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Important Information for Securities and Futures

• FinCEN Issues Ruling (FIN-2010-R002) on the Application of Section 311 Special Measures to the payment of current and future potential obligation of a US customer (06/08/2010) HTML | PDF
• FinCEN Issues Ruling (FIN-2010-R001) on the Application of Section 311 Special measures to Payments under a Stand-By Letter of Credit (6/08/2010) HTML | PDF
• Joint Guidance (FIN-2010-G001) on Obtaining and Retaining Beneficial Ownership Information (03/05/2010) HTML | PDF
• Ruling (FIN-2009-R003) on Customer Identification Program Rule - Address Confidentiality Programs (1/12/10) HTML | PDF
• FinCEN Releases 15th Issue of SAR Activity Review – Trends, Tips & Issues (In Focus: The Securities and Futures Industries) (05/13/2009) PDF Only
• The CFTC has acknowledged FinCEN’s assistance, with the support of its industry partners, in the following investigations:
  http://www.cftc.gov/PressRoom/PressReleases/pr5616-09.html,
  http://www.cftc.gov/PressRoom/PressReleases/pr5610-09.html
• FinCEN Educational Pamphlet on the Currency Transaction Reporting Requirement (02/24/2009) HTML | PDF
• Prepared Remarks of James H. Freis, Jr., Director, Financial Crimes Enforcement Network, before SIFMA’s Anti-Money Laundering Compliance Conference for 2008 (03/05/2008) HTML | PDF

News for Securities and Futures

• FinCEN Streamlines Mutual Fund BSA Requirements (04/12/2010) HTML | PDF
• FinCEN Clarifies Expectations Regarding Beneficial Ownership (03/05/2010) HTML | PDF
• FinCEN Moves to Streamline Mutual Fund BSA Requirements (06/05/2009) HTML | PDF
• FinCEN Report Shows Connection With Mortgage Fraud and Other Financial Crime (03/16/2009) HTML | PDF
• FinCEN to Expand Financial Institutions’ Ability to Share Information Internally on Suspicious Activity (03/03/2009) HTML | PDF
• FinCEN Withdraws Dated AML Rule Proposals for Unregistered Investment Companies, Commodity Trading Advisors, and Investment Advisers (10/30/2008) HTML | PDF
• FinCEN Report Warns of Money Laundering Methods and Trends in Residential Real Estate Industry (05/01/2008) HTML | PDF
• FinCEN Releases Updated Mortgage Fraud Report (04/03/2008) HTML | PDF
• SEC and FinCEN Sign Information Sharing Agreement (12/21/2006) HTML | PDF
• FinCEN Issues Guidance on Suspicious Activity Reporting Requirements for Mutual Funds (10/04/2006) HTML | PDF
• News Release - Mutual Funds Required to File Suspicious Activity Reports (05/03/2006) HTML | PDF
• News Release - Assessment of civil money penalties in the matter of the Tonkawa Tribe of Oklahoma and Edward E. Street (03/24/2006) HTML | PDF
• Futures Commission Merchants And Introducing Brokers In Commodities Required To Report Suspicious Transactions (11/20/2003) HTML | PDF
• Suspicious Activity Reporting Rule For Broker-Dealers Finalized (06/28/2002) HTML | PDF