IM-3011-2. Review of Anti-Money Laundering Compliance Person Information
This rule is no longer applicable. NASD IM-3011-2 has been superseded by FINRA Rule 3310. Please consult the appropriate FINRA Rule.
Each member must identify, review, and, if necessary, update the information regarding its anti-money laundering compliance person designated pursuant to Rule 3011(d) in the manner prescribed by Rule 1160.
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Amended by SR-NASD-2007-034 eff. Dec. 31, 2007. Adopted by SR-NASD-2005-066 eff. Mar. 6, 2006. Selected Notices: 06-07, 07-42. |