Hogan, Michael J.; Schneider, Howard; Schadé, Elisabeth J. - In: Journal of Investment Compliance 3 (2002) 1, pp. 70-73
To comply with the USA PATRIOT Act (the “Act”), Broker‐Dealers (“BDs”), among others, must establish an anti‐money laundering compliance program (“Program”) by April 24, 2002. NASD Regulation, Inc. (“NASDR”) filed, with the Securities and Exchange Commission (“SEC”), a...
