Nicole Alkire

Morgan Lewis

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Latest Posts › Proposed Rules

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FINRA Proposes Single Rule to Replace FINRA Rules 3270 and 3280

FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person)...more

3/26/2025 / Broker-Dealer , Cryptocurrency , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Investment , Investment Adviser , Proposed Rules , Regulatory Requirements , Reporting Requirements

FINCEN’s AML Proposal: An Overview for Investment Advisers

Earlier this year, the US Department of the Treasury’s (Treasury’s) Financial Crimes Enforcement Network (FinCEN) published a notice of proposed rulemaking (the Proposal) that would subject investment advisers to anti-money...more

4/23/2024 / AML/CFT , Anti-Money Laundering , Bank Secrecy Act , Financial Institutions , FinCEN , Investment Adviser , Proposed Rules , Suspicious Activity Reports (SARs)

FinCEN Proposes New Rule on Beneficial Ownership Information Access and Safeguards for Corporate Transparency Act

The US Treasury’s Financial Crimes Enforcement Network (FinCEN) recently proposed a new rule (the Proposed Rule) regarding beneficial ownership information access and safeguards pursuant to the Corporate Transparency Act....more

1/12/2023 / Anti-Money Laundering , Beneficial Owner , Corporate Transparency Act , Customer Due Diligence (CDD) , Financial Institutions , FinCEN , Proposed Rules , Reporting Requirements

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