcement Releases
                      • SEC No-Action Letters
                      • SEC Forms
                      • Securities SROs
                      • FINRA Rules
                      • MSRB Rules
                      • FINRA / MSRB Notices
                      • SRO Federal Registers
                      • SRO Enforcement Releases
                  • Commodity Exchange Act and Energy
                    • Commodity Exchange Act and Energy
                      • CEA and Related Rules
                      • CEA
                      • CFTC Rules
                      • NFA Rules
                      • CEA Judicial Decisions
                      • Supreme Court and Circuit Court Cases
                      • More CEA-Related Documents
                      • CFTC Documents
                      • CFTC Fact Sheets
                      • CEA FAQs
                      • CEA Federal Registers
                      • CFTC Guidance on Cross-Border Futures Transactions
                      • CFTC Guidance on Cross-Border Swaps
                      • CFTC Orders
                      • CFTC No-Action Letters
                      • CEA Speeches, Statements and Testimony
                      • CEA Studies and Reports
                      • NFA Documents
                      • NFA Notices
                      • NFA Regulatory Guidance
                  • Federal Banking
                    • Federal Banking
                      • Statutes
                      • Antitying Act
                      • Bank Holding Company Act of 1956
                      • Community Reinvestment Act
                      • Consumer Credit Protection Statutes
                        • Truth in Lending Act
                        • Consumer Leasing Act
                        • Fair Credit Reporting Act
                        • Equal Credit Opportunity Act
                        • Fair Debt Collection Practices Act
                        • Electronic Fund Transfers Act
                      • Federal Deposit Insurance Act
                      • Federal Reserve Act
                      • International Banking Act
                      • National Banking Act
                      • Real Estate Settlement Procedures Act
                      • More Banking Laws, Rules and Other Documents
                      • Rules
                      • Comptroller Rules
                      • FDIC Rules
                      • FRB Rules
                      • Government Securities Act Rules
                      • CFPB Rules
                      • Banking Guidance
                      • Comptroller Handbooks
                      • Comptroller Interpretive Letters
                      • FDIC Financial Institution Letters
                      • FRB Compliance Guides
                      • FRB Supervision and Regulation Letters
                      • CFPB Supervisory Highlights
                  • ERISA
                    • ERISA
                      • Statutes
                      • Employee Retirement Income Security Act
                      • Internal Revenue Code Provisions Related to ERISA
                      • Rules
                      • ERISA Rules
                      • Internal Revenue Regulations Related to ERISA
                      • Other Documents
                      • DOL Federal Registers
                      • DOL FAQs
                      • DOL Glossaries
                      • Pension Benefit Guaranty Corporation Federal Registers
                  • Credit
                    • Credit
                      • Bankruptcy Laws
                      • Bankruptcy Code
                      • Federal Deposit Insurance Corporation Improvement Act
                      • SIPA
                      • Securities Investor Protection Act
                      • Securities Investor Protection Corporation Rules
                      • SIPC Letters and Interpretations
                      • SIPC Annual Reports
                      • State Law
                      • New York Statute
                      • Other Documents
                      • Bankruptcy Basics​
                      • Hague Convention
                      • Court Decisions
                      • NYDFS Letters on Bank Insolvency
                  • AML, FCPA and Sanctions
                    • AML, FCPA and Sanctions
                      • AML
                      • Bank Secrecy Act
                      • Bank Secrecy Act Rules
                      • Federal Crime of Money Laundering
                      • NY Penal Law, Article 470
                      • USA Patriot Act
                      • FinCEN Advisories
                      • FinCEN FAQs
                      • FinCEN Federal Registers
                      • More AML Laws, Rules and Other Documents
                      • FCPA
                      • 15 USC 78dd
                      • 15 USC 78m
                      • More FCPA Laws, Rules and Other Documents
                      • Sanctions
                      • Statutes Relevant to Sanctions
                      • Sanctions Rule
                      • OFAC Federal Registers
                      • Executive Orders
                      • FCPA Resource Guide
                      • More Sanctions Laws, Rules and Other Documents
                  • NASAA and State Law
                    • NASAA and State Law
                      • NASAA
                      • Uniform Securities Act
                      • Uniform Securities Act (1956), As Amended
                      • Model Rules: Advisers
                      • Model Rules: Broker-Dealers
                      • Model Rules: Offerings
                      • Delaware
                      • Delaware General Corporation Law
                      • New York Statutes
                      • Martin Act
                      • Requirement of Written Agreement
                      • Anti-Money Laundering
                      • New York Rules and Interpretations
                      • Cybersecurity Requirements for Financial Services Companies
                      • Virtual Currencies Regulation
                      • Annuity Regulations
                      • NYDFS Letters on Bank Insolvency
                  • Antitrust and CFIUS
                    • Antitrust and CFIUS
                      • Hart-Scott-Rodino
                      • Act
                      • Rules
                      • HSR Guidance
                      • HSR - Introductory Guide I
                      • HSR - Introductory Guide II
                      • HSR: Back to Basics Workshop Transcript
                      • The Most Frequently Asked HSR Questions
                      • CFIUS
                      • Defense Production Act
                      • Rules
                      • Federal Registers
                      • Executive Orders
                  • Statutes, Rules and Public Laws
                    • Statutes, Rules and Public Laws
                      • All Statutes
                      • All Rules
                      • All Public Laws
                    • Analytic Materials
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                        • CEA Guide
                        • Hedge Fund Guide
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                    • Individuals and Organizations
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • Elizabeth A. Warren
                        • Steven T. Mnuchin
                        • J. Christopher Giancarlo
                        • Jerome H. Powell
                        • Randal Quarles
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                  • Events
                  • News
                  • Tools
                    • Glossaries
                    • Interactive Applications
                  • About
                    • About News
                    • Contributors
                    • Help
                    • Purpose
                  • Sign in
                  Advanced Search

