Proposed Rule2017 | 2016 | 2015 | 2014 | 2013 | Show more years
(additions are underscored and deletions are
B. Detection and Reporting of Suspicious Activity
Footnote 22- Broker-dealers that are notice registered for purposes of offering security futures products are required to comply with the broker-dealer reporting requirements in the securities industry. Dually registered broker-dealers may comply with the SAR Requirements in the futures industry or the securities industry's requirements. See 68 FR 65392 (November 20, 2003)
67 FR 44048 (July 1, 2002)for these requirements.