TITLE

Hanging Out the Laundry

AUTHOR(S)
Corbin, Kenneth
PUB. DATE
September 2013
SOURCE
On Wall Street;Sep2013, Vol. 23 Issue 9, p14
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article cites the importance for U.S. stock broker-dealers to strengthen their anti-money laundering policies (AML). It discusses ways on how these companies can recognize signs of suspicious transactions that may involve money laundering. It also says that these policies are the top priorities identified by both the Financial Industry Regulatory Authority Inc. (FINRA) and the U.S. Securities and Exchange Commission (SEC) for the examination of broker-dealers in 2013.
ACCESSION #
90208826

 

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