Nicole Alkire

Morgan Lewis

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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 Proposes Applications for FinCEN Identifier and BOI Reporting Pursuant to Final Rule

The US Treasury’s Financial Crimes Enforcement Network (FinCEN) published notices on January 17 seeking public comment on two proposals: (1) the application document that individuals would use to obtain a FinCEN identifier...more

2/1/2023 / Beneficial Owner , Corporate Transparency Act , FinCEN , Reporting Requirements

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

Fincen Establishes Beneficial Ownership Reporting Requirements to Implement Corporate Transparency Act

On September 30, the US Treasury’s Financial Crimes Enforcement Network (FinCEN) published, in the Federal Register, a final rule (Final Rule) that establishes beneficial ownership information (BOI) reporting requirements...more

10/11/2022 / Beneficial Owner , Corporate Transparency Act , Final Rules , FinCEN , Reporting Requirements

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