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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: May 2, 2018

Resources

Notice Rule: SEC Issued Version (pdf 135.65 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

May 29, 2018

File Number

SR-FINRA-2018-016

Rule Type

Notice

Release Number

34-83154

SEC Issue Date

May 2, 2018

Federal Register Publish Date

May 8, 2018

Document Citation

83 FR 20906

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions

Resources

Details