A Collaboration with the University of Pittsburgh
Issued by Financial Crimes Enforcement Network

Start Preamble AGENCY: Financial Crimes Enforcement Network (FinCEN), Treasury. ACTION: Notice of proposed rulemaking. SUMMARY: FinCEN is issuing a notice of proposed rulemaking (NPRM), pursuant to section 311 of the USA PATRIOT Act, to prohibit the opening or maintaining of a correspondent account in the United States for, or … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Statutory Provisions B. Regulatory Background AML Program Requirements Customer Identification Program Requirements Beneficial Ownership Requirement C. Categories of Banks Lacking a Federal Functional Regulator State-Chartered Non-Depository Trust Companies Non-Federally Insured Credit … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Statutory Provisions II. Imposition of a Special Measure Against North Korea as a Jurisdiction of Primary Money Laundering Concern A. Proposed Imposition of Special Measure Five B. Discussion of Section 311 Factors 1. … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Statutory and Regulatory Provisions II. Background Information A. The Effect of the JOBS Act and the Securities and Exchange Commission Crowdfunding Rule on the Scope of the Definitions of Brokers or Dealers in … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Finding and Notice of Proposed Rulemaking A. The Finding and Notice of Proposed Rulemaking B. Subsequent Developments III. Withdrawal of the Proposed Rule Footnotes DATES: Back to Top As of March … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Introduction II. Background A. Statutory and Regulatory Background B. Signature Authority Exemptions Provision C. Special Rules Provisions—25 or More Foreign Financial Accounts III. Section-by-Section Analysis A. Signature Authority Exemption Provision B. Special Rules … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Finding and Notice of Proposed Rulemaking III. Subsequent Developments IV. Withdrawal of the NPRM Footnotes DATES: Back to Top The notice of proposed rulemaking is withdrawn as of March 4, 2016. … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Finding and Notice of Proposed Rulemaking A. The Finding and Notice of Proposed Rulemaking B. Subsequent Developments III. Withdrawal of the Finding and NPRM Footnotes DATES: Back to Top The finding … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Notice of Proposed Rulemaking III. Comments A. Regulatory Impact Assessment B. Initial Regulatory Flexibility Analysis Footnotes DATES: Back to Top Written comments on the RIA and IRFA must be received … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Regulatory Background II. Proposed Imposition of the Fifth Special Measure III. Request for Comments IV. Regulatory Flexibility Act A. Estimate of the Number of Small Entities to Whom Any of Special Measures One … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Finding, Notice of Proposed Rulemaking, and Subsequent Developments A. The Notice of Finding and Notice of Proposed Rulemaking B. Subsequent Developments III. Withdrawal of the Proposed Rule Footnotes DATES: Back to … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. General Statutory Provisions B. Previous Rulemaking Efforts II. Money Laundering Risks and Investment Advisers III. The Proposed and Withdrawn Rules for Investment Advisers and Unregistered Investment Companies IV. Section-by-Section Analysis A. … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Statutory Provisions II. Imposition of a Special Measure Against BPA as a Financial Institution of Primary Money Laundering Concern A. Special Measure B. Discussion of Section 311 Factors 1. Whether Similar Action Has … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. The Finding, Notice of Proposed Rulemaking, and Subsequent Developments A. The Notice of Finding and Notice of Proposed Rulemaking B. Subsequent Developments III. Withdrawal of the Proposed Rule Footnotes DATES: Back to … [read more]

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