What FINRA Rule 3310 (Anti-Money Laundering Compliance Program) requires
FINRA Rule 3310 (Anti-Money Laundering Compliance Program) is a rule of the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization for U.S. broker-dealers overseen by the U.S. Securities and Exchange Commission. Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each member's anti-money laundering program must be approved, in writing, by a member of senior management. The anti-money laundering programs required by this Rule shall, at a minimum, This node operationalises each obligation of FINRA Rule 3310 into a deterministic verification workflow, with every obligation quoted verbatim from and traceable to the rule text at https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310 (most recently amended by SR-FINRA-2018-016 effective May 11, 2018).
Pillar: Banking & Global Finance · Authority: Financial Industry Regulatory Authority (FINRA) · Version: 1.0.0 · Last updated:
Primary source: https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310
SHA-256 integrity: 6e107decc6562ce1510b7eec78f6715ccc3d28cd34360c3452acf87a367a6f81
Primary Citations — 12 traced to source
- FINRA Rule 3310 (introductory text): 'Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury.'
- FINRA Rule 3310 (introductory text): 'Each member's anti-money laundering program must be approved, in writing, by a member of senior management.'
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Access
- Discovery (free): /api/v1/nodes/finra-3310-anti-money-laundering-compliance-program.json — 6-field metadata
- Vault (full node): /api/v1/vault/nodes/finra-3310-anti-money-laundering-compliance-program.json — full 13-key payload, $0.01 USDC (L402/Skyfire/Direct Base)
- Canonical URL: https://bidda.com/intelligence/finra-3310-anti-money-laundering-compliance-program
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