Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Last Reviewed or Updated: Oct. 4, 2018

Public Comments Due

Nov. 1, 2018

File Number

SR-FINRA-2018-035

Rule Type

Notice

Release Number

34-84363

SEC Issue Date

Oct. 4, 2018

Federal Register Publish Date

Oct. 11, 2018

Document Citation

83 FR 51532