News & Media

Anti-Money Laundering Provisions for Broker-Dealers, The Review of Securities and Commodities Regulation, Vol. 35, No. 11

The Patriot Act of 2001 together with new and proposed regulations has significantly increased the anti-money laundering duties of broker-dealers. This article reviews new and proposed regulations and outlines supervisory procedures and programs that broker-dealers will need to comply with the rules.

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