FINRA - Rules and Regulations - FINRA Manual Online

Location: FINRA Manual > NASD Rules > CONDUCT RULES (2000–3000) > 3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES > 3011. Anti-Money Laundering Compliance Program > IM-3011-2. Review of Anti-Money Laundering Compliance Person Information

Notices
(2 links)

07-42 SEC Approves NASD Rule 1160 Regarding Firm Contact Information; Effective Date: December 31, 2007

06-07 SEC Approves Amendments to Anti-Money Laundering Compliance Program Rule and Adoption of Interpretive Material; Effective Date: March 6, 2006

IM-3011-2. Review of Anti-Money Laundering Compliance Person Information

SR-FINRA-2009-039 has been approved by the SEC. Effective January 1, 2010, this rule will no longer be applicable. Please consult the appropriate FINRA rule.

Each member must identify, review, and, if necessary, update the information regarding its anti-money laundering compliance person designated pursuant to Rule 3011(d) in the manner prescribed by Rule 1160.

Amended by SR-NASD-2007-034 eff. Dec. 31, 2007.
Adopted by SR-NASD-2005-066 eff. Mar. 6, 2006.

Selected Notices: 06-07, 07-42.