Skip to main content
  1. Home
  2. Banks and Banking
  3. Bank Secrecy Act Regulations (Department of the Treasury, FinCEN)
  4. PART 1023
  5. SUBPART F
  6. SECTION 1023.600
3-1724.5

SUBPART F—SPECIAL STANDARDS OF DILIGENCE; PROHIBITIONS; AND SPECIAL MEASURES FOR BROKERS OR DEALERS IN SECURITIES

SECTION 1023.600—General

Brokers or dealers in securities are subject to the special standards of diligence; prohibitions; and special measures requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart F of part 1010 of this chapter for special standards of diligence; prohibitions; and special measures contained in that subpart which apply to brokers or dealers in securities.
Back to top