                  Sort by

                  • Relevancy
                  • Date
                  • Title

                  833 results

                  Search Narrowed by Categories
                  • Remove AML Compliance filter AML Compliance
                  date:
                  body of law:
                  • AML Apply AML filter 676
                  • Banking Apply Banking filter 231
                  • Securities Apply Securities filter 194
                  • CEA Regulation Apply CEA Regulation filter 36
                  • Sanctions Apply Sanctions filter 5
                  • FCPA Apply FCPA filter 4
                  • Tax Apply Tax filter 3
                  • Data Privacy Apply Data Privacy filter 2
                  • Insolvency Apply Insolvency filter 2
                  issuing jurisdiction:
                  • United States Apply United States filter 774
                  • US - Federal Apply US - Federal filter 768
                  • Global Apply Global filter 67
                  • New York Apply New York filter 5
                  • States Apply States filter 5
                  • Asia Apply Asia filter 1
                  • Korea Apply Korea filter 1
                  author organization:
                  • FinCEN Apply FinCEN filter 298
                  • FINRA Apply FINRA filter 126
                  • Comptroller Apply Comptroller filter 108
                  • FDIC Apply FDIC filter 83
                  • Int. Organizations Apply Int. Organizations filter 69
                  • Treasury Apply Treasury filter 45
                  • SEC Apply SEC filter 40
                  • FATF Apply FATF filter 32
                  • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 28
                  • NFA Apply NFA filter 26
                  • Basel Apply Basel filter 17
                  • BIS Apply BIS filter 17
                  • NCUA Apply NCUA filter 16
                  • Cadwalader Apply Cadwalader filter 15
                  • SEC Exchanges and Clearing Corps. Apply SEC Exchanges and Clearing Corps. filter 14
                  • Securities Exchanges Apply Securities Exchanges filter 14
                  • Wolfsberg Group Apply Wolfsberg Group filter 13
                  • New York Apply New York filter 12
                  • CFTC Apply CFTC filter 11
                  • DOJ Apply DOJ filter 7
                  • Industry Associations Apply Industry Associations filter 7
                  • NYDFS Apply NYDFS filter 7
                  • SIFMA Apply SIFMA filter 7
                  • OTS Apply OTS filter 6
                  • US Congress Apply US Congress filter 6
                  • European Banking Authority Apply European Banking Authority filter 4
                  • GAO Apply GAO filter 4
                  • US Government Research Entities Apply US Government Research Entities filter 4
                  • MSRB Apply MSRB filter 3
                  • NYSE Arca Apply NYSE Arca filter 3
                  • OFAC Apply OFAC filter 3
                  • Chicago Stock Exchange Apply Chicago Stock Exchange filter 2
                  • NASDAQ PHLX Apply NASDAQ PHLX filter 2
                  • NYSE Apply NYSE filter 2
                  • NYSE American Apply NYSE American filter 2
                  • CBOE Apply CBOE filter 1
                  • European Commission Apply European Commission filter 1
                  • FTC Apply FTC filter 1
                  • IAIS Apply IAIS filter 1
                  • IOSCO Apply IOSCO filter 1
                  • Law Firm Apply Law Firm filter 1
                  • LSTA Apply LSTA filter 1
                  • NASDAQ BX Apply NASDAQ BX filter 1
                  • NYSE National Apply NYSE National filter 1
                  • US Courts Apply US Courts filter 1
                  • US District Court Apply US District Court filter 1
                  document type:
                  • Regulatory Guidance Apply Regulatory Guidance filter 317
                  • News Apply News filter 125
                  • Federal Registers Apply Federal Registers filter 79
                  • Bulletins Apply Bulletins filter 70
                  • Enforcement Release Apply Enforcement Release filter 64
                  • Rule Apply Rule filter 53
                  • Notices Apply Notices filter 31
                  • Event Apply Event filter 17
                  • Studies and Reports Apply Studies and Reports filter 14
                  • FAQs Apply FAQs filter 13
                  • Speeches, Statements and Testimony Apply Speeches, Statements and Testimony filter 13
                  • No-Action Letters Apply No-Action Letters filter 12
                  • Law Firm Analysis Apply Law Firm Analysis filter 7
                  • Comment Letters Apply Comment Letters filter 6
                  • SRO Rule Filings Apply SRO Rule Filings filter 3
                  • Compliance Manuals Apply Compliance Manuals filter 2
                  • Interpretive Notices Apply Interpretive Notices filter 2
                  • Statute Apply Statute filter 2
                  • Fact Sheet Apply Fact Sheet filter 1
                  • FKD Presentations Apply FKD Presentations filter 1
                  • Interpretative Letters Apply Interpretative Letters filter 1
                  • Regulatory Interpretation Apply Regulatory Interpretation filter 1
                  • Summary Apply Summary filter 1
                  • Topic Page Apply Topic Page filter 1
                  federal register type:
                  • Adopted Rule / Amendment Apply Adopted Rule / Amendment filter 25
                  • Proposed Rule Apply Proposed Rule filter 22
                  • SEC SROs Apply SEC SROs filter 18
                  • Order / Exception Apply Order / Exception filter 7
                  • Withdrawal of Proposal Apply Withdrawal of Proposal filter 5
                  • Interpretation Apply Interpretation filter 2
                  • Regulatory Agenda Apply Regulatory Agenda filter 1
                  • Regulatory Procedures Apply Regulatory Procedures filter 1
                  book compilation:
                  • 166437 Apply 166437 filter 12
                  • 159791 Apply 159791 filter 9
                  • 165623 Apply 165623 filter 6
                  • 166451 Apply 166451 filter 6
                  • 159754 Apply 159754 filter 5
                  • 159797 Apply 159797 filter 5
                  • 122426 Apply 122426 filter 3
                  • 159752 Apply 159752 filter 3
                  • 167381 Apply 167381 filter 3
                  • 165543 Apply 165543 filter 2
                  • 166479 Apply 166479 filter 2
                  • 159756 Apply 159756 filter 1
                  • 159758 Apply 159758 filter 1
                  • 159800 Apply 159800 filter 1
                  • 165521 Apply 165521 filter 1
                  • 165553 Apply 165553 filter 1
                  • 165554 Apply 165554 filter 1
                  • 165555 Apply 165555 filter 1
                  • 166263 Apply 166263 filter 1
                  • 166436 Apply 166436 filter 1
                  • 170334 Apply 170334 filter 1
                  regulatory status:
                  • Effective Apply Effective filter 99
                  • Rescinded Apply Rescinded filter 25
                  • Rules In Transition Apply Rules In Transition filter 2
                  • This rule is effective, but an amendment to the rule has been proposed. Apply This rule is effective, but an amendment to the rule has been proposed. filter 2
                  regulated activities:
                  • Remove AML Compliance filter AML Compliance
                  • Enforcement Action Apply Enforcement Action filter 58388
                  • Bank Transactions and Startups Apply Bank Transactions and Startups filter 6360
                  • Trading Apply Trading filter 4547
                  • Employees Apply Employees filter 2940
                  • Regulatory Fees Apply Regulatory Fees filter 2931
                  • Activity Limits Apply Activity Limits filter 2742
                  • Capital Apply Capital filter 2694
                  • Central Clearing Apply Central Clearing filter 2688
                  • Meetings Apply Meetings filter 2673
                  • Communications Apply Communications filter 2601
                  • Enforcement Procedures Apply Enforcement Procedures filter 2417
                  • Reg. Reporting Apply Reg. Reporting filter 2211
                  • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 1965
                  • Registration Requirement Apply Registration Requirement filter 1959
                  • Registration Process Apply Registration Process filter 1799
                  • Margining Apply Margining filter 1670
                  • Exchange Listing Apply Exchange Listing filter 1656
                  • Governance Apply Governance filter 1591
                  • Disclosures to Customers Apply Disclosures to Customers filter 1478
                  • Trade Reporting Apply Trade Reporting filter 1383
                  • Cross-Border Apply Cross-Border filter 1361
                  • Supervision / Compliance Apply Supervision / Compliance filter 1361
                  • Lending Apply Lending filter 1349
                  • Ownership Apply Ownership filter 1228
                  • Liquidation Apply Liquidation filter 1154
                  • Custody Apply Custody filter 1118
                  • Accounting and Audit Apply Accounting and Audit filter 1098
                  • Disclosures to Public Investors Apply Disclosures to Public Investors filter 1084
                  • Recordkeeping Apply Recordkeeping filter 1081
                  • Trade Halts Apply Trade Halts filter 983
                  • Misconduct Apply Misconduct filter 972
                  • Regulatory Activities Apply Regulatory Activities filter 967
                  • Cybersecurity Apply Cybersecurity filter 961
                  • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 886
                  • Arbitration / Litigation Apply Arbitration / Litigation filter 883
                  • Risk Management Apply Risk Management filter 849
                  • Trade Execution / Quoting Apply Trade Execution / Quoting filter 798
                  • Position Limits Apply Position Limits filter 745
                  • Proxies / Voting Apply Proxies / Voting filter 731
                  • Conflicts Apply Conflicts filter 690
                  • Technology (not Cyber) Apply Technology (not Cyber) filter 629
                  • Marketing Materials Apply Marketing Materials filter 617
                  • Exempt Sales Apply Exempt Sales filter 596
                  • Distribution Procedures Apply Distribution Procedures filter 595
                  • Privacy / Confi. Apply Privacy / Confi. filter 531
                  • Stress Testing Apply Stress Testing filter 530
