It is the time of year when many broker-dealers are scheduling their annual independent test of their anti-money laundering programs. These tests are required by FINRA Rules. More specifically, FINRA Rule 3310 (formerly NASD Rule …
It is the time of year when many broker-dealers are scheduling their annual independent test of their anti-money laundering programs. These tests are required by FINRA Rules. More specifically, FINRA Rule 3310 (formerly NASD Rule …