SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs | Stinson LLP

On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) issued a joint notice of proposed rulemaking (proposed rule) that...

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,Exchange Commission ,Bank Secrecy Act ,Financial Crimes Enforcement Network Fin ,Financial Crimes Enforcement Network ,Customer Identification Programs ,Registered Investment Advisers ,Exempt Reporting Advisers ,Suspicious Activity Report ,