31 CFR 1023.220 - Customer identification programs for broker-dealers

Cite as31 CFR 1023.220
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35 practice notes
  • Identity Theft Red Flags Rules
    • United States
    • Federal Register March 06, 2012
    • March 6, 2012
    ...Sec. 162.30(d)(2)(ii) (CFTC) and proposed Sec. 248.201(d)(2)(ii) (SEC). \89\ See 2007 Adopting Release, supra note 10. \90\ See, e.g., 31 CFR 1023.220 (broker-dealers), 1024.220 (mutual funds), and 1026.220 (futures commission merchants and introducing brokers). The CIP regulations implemen......
  • Identity Theft Red Flags Rules
    • United States
    • Federal Register April 19, 2013
    • April 19, 2013
    ...\125\ See 2007 Adopting Release, supra note 8. \126\ See, e.g., 31 CFR 1023.220 (broker-dealers), 1024.220 (mutual funds), and 1026.220 (futures commission merchants and introducing brokers). The CIP regulations implement section 326 of the USA PATRIOT Act, codified at 31 U.S.C. \127\ See, ......
  • Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers
    • United States
    • Federal Register September 01, 2015
    • September 1, 2015
    ...and Exchange Commission, Division of Trading and Markets, Request for No-Action Relief Under Broker-Dealer Customer Identification Rule (31 CFR 1023.220) (Jan. 9, 2015) available at http://www.sec.gov/divisions/marketreg/mr-noaction/2015/sifma-010915-17a8.pdf. See also 31 CFR 1023.220(a)(6)......
  • Crowdfunding
    • United States
    • Federal Register November 05, 2013
    • November 5, 2013
    ...\649\ See 31 U.S.C. 5318(h). See also 31 CFR 1023.210; FINRA Rule 3310. \650\ 31 CFR 1023.220. \651\ 31 CFR 1023.320. See also FINRA Rule \652\ 31 CFR 1010.520. \653\ 31 CFR 1010.100(h). As noted above, certain FinCEN regulations apply to a ``broker-dealer,'' which is defined as a ``person ......
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1 cases
  • U.S. Sec. & Exch. Comm'n v. Alpine Sec. Corp., 17cv4179(DLC)
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • March 30, 2018
    ...ongoing monitoring to identify and report suspicious transactions." 31 C.F.R. § 1023.210(b)(5)(ii) (emphasis supplied); see also 31 C.F.R. § 1023.220(a)(2) (requiring a broker-dealer to be able to "form a reasonable belief that it knows the true identity of each customer" based on types of ......
19 firm's commentaries

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