Spotlight on
Anti-Money Laundering Rulemaking

• Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter (January 10, 2008)
   
• Anti-Money Laundering (AML) Source Tool (January 1, 2008).
   
• Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts (in PDF format; U.S. Treasury guidance, June 13, 2007).
   
• Financial Crimes Enforcement Network; Suspicious Activity Report Supporting Documentation (in PDF format; U.S. Treasury guidance, June 13, 2007).
   
• FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) Forms (FinCEN press release, April 26, 2007).
   
• Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual Funds (in PDF format; U.S. Treasury guidance, October 4, 2006).
   
• Market Regulation No-Action Letter: Securities Industry Association, extending further February 12, 2004 letter (July 11, 2006)
   
• Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations- Requirement That Mutual Funds Report Suspicious Transactions (in PDF format; U.S. Treasury Rulemaking, April 27, 2006).
   
• Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV Accounts (in PDF format; U.S. Treasury guidance, May 3, 2006)
   
• Question and Answer Regarding Broker-Dealer Customer Identification Rule (31 CFR 103.122) Responsibilities under the Agency Lending Disclosure Initiative (April 26, 2006)
   
• Market Regulation No-Action Letter: Securities Industry Association, extending February 12, 2004 letter (February 10, 2005)
   
• Market Regulation No-Action Letter: Securities Industry Association (February 12, 2004)
   
• Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (October 1, 2003)
   
• Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule (August 11, 2003)
   
• Customer Identification Programs for Mutual Funds (April 29, 2003)
   
• Report to Congress under the USA PATRIOT Act containing recommendations for applying anti-money laundering controls to investment companies (Joint Report of the SEC, U.S. Treasury and the Board of Governors of the Federal Reserve System, December 31, 2002)
   
• SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002 (announcement, October 18, 2002)
   
• Proposed Amendment to the Bank Secrecy Act Rules — Requirement That Insurance Companies Report Suspicious Transactions (in PDF format; U.S. Treasury Rulemaking, October 17, 2002).
   
• Proposed Amendment to the Bank Secrecy Act Rules — Anti-Money Laundering Programs for Unregistered Investment Companies (in PDF format; U.S. Treasury Rulemaking, September 26, 2002)
   
• Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Mutual Funds (Joint SEC and U.S. Treasury rulemaking, July 23, 2002)
   
• Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Broker-Dealers (Joint SEC and U.S. Treasury rulemaking, July 23, 2002)
   
• Amendment to the Bank Secrecy Act Rules — Requirement that Brokers or Dealers in Securities Report Suspicious Transactions (in PDF format; U.S. Treasury Final Rule, July 1, 2002).
   
• Proposed Rule — Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACT (in PDF format; U.S. Treasury Rulemaking, May 30, 2002)
   
• Anti-Money Laundering Programs for Mutual Funds (in PDF format; U.S. Treasury rulemaking, April 24, 2002)
   
• Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs (NASD and NYSE Rulemaking; April 22, 2002)
   
• Proposed Amendment to the Bank Secrecy Act — Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions (in PDF format; U.S. Treasury rulemaking, December 21, 2001)
   

http://www.sec.gov/spotlight/moneylaundering.htm