                  • Confirmations Apply Confirmations filter 510
                  • Short Selling Apply Short Selling filter 502
                  • Liquidity Requirements Apply Liquidity Requirements filter 483
                  • Qualifications Apply Qualifications filter 473
                  • Advice and Fiduciary Apply Advice and Fiduciary filter 470
                  • Securities Activities of Banks Apply Securities Activities of Banks filter 443
                  • Compensation Apply Compensation filter 433
                  • Private Placements (Reg D) Apply Private Placements (Reg D) filter 427
                  • Trading Misconduct (not Insider Trading) Apply Trading Misconduct (not Insider Trading) filter 417
                  • Diversity / Discrimination Apply Diversity / Discrimination filter 412
                  • Business Continuity Apply Business Continuity filter 410
                  • Valuation and Appraisal Apply Valuation and Appraisal filter 408
                  • Waiver Apply Waiver filter 398
                  • Capital Markets Apply Capital Markets filter 391
                  • Public Offerings Apply Public Offerings filter 389
                  • Volcker Apply Volcker filter 385
                  • Regulatory Oversight Apply Regulatory Oversight filter 383
                  • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 378
                  • Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 352
                  • Insider Trading Apply Insider Trading filter 347
                  • Regulatory Procedures Apply Regulatory Procedures filter 346
                  • Permitted Investments Apply Permitted Investments filter 331
                  • Credit Reporting Apply Credit Reporting filter 315
                  • Operations Apply Operations filter 310
                  • Capital Structure Apply Capital Structure filter 295
                  • Sales Apply Sales filter 278
                  • Regulatory Co-operation Apply Regulatory Co-operation filter 272
                  • Trade Settlement (not Central Clearing) Apply Trade Settlement (not Central Clearing) filter 268
                  • Funds Transfer Apply Funds Transfer filter 251
                  • Training / Continuing Ed. Apply Training / Continuing Ed. filter 244
                  • Political Contributions (Pay to Play) Apply Political Contributions (Pay to Play) filter 242
                  • Regulatory Personnel Apply Regulatory Personnel filter 227
                  • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 224
                  • Community Lending Apply Community Lending filter 219
                  • Regulatory Exemptions Apply Regulatory Exemptions filter 216
                  • Close-Out Apply Close-Out filter 213
                  • Account Handling Apply Account Handling filter 208
                  • CCO Obligations Apply CCO Obligations filter 204
                  • Algo / Electronic Apply Algo / Electronic filter 201
                  • Exchange and Tender Offers Apply Exchange and Tender Offers filter 181
                  • Senior / Soldier Protections Apply Senior / Soldier Protections filter 176
                  • Corporate Form Apply Corporate Form filter 174
                  • Bad Boys Apply Bad Boys filter 173
                  • Research Apply Research filter 172
                  • Rulemaking Apply Rulemaking filter 172
                  • Hiring / Firing Apply Hiring / Firing filter 169
                  • Jurisdiction: Fed / Local or by Geography Apply Jurisdiction: Fed / Local or by Geography filter 163
                  • Disclosures: Financial Statements (Reg S-X) Apply Disclosures: Financial Statements (Reg S-X) filter 157
                  • Branch Offices Apply Branch Offices filter 156
                  • Legislative / Rulemaking Process Apply Legislative / Rulemaking Process filter 155
                  • Debt Collection Apply Debt Collection filter 151
                  • Soft Dollars Apply Soft Dollars filter 151
                  • Fees to Customers Apply Fees to Customers filter 147
                  • Risk Retention Apply Risk Retention filter 146
                  • Sales Misconduct Apply Sales Misconduct filter 140
                  • Telemarketing Apply Telemarketing filter 139
                  • Trading Markups and Fees Apply Trading Markups and Fees filter 131
                  • Leasing Apply Leasing filter 128
                  • Trade Documentation Apply Trade Documentation filter 120
                  • Insurance / Bonding Apply Insurance / Bonding filter 118
                  • Statements Apply Statements filter 112
                  • SA Rule 144 / 145 Sales Apply SA Rule 144 / 145 Sales filter 105
                  • Disclosures: Reg S-K Apply Disclosures: Reg S-K filter 104
                  • Payments Apply Payments filter 101
                  • Issuer Distributions to Owners and Repurchases Apply Issuer Distributions to Owners and Repurchases filter 99
                  • Regulatory Organization Apply Regulatory Organization filter 99
                  • Contract Terms Apply Contract Terms filter 93
                  • Reserve Requirements Apply Reserve Requirements filter 89
                  • Counterparty Types Apply Counterparty Types filter 82
                  • Disclosures - Periodic / Special Apply Disclosures - Periodic / Special filter 76
                  • Early Warning Apply Early Warning filter 76
                  • Code of Ethics Apply Code of Ethics filter 73
                  • Employee Trading Apply Employee Trading filter 73
                  • Disclosures - Overview, Guidance, Policy Apply Disclosures - Overview, Guidance, Policy filter 62
                  • Non-US Offerings (Reg S) Apply Non-US Offerings (Reg S) filter 62
                  • Outsourcing Apply Outsourcing filter 59
                  • Gifts and Entertainment Apply Gifts and Entertainment filter 57
                  • Hedging Apply Hedging filter 57
                  • Trade Types Apply Trade Types filter 57
                  • Crowdfunding Apply Crowdfunding filter 55
                  • Legal Enforceability Apply Legal Enforceability filter 51
                  • Reporting Misconduct Apply Reporting Misconduct filter 51
                  • Risk Assessment Apply Risk Assessment filter 46
                  • Offering Documents Apply Offering Documents filter 38
                  • Complaints Apply Complaints filter 33
                  • Disclosures - Prospectus issues Apply Disclosures - Prospectus issues filter 31
                  • Roll-Ups Apply Roll-Ups filter 29
                  • Outside Activities Apply Outside Activities filter 25
                  • Exempt Sales: Misc. Apply Exempt Sales: Misc. filter 20
                  • Disclosures - Misc. Issues Apply Disclosures - Misc. Issues filter 19
                  • Financial Misconduct Apply Financial Misconduct filter 18
                  • Trade Allocations Apply Trade Allocations filter 18
                  • Information Walls Apply Information Walls filter 17
                  • Exempt Sales: SA Reg A Apply Exempt Sales: SA Reg A filter 16
                  • Disclosures - Foreign Entities Apply Disclosures - Foreign Entities filter 15
                  • Data Protection Apply Data Protection filter 12
                  • Regulatory Structure Apply Regulatory Structure filter 11
                  • Introducing / Clearing Apply Introducing / Clearing filter 10
                  • Operational Misconduct Apply Operational Misconduct filter 10
                  • Disclosures - Misstatements & Omits Apply Disclosures - Misstatements & Omits filter 6
                  • Hedging Apply Hedging filter 6
                  • Fairness Opinions Apply Fairness Opinions filter 4
                  • Acknowledgment Account Handling Apply Acknowledgment Account Handling filter 3
                  • Position limits Apply Position limits filter 3
                  • Trading During Offerings Apply Trading During Offerings filter 2
                  • Organizational Structure Apply Organizational Structure filter 1
                  regulated entities:
                  • Banking Entities Apply Banking Entities filter 213
                  • Broker-Dealers Apply Broker-Dealers filter 201
                  • FCMs and IBs Apply FCMs and IBs filter 56
                  • Banking Organizations Apply Banking Organizations filter 48
                  • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 25
                  • Money Service Business / Transmitter Apply Money Service Business / Transmitter filter 17
                  • Casinos Apply Casinos filter 13
                  • Investment Funds Apply Investment Funds filter 11
                  • Foreign Entities Apply Foreign Entities filter 10
                  • Public Funds Apply Public Funds filter 10
                  • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 10
                  • Insurance Companies Apply Insurance Companies filter 8
                  • RFDs / FDMs Apply RFDs / FDMs filter 8
                  • Foreign Governments Apply Foreign Governments filter 7
                  • LTMs Apply LTMs filter 6
                  • Markets Apply Markets filter 6
                  • ATSs / ECNs Apply ATSs / ECNs filter 4
                  • Muni Advisors Apply Muni Advisors filter 4
                  • Regulatory Agencies Apply Regulatory Agencies filter 4
                  • Exchanges / Contract Mkts Apply Exchanges / Contract Mkts filter 2
                  • Issuers Apply Issuers filter 2
                  • SEC-Registered Issuers Apply SEC-Registered Issuers filter 2
                  • Creditors / Lenders Apply Creditors / Lenders filter 1
                  • FB / FTs Apply FB / FTs filter 1
                  • Funding Portals Apply Funding Portals filter 1
                  • Private Funds Apply Private Funds filter 1
                  • Securities SROs Apply Securities SROs filter 1
                  • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 1
                  regulated products:
                  • Municipal Securities Apply Municipal Securities filter 70
                  • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 15
                  • Real Estate / Mortgages Apply Real Estate / Mortgages filter 13
                  • Marijuana Apply Marijuana filter 8
                  • Penny Stocks / Small Caps Apply Penny Stocks / Small Caps filter 5
                  • Options Apply Options filter 4
                  • Funds Apply Funds filter 3
                  • FX Apply FX filter 3
                  • Bank Deposits (CDs) Apply Bank Deposits (CDs) filter 2
                  • Insurance (as product) Apply Insurance (as product) filter 2
                  • Private Fund (as Product) Apply Private Fund (as Product) filter 2
