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Securities and Futures

Comment Request; Renewal Without Change of the Requirement for Information Sharing Between Government Agencies and Financial Institutions
Request for Comments - December 13, 2012
Customer Due Diligence Requirements for Financial Institutions; Notice of public hearing; request for comment
Notice of public hearing; request for comment - July 09, 2012
Amendment to the Bank Secrecy Act Regulations—Requirement That Clerks of Court Report Certain Currency Transactions
Final Rule - June 07, 2012
Customer Due Diligence Requirements for Financial Institutions; Extension of Comment Period
Advance Notice of Proposed Rulemaking and Request for Comments; Extension of Comment Period - May 04, 2012
Customer Due Diligence Requirements for Financial Institutions
Advance Notice of Proposed Rulemaking and Request for Comments - February 29, 2012
Comments Received - As of May 9, 2012
Comment Request; Proposal that Electronic Filing of Bank Secrecy Act Reports be Required
Request for Comments - September 14, 2011
Comments Received – November 15, 2011
Confidentiality of Suspicious Activity Reports (Effective January 3, 2011)
Final Rule - November 23, 2010
Confidentiality of Suspicious Activity Reports (Effective January 3, 2011)
Notice of Availability of Final Interpretive Guidance - November 23, 2010
Transfer and Reorganization of Bank Secrecy Act Regulations
Final Rule - October 26, 2010
Amendment to the Bank Secrecy Act Regulations – Defining Mutual Funds as Financial Institutions
Final Rule - April 14, 2010
Proposed Renewal Without Change; Comment Request; Customer Identification Programs for Various Financial Institutions
Notice and Request for Comments - March 13, 2009
Interpretive Guidance – Sharing Suspicious Activity Reports by Securities Broker-Dealers, Mutual Funds, Futures Commission Merchants, and Introducing Brokers in Commodities with Certain U.S. Affiliates
Proposed Guidance - March 09, 2009
Confidentiality of Suspicious Activity Reports
Notice of Proposed Rulemaking - March 09, 2009
Interpretive Guidance – Sharing Suspicious Activity Reports by Depository Institutions with Certain U.S. Affiliates
Proposed Guidance - March 09, 2009
Proposed Renewal Without Change; Comment Request; Anti-Money Laundering Programs for Various Financial Institutions
Notice and Request for Comments - March 02, 2009
Suspicious Activity Report by the Securities and Futures Industry
Notice and Request for Comments - December 05, 2008
Withdrawal of the Notice of Proposed Rulemaking; Anti-Money Laundering Programs for Unregistered Investment Companies
Notice - October 30, 2008
Withdrawal of the Notice of Proposed Rulemaking; Anti-Money Laundering Programs for Investment Advisers
Notice - October 30, 2008
Withdrawal of the Notice of Proposed Rulemaking; Anti-Money Laundering Programs for Commodity Trading Advisors
Notice - October 30, 2008
Special Due Diligence Programs for Certain Foreign Accounts
Final Rule - August 08, 2007
Suspicious Activity Reporting; Release of Revised Suspicious Activity Reports
Notice - April 26, 2007
Amendment to the Bank Secrecy Act Regulations Imposition of Special Measure Against Banco Delta Asia, Including its subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited, as a Financial Institution of Primary Money Laundering Concern
Final Rule - March 14, 2007
Proposed Extension without change Currency Transaction Report (CTR) FinCEN form 104 (71 FR 42719-42720)
Notice and Request for Comments - July 27, 2006
Amendment to the Bank Secrecy Act Regulations Imposition of Special Measure Against VEF Banka, as a Financial Institution of Primary Money Laundering Concern 31 CFR Part 103 (RIN 1506-AA82)
Final Rule - July 12, 2006
Withdrawal of the Finding of Primary Money Laundering Concern and the Notice of Proposed Rulemaking against Multibanka - 31 CFR Part 103 (RIN 1506-AA81)
Withdrawal of Notice of Proposed Rulemaking - July 12, 2006
Joint Advance Notice of Proposed Rulemaking - Threshold for the Requirement to Collect, Retain, and Transmit Information on Funds Transfers and Transmittals of Funds - 31 CFR Part 103, 12 CFR Part 219 (RIN 1506-AA86 71 FR 35564-35567)
Advance Notice and Request for Comments - June 21, 2006
