Customer Identification Program Rule No-Action Position Respecting Broker-Dealers Operating Under Fully Disclosed Clearing Agreements According to Certain Functional Allocations (03/04/2008) HTML | PDF
Guidance – Application of Correspondent Account Rules to the Presentation of Negotiable Instruments Received by a Covered Financial Institution for Payment (01/30/2008) HTML | PDF
Reference- Suggestions for Addressing Common Errors Noted in Suspicious Activity Reporting (10/10/2007) HTML | PDF
Guidance - Application of the Correspondent Account Rule to Executing Dealers Operating in Over-The-Counter Foreign Exchange and Derivatives Markets Pursuant to Prime Brokerage Arrangements (09/05/2007) HTML | PDF
Guidance - Suspicious Activity Report Supporting Documentation (06/13/2007) HTML | PDF