                  • Public Funds (as Product) Apply Public Funds (as Product) filter 2
                  • Swaps / SBS Apply Swaps / SBS filter 2
                  • Credit Cards Apply Credit Cards filter 1
                  • Debt Apply Debt filter 1
                  • Equities Apply Equities filter 1
                  • Insurance Related Securities (Annuities) Apply Insurance Related Securities (Annuities) filter 1
                  • Securities Apply Securities filter 1
                  affected jurisdiction:
                  • Iran Apply Iran filter 71
                  • Syria Apply Syria filter 46
                  • France Apply France filter 41
                  • Yemen Apply Yemen filter 37
                  • Burma (Myanmar) Apply Burma (Myanmar) filter 35
                  • North Korea Apply North Korea filter 35
                  • Mexico Apply Mexico filter 34
                  • Iraq Apply Iraq filter 32
                  • Sudan Apply Sudan filter 31
                  • Turkey Apply Turkey filter 30
                  • Ethiopia Apply Ethiopia filter 28
                  • Pakistan Apply Pakistan filter 28
                  • Afghanistan Apply Afghanistan filter 26
                  • Angola Apply Angola filter 26
                  • Switzerland Apply Switzerland filter 26
                  • Canada Apply Canada filter 25
                  • China Apply China filter 24
                  • Germany Apply Germany filter 24
                  • Indonesia Apply Indonesia filter 24
                  • Panama Apply Panama filter 24
                  • Colombia Apply Colombia filter 23
                  • Cuba Apply Cuba filter 23
                  • Russia Apply Russia filter 23
                  • Ecuador Apply Ecuador filter 22
                  • Venezuela Apply Venezuela filter 22
                  • Sri Lanka Apply Sri Lanka filter 21
                  • Argentina Apply Argentina filter 20
                  • Spain Apply Spain filter 20
                  • Trinidad and Tobago Apply Trinidad and Tobago filter 20
                  • Hong Kong Apply Hong Kong filter 19
                  • India Apply India filter 19
                  • Kenya Apply Kenya filter 19
                  • Japan Apply Japan filter 18
                  • Nigeria Apply Nigeria filter 18
                  • Algeria Apply Algeria filter 17
                  • Greece Apply Greece filter 17
                  • Italy Apply Italy filter 17
                  • Tanzania Apply Tanzania filter 17
                  • Ukraine Apply Ukraine filter 17
                  • Antigua and Barbuda Apply Antigua and Barbuda filter 16
                  • Bosnia and Herzegovina Apply Bosnia and Herzegovina filter 16
                  • Laos Apply Laos filter 16
                  • Lebanon Apply Lebanon filter 16
                  • Turkmenistan Apply Turkmenistan filter 16
                  • Uganda Apply Uganda filter 16
                  • Belgium Apply Belgium filter 15
                  • Nepal Apply Nepal filter 15
                  • Nicaragua Apply Nicaragua filter 15
                  • Philippines Apply Philippines filter 15
                  • Singapore Apply Singapore filter 15
                  • Tajikistan Apply Tajikistan filter 15
                  • Thailand Apply Thailand filter 15
                  • Vietnam Apply Vietnam filter 15
                  • Libya Apply Libya filter 14
                  • Morocco Apply Morocco filter 14
                  • Netherlands Apply Netherlands filter 14
                  • Cambodia Apply Cambodia filter 13
                  • Cyprus Apply Cyprus filter 13
                  • Ghana Apply Ghana filter 13
                  • Namibia Apply Namibia filter 13
                  • Zimbabwe Apply Zimbabwe filter 13
                  • Australia Apply Australia filter 12
                  • Bolivia Apply Bolivia filter 12
                  • Luxembourg Apply Luxembourg filter 12
                  • Paraguay Apply Paraguay filter 12
                  • United Kingdom Apply United Kingdom filter 12
                  • Bangladesh Apply Bangladesh filter 11
                  • Guinea Apply Guinea filter 11
                  • Kuwait Apply Kuwait filter 11
                  • Mongolia Apply Mongolia filter 11
                  • Uzbekistan Apply Uzbekistan filter 11
                  • Austria Apply Austria filter 10
                  • Kyrgyzstan Apply Kyrgyzstan filter 10
                  • Tunisia Apply Tunisia filter 10
                  • Vanuatu Apply Vanuatu filter 10
                  • Albania Apply Albania filter 9
                  • Brazil Apply Brazil filter 9
                  • Egypt Apply Egypt filter 9
                  • Papua New Guinea Apply Papua New Guinea filter 9
                  • Qatar Apply Qatar filter 9
                  • Saudi Arabia Apply Saudi Arabia filter 9
                  • United Arab Emirates Apply United Arab Emirates filter 9
                  • Guyana Apply Guyana filter 8
                  • Honduras Apply Honduras filter 8
                  • New Zealand Apply New Zealand filter 8
                  • Sweden Apply Sweden filter 8
                  • Bahamas Apply Bahamas filter 7
                  • Brunei Apply Brunei filter 7
                  • Ireland Apply Ireland filter 7
                  • Jordan Apply Jordan filter 7
                  • Portugal Apply Portugal filter 7
                  • Chile Apply Chile filter 6
                  • Costa Rica Apply Costa Rica filter 6
                  • Malaysia Apply Malaysia filter 6
                  • Norway Apply Norway filter 6
                  • Serbia Apply Serbia filter 6
                  • Armenia Apply Armenia filter 5
                  • Azerbaijan Apply Azerbaijan filter 5
                  • Belarus Apply Belarus filter 5
                  • Denmark Apply Denmark filter 5
                  • Dominican Republic Apply Dominican Republic filter 5
                  • Finland Apply Finland filter 5
                  • Georgia Apply Georgia filter 5
                  • Israel Apply Israel filter 5
                  • Nauru Apply Nauru filter 5
                  • South Africa Apply South Africa filter 5
                  • South Korea Apply South Korea filter 5
                  • Bahrain Apply Bahrain filter 4
                  • Botswana Apply Botswana filter 4
                  • Czechia Apply Czechia filter 4
                  • Latvia Apply Latvia filter 4
                  • Palestinian Territories Apply Palestinian Territories filter 4
                  • Uruguay Apply Uruguay filter 4
                  • Barbados Apply Barbados filter 3
                  • Bulgaria Apply Bulgaria filter 3
                  • Croatia Apply Croatia filter 3
                  • Dominica Apply Dominica filter 3
                  • Grenada Apply Grenada filter 3
                  • Guatemala Apply Guatemala filter 3
                  • Iceland Apply Iceland filter 3
                  • Kazakhstan Apply Kazakhstan filter 3
                  • Macau Apply Macau filter 3
                  • Marshall Islands Apply Marshall Islands filter 3
                  • Moldova Apply Moldova filter 3
                  • Oman Apply Oman filter 3
                  • Peru Apply Peru filter 3
                  • Poland Apply Poland filter 3
                  • Slovenia Apply Slovenia filter 3
                  • Somalia Apply Somalia filter 3
                  • Aruba Apply Aruba filter 2
                  • Belize Apply Belize filter 2
                  • Benin Apply Benin filter 2
                  • Curacao Apply Curacao filter 2
                  • Equatorial Guinea Apply Equatorial Guinea filter 2
                  • Estonia Apply Estonia filter 2
                  • Hungary Apply Hungary filter 2
                  • Jamaica Apply Jamaica filter 2
                  • Liechtenstein Apply Liechtenstein filter 2
                  • Lithuania Apply Lithuania filter 2
                  • Romania Apply Romania filter 2
                  • Seychelles Apply Seychelles filter 2
                  • Suriname Apply Suriname filter 2
                  • Taiwan Apply Taiwan filter 2
                  • Andorra Apply Andorra filter 1
                  • El Salvador Apply El Salvador filter 1
                  • Eritrea Apply Eritrea filter 1
                  • European Union Apply European Union filter 1
                  • Fiji Apply Fiji filter 1
                  • Gambia Apply Gambia filter 1
                  • Haiti Apply Haiti filter 1
                  • Kosovo Apply Kosovo filter 1
                  • Lesotho Apply Lesotho filter 1
                  • Malawi Apply Malawi filter 1
                  • Malta Apply Malta filter 1
                  • Mauritius Apply Mauritius filter 1
                  • Montenegro Apply Montenegro filter 1
                  • Rwanda Apply Rwanda filter 1
                  • Samoa Apply Samoa filter 1
                  • Sierra Leone Apply Sierra Leone filter 1
                  • Slovakia Apply Slovakia filter 1
                  • South Sudan Apply South Sudan filter 1
                  • Togo Apply Togo filter 1
                  • Zambia Apply Zambia filter 1
                  violations:
                  • Money Laundering Apply Money Laundering filter 38
                  • AML Violations Apply AML Violations filter 28
                  • Supervisory Failure Apply Supervisory Failure filter 25
                  • Internal Controls Apply Internal Controls filter 22
                  • Unregistered Securities Apply Unregistered Securities filter 5
                  • Accounting Violation Apply Accounting Violation filter 4
                  • Late Trading Apply Late Trading filter 4
                  • Material Misstatements Apply Material Misstatements filter 4
                  • Theft Apply Theft filter 4
                  • Wash Trades Apply Wash Trades filter 4
                  • Aiding and Abetting Apply Aiding and Abetting filter 3
                  • Insider Trading Apply Insider Trading filter 2
                  • Conflict of Interest Apply Conflict of Interest filter 1
                  • Oil and Gas Fraud Apply Oil and Gas Fraud filter 1
                  • Ponzi or Pyramid Apply Ponzi or Pyramid filter 1
                  • Telemarketers (Fraudulent) Apply Telemarketers (Fraudulent) filter 1
                  • Wire Fraud Apply Wire Fraud filter 1
                  penalty amount (approximate):
                  • 0 - $499,999 Apply 0 - $499,999 filter 48
                  • $500,000 - $999,999 Apply $500,000 - $999,999 filter 7
                  • $1,000,000 and up Apply $1,000,000 and up filter 0
                  disgorgement amount (approximate):
                  • 0 - $499,999 Apply 0 - $499,999 filter 5
                  • $500,000 - $999,999 Apply $500,000 - $999,999 filter 0
                  • $1,000,000 and up Apply $1,000,000 and up filter 0

