Regulatory Notice 19-18

FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations

Summary

FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).

Questions concerning this Notice should be directed to:

  • Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
  • Blake Snyder, Senior Director, Member Regulation, at (561) 443-8051.