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Securities and Futures:

Federal Register Notices

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Securities and Futures

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 Depository Institutions with Certain U.S. Affiliates
Proposed Guidance - March 09, 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

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