The SEC and FINRA offered valuable anti-money laundering resources - rules, interps, guidance, disciplinary action -  to those attending the 2/8/11 CCOutreach BD National Seminar.  For your the complete agenda, go to:   [SEC and FINRA Webcasts-CCOutreach, 2/8]

Anti-Money Laundering Compliance - Rules

• FINRA Rule 3310. Anti-Money Laundering Compliance Program
  http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=8656
• “Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001. (USA PATRIOT Act of 2001),” Pub. L. No. 107-56, 115 Stat. 272 (2001).
• Title III of the Act, the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001, contains anti-money laundering provisions applicable to financial institutions, including broker/dealers.   http://www.fincen.gov/hr3162.pdf
• Bank Secrecy Act Regulations   http://www.fincen.gov/statutes_regs/bsa/
• MSRB Final Rule G-41    http://www.msrb.org/msrb1/archive/G-41approval.htm
• FinCEN Final Rule on Confidentiality of Suspicious Activity Reports http://edocket.access.gpo.gov/2010/pdf/2010-29869.pdf

Anti-Money Laundering Compliance - Notices

• NASD Notice to Members 07-17, NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act (April 2007)  www.finra.org/web/groups/rules_regs/documents/notice_to_members/p018973.pdf
• FINRA Regulatory Notice 09-60, SEC Approval and Effective Dates for New Consolidated FINRA Rules; Effective Date (all rules except FINRA Rule 3310): December 14, 2009; Effective Date (FINRA Rule 3310): January 1, 2010 (October 2009) www.finra.org/Industry/Regulation/Notices/2009/P120230
• NASD Notice to Members 07-17, NASD and NYSE Joint Release Regarding Special Measures against Specified Banks Pursuant to Section 311 of the USA PATRIOT Act (April 2007)
  www.finra.org/web/groups/rules_regs/documents/notice_to_members/p018973.pdf

Anti-Money Laundering Compliance - Other Resources.

• Guidance on Obtaining and Maintaining Beneficial Ownership Information http://www.sec.gov/rules/other/2010/34-61651-guidance.pdf
• SIFMA CIP No-Action Letter dated January 11, 2011 http://www.sec.gov/divisions/marketreg/mr-noaction/2011/sifma011111.pdf
• FINRA Anti-Money Laundering Web Page   www.finra.org/aml
• Anti-Money Laundering Template for Small Firms   www.finra.org/Industry/Issues/AML/p006340
• Financial Action Task Force (FATF) Guidance on Money Laundering and Terrorist Financing in the Securities Sector (October 30, 2009)   www.fatf-gafi.org/document/29/0,3343,en_32250379_32237202_43939933_1_1_1_1,00.html
• FATF Guidance on the Risk-Based Approach to Combating Money Laundering and Terrorist Financing   www.fatf-gafi.org/dataoecd/43/46/38960576.pdf
• SAR Activity Review – Trends, Tips and Issues, Issue 18 (October 2010)   Published 2 X a year by FinCEN.   http://www.fincen.gov/news_room/rp/files/sar_tti_18.pdf
• SAR Activity Review – By the Numbers, Issue 1 (October 2003) – Issue 15 (January 2011)   Offers important statistical information on SARs filed by various financial institutions by geographic location, by type of activity and other categories.   www.fincen.gov/news_room/rp/sar_by_number.html
• Federal Financial Institutions Examination Council (FFIEC), Bank Secrecy Act
• Anti-Money Laundering Examination Manual     www.ffiec.gov/bsa_aml_infobase/pages_manual/manual_online.htm

Anti-Money Laundering Compliance - Relevant Actions

• SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures   http://www.sec.gov/news/press/2010/2010-161.htm