Amendment to the Bank Secrecy Act Regulations Requirement that Mutual Funds Report Suspicious Transactions 31 CFR Part 103 (RIN 1506-AA37 71 FR 26213 26220)
Final Rule - May 04, 2006
Special Due Diligence Programs for Certain Foreign Accounts 31 CFR Part 103 (RIN 1506-AA29)
Final Rule; Extension of applicability dates - March 30, 2006
Amendment to the Bank Secrecy Act Regulation Special Measure Against Commercial Bank of Syria, including its Subsidiary, Syrian Lebanese Commercial Bank, as a Financial Institution of Primary Money Laundering Concern 31 CFR Part 103 (RIN 1506-AA64 - 71 F
Final Rule - March 15, 2006
Proposed Renewal Without Change Customer Identification Program for Various Financial Institutions (71 FR 6845 - 6846)
Request for Comments - February 09, 2006
Special Due Diligence Programs for Certain Foreign Accounts 31 CFR Part 103 (RIN 1506-AA29 71 FR 496 515)
Final Rule and Proposed Rule - January 04, 2006
Special Due Diligence Programs for Certain Foreign Accounts 31 CFR Part 103 (RIN 1506-AA29 71 FR 516 520)
Notice of Proposed Rulemaking - January 04, 2006
Amendment to the Bank Secrecy Act Regulations Imposition of Special Measure Against Banco Delta Asia SARL (RIN 1506-AA83 31 CFR Part 103) (70 FR 55217-55222)
Notice of Proposed Rulemaking - September 20, 2005
Finding that Banco Delta Asia SARL is a Financial Institution of Primary Money Laundering Concern - 31 CFR Part 103 (70 FR 55214-55216)
Notice of Finding - September 20, 2005
Request for comments on proposed extension of a currently approved requirement that futures commission merchants and introducing brokers establish a customer identification program
Notice and Request for Comments - June 14, 2005
Proposed information collection contained in a revised form, Suspicious Activity Report by the Securities and Futures Industry (SAR-SF)
Request for Comment - May 26, 2005
Imposition of Special Measure against Multibanka as a financial institution of primary money laundering concern
Notice of Proposed Rulemaking - April 26, 2005
Imposition of Special Measure against VEF Banka as a financial institution of primary money laundering concern
Notice of Proposed Rulemaking - April 26, 2005
Interpretive Release No. 2004-02 - Unitary Filing of Suspicious Activity and Blocking Reports
Final Rule - December 23, 2004
Agency Information Collection Activities; Proposed Collection; Comment Request
Notice and request for comments - December 20, 2004
Imposition of Special Measure Against First Merchant Bank OSH Ltd, Including Its Subsidiaries, FMB Finance LTD, First Merchant International Inc, First Merchant Finance Ltd, and First Merchant Trust Ltd, as a Financial Institution of Primary Money Launder
Notice of Proposed Rulemaking - September 30, 2004
Imposition of Special Measure Against Infobank as a Financial Institution of Primary Money Laundering Concern
Notice of Proposed Rulemaking - September 30, 2004
Imposition of Special Measure Against Infobank as a Financial Institution of Primary Money Laundering Concern
Notice of Proposed Rulemaking - August 24, 2004
Imposition of Special Measure Against First Merchant Bank OSH Ltd, Including Its Subsidiaries, FMB Finance LTD, First Merchant International Inc, First Merchant Finance Ltd, and First Merchant Trust Ltd, as a Financial Institution of Primary Money Launder
Notice of Proposed Rulemaking - August 24, 2004
Imposition of a Special Measure Against Commercial Bank of Syria, Including Its Subsidiary, Syrian Lebanese Commercial Bank, as a Financial Institution of Primary Money Laundering Concern
Proposed Rule - May 18, 2004
Imposition of Special Measures Against Burma
Final Rule - April 12, 2004
Imposition of Special Measures Against Myanmar Mayflower Bank and Asia Wealth Bank
Final Rule - April 12, 2004
Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement that Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions
Correction - January 29, 2004
Notice of Expiration of Conditional Exception to Bank Secrecy Act Regulations Relating to Orders for Transmittals of Funds by Financial Institutions Federal Register
Notice - November 28, 2003
Designation of Burma as a Jurisdiction of Primary Money Laundering Concern; Designation of Myanmar Mayflower Bank and Asia Wealth Bank as Financial Institutions of Primary Money Laundering Concern
Notice of Designations - November 25, 2003