                  Help

                  Search tips

                  • Anti-Money Laundering

                    This page provides an overview of the U.S. anti-money laundering (“ AML ”) laws and regulations, including the USA PATRIOT Act, the Bank Secrecy Act (“ BSA ”), the Money Laundering Control Act, as well as information as to best practices globally. At the bottom of this page is a list of other ...
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    FCMs and IBs, Money Service Business / Transmitter
                    Related Searches: 
                    SEA Rule 17a-8
                  • Bank Secrecy Act (31 U.S.C. 5311-67)

                    31 USC 5318 - Compliance, exemptions, and summons authority

                    (a) General Powers of Secretary.- The Secretary of the Treasury may (except under section 5315 of this title and regulations prescribed under section 5315)- (1) except as provided in subsection (b)(2), delegate duties and powers under this subchapter to an appropriate supervising agency and the ...
                    Activities: 
                    AML Compliance
                  • IRC 26 USC 280E - Expenditures in connection with the illegal sale of drugs

                    No deduction or credit shall be allowed for any amount paid or incurred during the taxable year in carrying on any trade or business if such trade or business (or the activities which comprise such trade or business) consists of trafficking in controlled substances (within the meaning of schedule I ...
                    Activities: 
                    AML Compliance
                    Products: 
                    Marijuana
                  • Municipal Securities Rulemaking Board Rules

                    MSRB Rule G-41 - Anti-Money Laundering Compliance Program

                    Current as of:  Feb. 22, 2019
                    Every broker, dealer or municipal securities dealer shall establish and implement an anti-money laundering compliance program reasonably designed to achieve and monitor ongoing compliance with the requirements of the Bank Secrecy Act, 31 U.S.C. 5311, et seq. ("BSA"), and the regulations ...
                    Organization: 
                    MSRB
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Broker-Dealers
                    Products: 
                    Municipal Securities
                  • FINRA/NASD By-Laws and Rules and Incorporated NYSE Rules

