Proposed Amendments to Rule 3011 to Require Members to Identify an Anti-Money Laundering Compliance Person

NASD has filed with the SEC a proposed rule change to amend NASD Rule 3011 to require each member to provide to NASD contact information for the individual or individuals responsible for implementing and monitoring the day-to-day operations and internal controls of the member’s anti-money laundering ("AML") compliance program ("AML Program").

TitleFormat - SizeStatus
Text of proposed rule changePDF - 38.38 KB
Approval OrderPDF - 46.64 KB