Imposition of Special Measures Against Burma as a Jurisdiction of Primary Money Laundering Concern
Notice of Proposed Rulemaking - November 25, 2003
Imposition of Special Measures Against Myanmar Mayflower Bank and Asia Wealth Bank as Financial Institutions of Primary Money Laundering Concern
Notice of Proposed Rulemaking - November 25, 2003
Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement that Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions
Final Rule - November 20, 2003
Customer Identification Programs for Financial Institutions
Summary of Comments - September 25, 2003
Customer Identification Programs for Futures Commission Merchants and Introducing Brokers
Joint Final Rule - May 09, 2003
Customer Identification Programs for Mutual Funds
Joint Final Rule - May 09, 2003
Customer Identification Programs for Broker-Dealers
Joint Final Rule - May 09, 2003
Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement that Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions
Notice of Proposed Rulemaking - May 05, 2003
Anti-Money Laundering Programs for Commodity Trading Advisors
Notice of Proposed Rulemaking - May 05, 2003
Anti-Money Laundering Programs for Investment Advisers
Proposed Rule - May 05, 2003
Imposition of Special Measures Against the Country of Nauru
Notice of Proposed Rulemaking - April 17, 2003
Notice of Expiration of Conditional Exception to Bank Secrecy Act Regulations Relating to Orders for Transmittal of Funds by Financial Institutions
Federal Register Notice - March 07, 2003
Requirement That Mutual Funds Report Suspicious Transactions
Notice of Proposed Rulemaking and Request for Comments - January 21, 2003
Anti-Money Laundering Requirements -- Correspondent Accounts for Foreign Shell Banks; Recordkeeping and Termination of Correspondent Accounts for Foreign Banks
Final Rule - Extension of Time for Obtaining Certain Information - December 24, 2002
Notice and Request for Comments -- Proposed Collection; Comment Request; Suspicious Activity Report by Financial Institutions
November 04, 2002
Anti-Money Laundering Programs for Unregistered Investment Companies
Notice of Proposed Rule - September 26, 2002
Anti-Money Laundering Requirements -- Correspondent Accounts for Foreign Shell Banks; Recordkeeping and Termination of Correspondent Accounts for Foreign Banks
Final Rule - September 26, 2002
Comment Request For New Form, "Suspicious Activity Report by the Securities And Futures Industry (SAR-SF, Formerly Called SAR-BD)"
Request for Comments - August 05, 2002
Special Due Diligence Programs for Certain Foreign Accounts
Interim Final Rule - July 23, 2002
Customer Identification Programs for Broker-Dealers
Notice of Proposed Rule Making - July 23, 2002
Customer Identification Programs for Mutual Funds
Notice of Proposed Rule Making - July 23, 2002
Customer Identification Programs for Futures Commission Merchants and Introducing Brokers
Notice of Proposed Rule Making - July 23, 2002
Requirement that Brokers or Dealers in Securities Report Suspicious Transactions
Final Rule - July 01, 2002
Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACT
Proposed Rule - May 30, 2002
Anti-Money Laundering Programs for Mutual Funds
Interim Final Rule - April 29, 2002
Proposed Amendment to the Bank Secrecy Act -- Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions
Notice of Proposed Rulemaking - December 31, 2001
Proposed Amendment to the Bank Secrecy Act -- Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions
Notice of Proposed Rulemaking - December 31, 2001
Conditional Exceptions to Bank Secrecy Act Regulations Relating to Orders for Transmittals of Funds by Financial Institutions
January 26, 1998
Requirement to Report Suspicious Transactions
Correction - April 25, 1996
Amendment to the Bank Secrecy Act Regulations Relating to Orders for Transmittals of Funds by Financial Institutions
Correction - April 25, 1996
Requirement to Report Suspicious Transactions Correction
April 01, 1996
Amendment to the Bank Secrecy Act Regulations Relating to Orders for Transmittals of Funds by Financial Institutions
April 01, 1996
Suspicious Activity Reports
February 16, 1996
Amendment to the Bank Secrecy Act Regulations; Requirement To Report Suspicious Transactions
February 05, 1996

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