                    FINRA Rule 2090: Know Your Customer

                    Current as of:  Feb. 22, 2019
                    Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer. • • • Supplementary Material: --------------.01 ...
                    Organization: 
                    FINRA
                    Activities: 
                    Account Handling, AML Compliance, Sales, Suitability and Consumer Protection
                    Regulated Entities: 
                    Broker-Dealers
                  • FINRA/NASD By-Laws and Rules and Incorporated NYSE Rules

                    FINRA Rule 3300: ANTI-MONEY LAUNDERING

                    Current as of:  Feb. 22, 2019
                    FINRA FINRA Rule 3300 ...
                    Organization: 
                    FINRA
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Broker-Dealers
                  • FINRA/NASD By-Laws and Rules and Incorporated NYSE Rules

                    FINRA Rule 3310: Anti-Money Laundering Compliance Program

                    Current as of:  Feb. 22, 2019
                    Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department ...
                    Organization: 
                    FINRA
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Broker-Dealers
                  • NFA Rules

                    NFA Compliance Rule 2-9. Supervision.

                    Current as of:  Feb. 22, 2019
                    [Effective date of amendments: October 29, 1991; January 19, 1993; March 15, 1994; April 23, 2002; November 1, 2007; and July 30, 2018.] (a) Each Member shall diligently supervise its employees and agents in the conduct of their commodity futures activities for or on behalf of the Member. Each ...
                    Organization: 
                    NFA
                    Activities: 
                    AML Compliance, Supervision / Compliance
                    Regulated Entities: 
                    Adviser / CTA / CPO, FB / FTs, FCMs and IBs, LTMs, RFDs / FDMs, Swap Dealers / SBSDs
                    Related Searches: 
                    NFA Self-Examination
                  • FINRA/NASD By-Laws and Rules and Incorporated NYSE Rules

                    FINRA Rule 209: Know Your Customer

                    Current as of:  Feb. 22, 2019
                    Every capital acquisition broker shall use reasonable diligence to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer. For purposes of this Rule, facts “essential” to “knowing the customer” are those required ...
                    Organization: 
                    FINRA
                    Activities: 
                    Account Handling, Suitability and Consumer Protection, AML Compliance
                    Regulated Entities: 
                    Broker-Dealers
                    Related Searches: 
                    Capital Acquisition Brokers
                  • FINRA/NASD By-Laws and Rules and Incorporated NYSE Rules

                    FINRA Rule 331: Anti-Money Laundering Compliance Program

                    Current as of:  Feb. 22, 2019
                    Each capital acquisition broker shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor its compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the ...
                    Organization: 
                    FINRA
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Broker-Dealers
                    Related Searches: 
                    Capital Acquisition Brokers
                  • Securities Exchange Act Rules (17 CFR 240.0-1 to 240.36a1-2)

                    SEA Rule 17a-8: Financial recordkeeping and reporting of currency and foreign transactions.

                    Current as of:  Feb. 22, 2019
                    Every registered broker or dealer who is subject to the requirements of the Currency and Foreign Transactions Reporting Act of 1970 shall comply with the reporting, recordkeeping and record retention requirements of chapter X of title 31 of the Code of Federal Regulations. Where chapter X of title ...
                    Organization: 
                    SEC
                    Activities: 
                    AML Compliance, Recordkeeping
                    Regulated Entities: 
                    Broker-Dealers
                    Products: 
                    FX
                    Related Searches: 
                    SEA Rule 17a-8
                  • Investment Company Act Rules (17 CFR 270.0-1 to 270.60a-1)

                    ICA Rule 0-11: Customer identification programs.

                    Current as of:  Feb. 22, 2019
                    Each registered open-end company is subject to the requirements of 31 U.S.C. 5318(l) and the implementing regulation at 31 CFR 103.131, which requires a customer identification program to be implemented as part of the anti-money laundering program required under subchapter II of chapter 53 of title ...
                    Organization: 
                    SEC
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Public Funds
                  • CFTC Regulations (17 CFR 1-199)

                    42.1 to 42.2: Subpart A-General Provisions

                    Current as of:  Feb. 22, 2019
                    CFTC ...
                    Organization: 
                    CFTC
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    FCMs and IBs
                  • CFTC Regulations (17 CFR 1-199)

                    CFTC Rules Part 42-Anti-Money Laundering, Terrorist Financing

                    Current as of:  Feb. 22, 2019
                    CFTC CFTC Part 42 ...
                    Organization: 
                    CFTC
                    Activities: 
                    AML Compliance
                  • CFTC Regulations (17 CFR 1-199)

                    CFTC Rule 42.2: Compliance with Bank Secrecy Act.

                    Current as of:  Feb. 22, 2019
                    Every futures commission merchant and introducing broker shall comply with the applicable provisions of the Bank Secrecy Act and the regulations promulgated by the Department of the Treasury under that Act at 31 CFR chapter X, and with the requirements of 31 U.S.C. 5318(l) and the implementing ...
                    Organization: 
                    CFTC
                    Activities: 
                    Regulatory Procedures, AML Compliance
                    Regulated Entities: 
                    FCMs and IBs
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 390.354: Procedures for monitoring Bank Secrecy Act (BSA) compliance.

                    Current as of:  Feb. 22, 2019
                    (a) Purpose. The purpose of this regulation is to require State savings associations (as defined by § 390.308 to establish and maintain procedures reasonably designed to assure and monitor compliance with the requirements of subchapter II of chapter 53 of title 31, United States Code, and the ...
                    Organization: 
                    FDIC
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Savings Associations
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 390.355: Suspicious Activity Reports and other reports and statements.

                    Current as of:  Feb. 22, 2019
                    (a) Periodic reports. Each State savings association shall make such periodic or other reports of its affairs in such manner and on such forms as the FDIC may prescribe. The FDIC may provide that reports filed by State savings associations to meet the requirements of other regulations also satisfy ...
                    Organization: 
                    FDIC
                    Activities: 
                    Reg. Reporting, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Savings Associations, SARs
                  • FDIC Rules (12 CFR 303-91)

                    Part 353: Suspicious Activity Reports (353.1-3)

                    Current as of:  Feb. 22, 2019
                    FDIC State Non-Member Banks SARs ...
                    Organization: 
                    FDIC
                    Activities: 
                    Reg. Reporting, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks, SARs
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 353.1: Purpose and scope.

                    Current as of:  Feb. 22, 2019
                    The purpose of this part is to ensure that an insured state nonmember bank files a Suspicious Activity Report when it detects a known or suspected criminal violation of federal law or a suspicious transaction related to a money laundering activity or a violation of the Bank Secrecy Act. This part ...
                    Organization: 
                    FDIC
                    Activities: 
                    Reg. Reporting, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks, SARs
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 353.2: Definitions.

                    Current as of:  Feb. 22, 2019
                    For the purposes of this part: (a) FinCEN means the Financial Crimes Enforcement Network of the Department of the Treasury. (b) Institution-affiliated party means any institution-affiliated party as that term is defined in sections 3(u) and 8(b)(5) of the Federal Deposit Insurance Act (12 U.S.C. ...
                    Organization: 
                    FDIC
                    Activities: 
                    Reg. Reporting, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks, SARs
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 353.3: Reports and records.

