Anti-Money Laundering

This page provides information about anti-money laundering (AML) rules, regulations, and compliance.

 

 

Important Information

FinCEN publishes important advisories with detailed information about a variety of money laundering threats.  These advisories should be reviewed on a regular basis to ensure that you take advantage of the information provided as appropriate.

 

SEC SAR Alert Message Line
Firms may, but are not required to, contact the SEC to report situations that may require immediate attention by the SEC. The SEC SAR Alert Message Line number should only be used in cases where a broker-dealer has filed a SAR that may require immediate attention by the SEC and wants to alert the SEC about the filing. The SEC SAR Alert Message Line phone number is 202-551-SARS (7277). Calling the SEC SAR Alert Message Line does not alleviate the broker-dealer's obligation to file a SAR or notify an appropriate law enforcement authority. Firms wishing to voluntarily report suspicious transactions that may relate to terrorist activity can call the U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN) hotline at 1-866-556-3974.

 

Frequently Asked Questions Regarding the FinCEN Suspicious Activity Report (SAR) 

 
Submit AML Compliance Officer Contact Information to FINRA Contact System (FCS)
Each FINRA member firm must submit contact information for its AML Compliance Officer through the FINRA Contact System (FCS).

 
Customer Identification Program Notice
FINRA has produced the Customer Identification Program (CIP) Notice to assist firms with this notification requirement.

 

AML Guidance

 

Financial Action Task Force (FATF) Guidance

 

Office of Foreign Assets Control (OFAC) Guidance

 

News

Tools

AML Rules & Regulations

Regulatory Notices

  • 12-08 SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
  • 09-60 SEC Approval and Effective Dates for New Consolidated FINRA Rules;Effective Date (all rules except FINRA Rule 3310): December 14, 2009; Effective Date (FINRA Rule 3310): January 1, 2010
  • 07-17 NASD and NYSE Joint Release Regarding Special Measures against specified Banks Pursuant to Section 311 of the USA Patriot Act.
  • 06-41 NASD and NYSE Joint Release on Section 311 of the USA PATRIOT Act. Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act.
  • 06-07 SEC Approves Amendments to Anti-Money Laundering Program Compliance Rule and Adoption of Interpretive Material; Effective Date: March 6, 2006
  • 03-34 Treasury and SEC Issue Final Rule Regarding Customer Identification Programs for Broker/Dealers; Effective Date: October 1, 2003
  • 02-80 Development Regarding Treasury Information Requests Under Section 314 of the PATRIOT Act
  • 02-78 NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
  • 02-50 Treasury and SEC Request Comment on Proposed Regulation Regarding Broker/Dealer Anti-Money Laundering Customer Identification Requirements; Comment Period Expires September 6, 2002
  • 02-47 Treasury Issues Final Suspicious Activity Reporting Rule for Broker/Dealers; Effective Date: Transactions After December 30, 2002
  • 02-21 NASD Provides Guidance to Member Firms Concerning Anti-Money Laundering Compliance Programs Required By Federal Law
  • 01-67 Executive Order Targeting Terrorists

     

AML Forms

AML Education & Training 

Resource Document

 

E-Learning Courses

FINRA offers an expanding series of E-Learning Courses, including:

  • AML—Compliance Courses
  • AML—Independent Course
  • AML—Institutional Courses
  • AML—Operations Courses
  • AML—Retail Courses
  • AML—Wholesaler Courses

 

AML Updates by Email

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