Transcription of Regulatory Notice 18-19 - finra.org
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Regulatory Notice 18-19 - finra.org
Summary finra has filed for immediate effectiveness amendments to finra Rule 3310 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network s (FinCEN) adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions (CDD Rule).1 The implementation date is May 11, 2018. This implementation date aligns with the compliance date for FinCEN s CDD Rule. The text of the rule is set forth in Attachment concerning this Notice should be directed to: 00 Michael Rufino, Executive Vice President, Head of Member Regulation Sales Practice, at (202) 728-8381 or by email at Crane, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8104 or by email at or00 Julia Bogolin, Counsel, OGC, at (202) 728-8111 or by email at Notice 18-19 May 3, 2018 Notice Type 00 Rule AmendmentSuggested Routing 00 Compliance 00 Legal 00 Operations00 Senior ManagementKey Topics 00 Anti-Money Laundering00 Compliance ProgramsReferenced Rules & Notices00 Bank Secrecy Act00 finra Rule 331000 Regulatory Notice 17-40 Anti-Money Laundering Compliance ProgramFINRA Amends Rule 3310 to Conform to FinCEN s Final Rule on Customer Due Diligence Requirements for Financial Institutions Implementati
Below is the text of the amended rule text. New language is underlined; deletions are in brackets. * * * * * 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
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