                    Current as of:  Feb. 22, 2019
                    (a) Suspicious activity reports required. A bank shall file a suspicious activity report with the appropriate federal law enforcement agencies and the Department of the Treasury, in accordance with the form's instructions, by sending a completed suspicious activity report to FinCEN in the ...
                    Organization: 
                    FDIC
                    Activities: 
                    Reg. Reporting, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks, SARs
                  • FDIC Rules (12 CFR 303-91)

                    Part 326: Minimum Security Devices and Procedures and Bank Secrecy Act 1 Compliance (326.0-8)

                    Current as of:  Feb. 22, 2019
                    FDIC ...
                    Organization: 
                    FDIC
                    Activities: 
                    Operations, AML Compliance
                    Regulated Entities: 
                    Banking Entities
                  • FDIC Rules (12 CFR 303-91)

                    FDIC Rule 326.8: Bank Security Act compliance.

                    Current as of:  Feb. 22, 2019
                    (a) Purpose. This subpart is issued to assure that all insured nonmember banks as defined in 12 CFR 326.1 establish and maintain procedures reasonably designed to assure and monitor their compliance with the requirements of subchapter II of chapter 53 of title 31, United States Code, and the ...
                    Organization: 
                    FDIC
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks
                  • FDIC Rules (12 CFR 303-91)

                    Part 326 -- Subpart B: Procedures for Monitoring Bank Secrecy Act Compliance (326.8)

                    Current as of:  Feb. 22, 2019
                    Treasury, FDIC State Non-Member Banks ...
                    Organization: 
                    Treasury, FDIC
                    Activities: 
                    AML Compliance
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    State Non-Member Banks
                  • Comptroller of the Currency Rules (12 CFR 1-199)

                    OCC Rule 163.180: Suspicious Activity Reports and other reports and statements.

                    Current as of:  Feb. 22, 2019
                    (a) [Reserved] (b) False or misleading statements or omissions. No savings association or director, officer, agent, employee, affiliated person, or other person participating in the conduct of the affairs of such association nor any person filing or seeking approval of any application shall ...
                    Organization: 
                    Comptroller
                    Activities: 
                    Reg. Reporting, AML Compliance, Recordkeeping
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    SARs, Federal Savings Assoc.
                  • Previous
                  • 1
                  • 2
                  • 3
                  • 4
                  • 5
                  • 6
                  • 7
                  • …
                  • Next

