No Action Letter Process News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Financial Crimes Enforcement Network FinCEN, a bureau of the U.S. Department of the Treasury, issued an Advanced Notice of Proposed Rulemaking ANPRM, requesting public comment on forty eight questions related to FinCEN’s implementation of a no-action letter process.

The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice on Oct. 8, 2021, encouraging its broker-dealer members to review and prepare to incorporate into their own...