Try our Advanced Search for more refined results

Expert Analysis

AML For Broker-Dealers: Takeaways From SEC Enforcement

By Jesse Morton (October 18, 2017, 9:34 AM EDT) -- The U.S. Securities and Exchange Commission has made it abundantly clear over the last several years that anti-money laundering is one of its top examination priorities.[1] While traditionally, many other regulatory and enforcement agencies, such as the Financial Industry Regulatory Authority, the Office of the Comptroller of the Currency, the U.S. Department of Justice, and the Federal Reserve, have been the ones to enforce AML deficiencies, the SEC recently started regularly using Rule 17a-8 under the Securities and Exchange Act of 1934 as a tool to enforce AML deficiencies with broker-dealers.[2]...

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!