                  User menu

                  • Attorney Advertising
                  • Terms of Use
                  • Privacy
                  2008-2019
                  • Main menu
                    • Topics
                      • Broker-Dealers
                        • Overview
                        • Back Office
                        • Business Continuity
                        • Insider Trading
                        • Registration Process
                        • Capital Requirements
                        • BD and FCM Risk Assessment Rules
                        • Custody Rules
                        • Liquidity
                        • Securities Margin
                        • BD Employees: Outside and Personal Activities
                        • More Broker-Dealer Topics
                        • Separator for Broker-Dealer
                        • Sales and Trading
                        • Telemarketing
                        • Political Contributions (Pay to Play)
                        • BD Best Interest; IA Fiduciary Guidance
                        • Research
                        • Short Sales
                        • Types of Firms
                        • Government Securities Dealers
                        • Government. Securities: Registration Requirement
                        • Muni Securities and Dealers
                        • Non-U.S. BDs
                      • Commodity Exchange Act
                        • Overview
                        • CFTC Supervision and CCO
                        • Position Limits
                        • FCMs
                        • FCM / IB Registration Requirement
                        • BD and FCM Risk Assessment Rules
                        • BD and FCM Subordination Agreements
                        • BD and CEA Withdrawals of Capital
                        • FCM Capital
                        • FCMs and Swap Dealer Custody
                        • More CEA Topics
                        • Separator for Commodity
                        • Swaps and Swap Dealers
                        • Margin for Uncleared Swaps
                        • FCMs and Swap Dealer Custody
                        • Swap Dealer and SBSD Capital
                        • CPOs and CTAs
                        • Registration Requirement
                        • Registration Process
                        • Disclosure, Reporting and Recordkeeping
                        • FERC Federal Registers
                      • Advisers and Funds
                        • Overview
                        • Municipal Advisors
                        • IA Regulation
                        • BD Best Interest; IA Fiduciary Guidance
                        • Business Continuity
                        • Incentive Compensation
                        • Marketing Materials
                        • Pay to Play
                        • Recordkeeping and Reporting
                        • Registration Requirement
                        • SEA 13(f) Position Reporting
                        • Soft Dollars
                        • Custody Requirements
                        • More Adviser and Funds Topics
                        • Separator for Advisers and Funds
                        • Investment Companies
                        • Capital Structure, Senior Securities, Liquidity
                        • Custody Requirements
                      • Banking
                        • Overview
                        • FRA 23A and 23B and Reg W
                        • Community Reinvestment Act
                        • Volcker
                        • Truth in Lending
                        • Truth in Savings
                        • Capital Requirements
                        • Enforcement Procedures
                        • Consumer Leasing
                      • Products and Contracts
                        • Commodity Options
                        • Crypto and Initial Coin Offerings
                        • Foreign Currency
                        • Government Securities and Dealers
                        • LIBOR and Indices
                        • Municipal Securities and Dealers
                        • Separator for Products and Contracts
                        • Securities Lending
                        • Securities Options
                        • Security Futures Products
                        • TBAs and the MSFTA
                      • Credit and Insolvency
                        • Overview
                        • BD Insolvency
                        • FCM Insolvency
                        • Insolvency of Banks
                        • Protected Financial Contracts
                        • Security Interests and UCC
                      • Cross-Regulatory
                        • Cybersecurity and Data Protection
                        • Political Contributions (Pay to Play)
                        • State Law
                        • Telemarketing
                      • ERISA and Tax
                        • ERISA
                        • Overview
                        • DOL Fiduciary Rule
                        • Separator for ERISA and Tax
                        • Tax
                        • FATCA
                      • Enforcement and Bad Acts
                        • Anti-Money Laundering
                        • Benchmark Enforcement
                        • Class Actions
                        • Disqualifications and Waivers
                        • Foreign Corrupt Practices Act
                        • Insider Trading
                        • SEC and FINRA
                        • Sanctions
                        • Whistleblowers
                      • Investors
                        • Comm. on Foreign Investment in US ("CFIUS")
                        • Hart-Scott-Rodino
                        • SEA 13(f) Position Reporting
                      • Issuers and Offerings
                        • Asset-Backed Securities
                        • Conflict Minerals
                        • Issuer Repurchases Rule 10b-18
                        • Issuer Securities Regulation and Del. Corp. Law
                        • Regulation FD (Fair Disclosure)
                        • SA and TIA Overview
                        • Securities Offerings
                        • Conflicts in Public Offerings
                        • Corporate Financing Rule
                        • FINRA Private Placement Rules (5122 and 5123)
                      • Regulatory Policy
                        • Dodd-Frank
                        • Policy
                    • Documents
                      • Federal Securities
                        • Statutes
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Rules
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Securities Act / Securities Exchange Act Regulations
                        • More Federal Securities Laws, Rules and Other Documents
                        • separator for securities
                        • SEC Administrative Materials
                        • SEC Federal Registers
                        • SEC Enforcement Releases
                        • SEC No-Action Letters
                        • SEC Forms
                        • Securities SROs
                        • FINRA Rules
                        • MSRB Rules
                        • FINRA / MSRB Notices
                        • SRO Federal Registers
                        • SRO Enforcement Releases
                      • Commodity Exchange Act and Energy
                        • CEA and Related Rules
                        • CEA
                        • CFTC Rules
                        • NFA Rules
                        • CEA Judicial Decisions
                        • Supreme Court and Circuit Court Cases
                        • More CEA-Related Documents
                        • Separator for Commodities
                        • CFTC Documents
                        • CFTC Fact Sheets
                        • CEA FAQs
                        • CEA Federal Registers
                        • CFTC Guidance on Cross-Border Futures Transactions
                        • CFTC Guidance on Cross-Border Swaps
                        • CFTC Orders
                        • CFTC No-Action Letters
                        • CEA Speeches, Statements and Testimony
                        • CEA Studies and Reports
                        • NFA Documents
                        • NFA Notices
                        • NFA Regulatory Guidance
                      • Federal Banking
                        • Statutes
                        • Antitying Act
                        • Bank Holding Company Act of 1956
                        • Community Reinvestment Act
                        • Consumer Credit Protection Statutes
                          • Truth in Lending Act
                          • Consumer Leasing Act
                          • Fair Credit Reporting Act
                          • Equal Credit Opportunity Act
                          • Fair Debt Collection Practices Act
                          • Electronic Fund Transfers Act
                        • Federal Deposit Insurance Act
                        • Federal Reserve Act
                        • International Banking Act
                        • National Banking Act
                        • Real Estate Settlement Procedures Act
                        • More Banking Laws, Rules and Other Documents
                        • separator for banking
                        • Rules
                        • Comptroller Rules
                        • FDIC Rules
                        • FRB Rules
                        • Government Securities Act Rules
                        • CFPB Rules
                        • Banking Guidance
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • CFPB Supervisory Highlights
                      • ERISA
                        • Statutes
                        • Employee Retirement Income Security Act
                        • Internal Revenue Code Provisions Related to ERISA
                        • Rules
                        • ERISA Rules
                          • DOL Fiduciary Rule (Final)
                          • DOL Fiduciary Rule (Proposed)
                        • Internal Revenue Regulations Related to ERISA
                        • Separator for ERISA
                        • Other Documents
                        • DOL Federal Registers
                        • DOL FAQs
                        • DOL Glossaries
                        • Pension Benefit Guaranty Corporation Federal Registers
                      • Credit
                        • Bankruptcy Laws
                        • Bankruptcy Code
                        • Federal Deposit Insurance Corporation Improvement Act
                        • SIPA
                        • Securities Investor Protection Act
                        • Securities Investor Protection Corporation Rules
                        • SIPC Letters and Interpretations
                        • SIPC Annual Reports
                        • separator for credit
                        • State Law
                        • New York Statute
                        • Other Documents
                        • Bankruptcy Basics​
                        • Hague Convention
                        • Court Decisions
                        • NYDFS Letters on Bank Insolvency
                      • AML, FCPA and Sanctions
                        • AML
                        • Bank Secrecy Act
                        • Bank Secrecy Act Rules
                        • Federal Crime of Money Laundering
                        • NY Penal Law, Article 470
                        • USA Patriot Act
                        • FinCEN Advisories
                        • FinCEN FAQs
                        • FinCEN Federal Registers
                        • More AML Laws, Rules and Other Documents
                        • separator for AML
                        • FCPA
                        • 15 USC 78dd
                        • 15 USC 78m
                        • More FCPA Laws, Rules and Other Documents
                        • Sanctions
                        • Statutes Relevant to Sanctions
                        • Sanctions Rule
                        • OFAC Federal Registers
                        • Executive Orders
                        • FCPA Resource Guide
                        • More Sanctions Laws, Rules and Other Documents
                      • NASAA and State Law
                        • NASAA
                        • Uniform Securities Act
                        • Uniform Securities Act (1956), As Amended
                        • Model Rules: Advisers
                        • Model Rules: Broker-Dealers
                        • Model Rules: Offerings
                        • Delaware
                        • Delaware General Corporation Law
                        • Separator for state law
                        • New York Statutes
                        • Martin Act
                        • Requirement of Written Agreement
                        • Anti-Money Laundering
                        • New York Rules and Interpretations
                        • Cybersecurity Requirements for Financial Services Companies
                        • Virtual Currencies Regulation
                        • Annuity Regulations
                        • NYDFS Letters on Bank Insolvency
                      • Antitrust and CFIUS
                        • Hart-Scott-Rodino
                        • Act
                        • Rules
                        • HSR Guidance
                        • HSR - Introductory Guide I
                        • HSR - Introductory Guide II
                        • HSR: Back to Basics Workshop Transcript
                          • FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
                          • A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
                        • The Most Frequently Asked HSR Questions
                        • separator for antitrust
                        • CFIUS
                        • Defense Production Act
                        • Rules
                        • Federal Registers
                        • Executive Orders
                      • Statutes, Rules and Public Laws
                        • All Statutes
                        • All Rules
                        • All Public Laws
                        • separator for statutes
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                          • Introduction
                          • What is a Security?
                          • Registration Requirement
                          • How to Register
                          • Employees and APs
                          • Customers
                          • Communications
                          • Research
                          • Trading
                          • Capital Requirements
                          • Custody
                          • ERISA
                          • Insolvency of Broker-Dealers
                          • Internal Investigations
                          • Margin and Credit
                          • Non-U.S. Broker-Dealers
                          • Records, Reports and Inspections
                          • Supervision
                          • Insider Trading
                        • CEA Guide
                          • Introduction to the CEA
                          • What Is a Swap and Other Jurisdictional Questions
                          • What Is a Pool; CPO/CTA Registration Requirement
                          • Application for CPO/CTA Registration
                          • Trading
                          • Margin
                          • Supervision
                          • Non-U.S. Pools
                          • Non-U.S. FCMs and Futures
                          • Insolvency
                          • Appendices
                        • Hedge Fund Guide
                          • Introduction
                          • Documentation
                          • Adviser Registration Requirement
                          • Adviser Registration Process
                          • Issuer Exemptions Under the ICA and Exchange Act
                          • Securities Act and State Registration Exemptions
                          • Broker-Dealer and other Sales Issues
                          • Communications
                          • Trading
                          • Ownership and Custody
                          • Margin and Credit
                          • Records, Reports, and Inspections
                          • Supervision and Code of Ethics
                          • ERISA
                          • Relationships with Banks
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • separator for legal writing
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • White House / President
                        • Elizabeth A. Warren
                        • Executive Orders
                        • Memoranda
                        • Steven T. Mnuchin
                        • News
                        • J. Christopher Giancarlo
                        • Regulatory Guidance
                        • Jerome H. Powell
                        • Statutes
                        • Glossary
                        • Randal Quarles
                        • News
                        • Walter Jay Clayton
                        • All Government Documents and Individuals
                        • Hester Peirce
                        • Speeches, Statements & Testimony
                        • Studies and Reports
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Separator for government
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                    • Events
                    • News
                    • Tools
                      • Glossaries
                      • Interactive Applications
                    • About
                      • About News
                      • Contributors
                      • Help
                      • Purpose
                    • Sign in
                    • Account