Money Laundering, Terrorism & Financial Institutions - USA Patriot Act Monitor
Published by Civic Research Institute
 
Federal Register
   Help

Federal Register Citation 2011 - 2003
Title of Issuance
Agency/
Status
Regulations/Issuances
Added or Amended
75 FR 36589
(6/28/2010)
Definitions and Other Regulations Relating to Prepaid Access FinCEN/ Treasury

Notice of Proposed Rulemaking
Proposed change of “stored value” to “prepaid access,” with substantive changes to 31 CFR 103.11, 103.20, 103.40, 103.41, and 103.12
75 FR 19241
(4/14/2010)
Defining Mutual Funds as Financial Institutions FinCEN/ Treasury

Final Rule
Revisions regarding mutual funds to 31 CFR 103.11, 103.33, 103.56, and 103.130
75 FR 8844
(2/26/2010)
Reports of Foreign Financial Accounts FinCEN/ Treasury

Notice of Proposed Rulemaking
Proposed revision of 31 CFR 103.24
75 FR 6560
(2/10/2010)
Expansion of Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity FinCEN/ Treasury

Final Rule
Revision of 31 CFR 103.90 and 103.100
74 FR 59096
(11/17/2009)
Administrative Ruling System FinCEN/ Treasury

Final Rule
Revision of 31 CFR 103.85
74 FR 58926
(11/16/200
Expansion of Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity FinCEN/ Treasury

Notice of Proposed Rulemaking
Proposed revisions to 31 CFR 103.90 and 103.100
74 FR 26996
(6/5/2009)
Defining Mutual Funds as Financial Institutions FinCEN/ Treasury

Notice of Proposed Rulemaking
Proposed revisions to 31 CFR 103.11, 103.33, 103.56, and 103.130
74 FR 22129
(5/12/2009)
Definitions and Other Regulations Relating to Money Services Businesses FinCEN/ Treasury

Notice of Proposed Rulemaking
Proposed revisions to definitions of certain MSBs, 31 CFR 103.11(uu)

74 FR 10161
(3/9/2009)

Sharing Suspicious Activity Reports by Securities Broker-Dealers, Mutual Funds, Futures Commission Merchants, and Introducing Brokers in Commodities With Certain U.S. Affiliates

FinCEN/Treasury

Notice of Proposed Rulemaking

Would permit specified security industry participants to share a SAR with affiliates that are also subject to SAR rules

74 FR 10158
(3/9/2009)

Sharing Suspicious Activity Reports by Depository Institutions With Certain U.S. Affiliates

FinCEN/Treasury

Notice of Proposed Rulemaking

Would allow sharing of bank with affiliates that are also subject to SAR rules

74 FR 10148
(3/9/2009)

Confidentiality of Suspicious Activity Reports

FinCEN/ Treasury

Notice of Proposed Rulemaking

Proposed clarification of statutory prohibition of disclosure of SARs

74 FR 10145
(3/9/2009)

Standards Governing the Release of a Suspicious Activity Report

Office of Thrift Supervision

Notice of Proposed Rulemaking

Proposes standards for release of a SAR

74 FR 10139
(3/9/2009)

Confidentiality of Suspicious Activity Reports

Office of Thrift Supervision

Notice of Proposed Rulemaking

Proposed clarification of statutory prohibition of disclosure of SARs

74 FR 10136
(3/9/2009)

Standards Governing the Release of a Suspicious Activity Report

Office of the Comptroller of the Currency/Treasury

Notice of Proposed Rulemaking

Proposes standards for release of a SAR

74 FR 10130
(3/9/2009)

Confidentiality of Suspicious Activity Reports

Office of the Comptroller of the Currency/ Treasury

Notice of Proposed Rulemaking

Proposed clarification of statutory prohibition of disclosure of SARs

73 FR 74010
(12/5/2008)

Exemptions from the Requirement to Report Transactions in Currency

FinCEN/Treasury

Final Rules

A continuation of FinCEN’s efforts to get banks to use the exemption system and thereby reduce CTR filings

73 FR 66414
(11/7/2008)

Transfer and Reorganization of Bank Secrecy Act Regulations

FinCEN/Treasury

Notice of Proposed Rulemaking and Request for Comments

FinCEN proposes to create a new Chapter X in Title 31 of the Code of Federal Regulations, with Parts 1000 through 1099, and thereby replace 31 CFR, Chapter 1, Part 103

73 FR 22101
(4/24/2008)

Exemptions From the Requirement to Report Transactions in Currency; Comment Request

FinCEN/ Treasury

Proposals to reduce CTR filing burden through increased use of exemptions

73 FR 22101 (4/24/2008) Proposed Amendments to
the Bank Secrecy Act Regulations—Exemptions From the Requirement To
Report Transactions in Currency
FinCEN/Treasury

Notice/Request for Comments
31 CFR 103.22 (proposed amendments to CTR exemption rules)

73 FR 21179
(4/18/2008)

Withdrawal of Notice of Proposed Rulemaking Against the Republic of Nauru

FinCEN/ Treasury

Proposal to impose fifth special measure withdrawn

73 FR 21178
(4/18/2008)

Withdrawal of Notice of the Finding of the Republic of Nauru as a Primary Money Laundering Concern

FinCEN/ Treasury

Withdrawal of Finding

Nauru no longer jurisdiction of primary money laundering concern under 31 U.S.C. 5318A

73 FR 19452
(4/10/2008)

Withdrawal of the Finding of Primary Money Laundering Concern and the Notice of Proposed Rulemaking Against First Merchant Bank

FinCEN/Treasury

Withdrawal of Finding and Notice of Proposed Rulemaking

Proposal to impose fifth special measure withdrawn

73 FR 1975 (1/11/2008) Financial Crimes Enforcement Network; Amendment Regarding
Financial Institutions Exempt from Establishing Anti-Money Laundering Programs
FinCEN/Treasury

Final Rule
31 CFR 103.170 (updating exemption provision to reflect that dealers in previous metals, stone, or jewels, and insurance companies, must have AML programs)
72 FR 63718 (11/9/2007) Identity Theft Red Flags and Address Discrepancies Under the Fair and Accurate Credit Transactions Act of 2003 Federal Reserve System, FDIC, Treasury, NCUA, FTC 12 CFR 41; 12 CFR 222; 12 CFR 334; 12 CFR 571: 12 CFR 717; 16 CFR 681
72 FR 44768
(8/9/2007)
Special Due Diligence Programs for Certain Foreign Accounts Treasury/FinCEN
Final Rule
31 CFR 103.176 (enhanced due diligence for certain foreign banks)
72 FR 35008
(6/26/2007)
Amendments to Bank Secrecy Act Regulations Regarding Casino Recordkeeping and Reporting Requirements Treasury/FinCEN
Final Rule
31 CFR 103.22 (amended); FinCEN Form 103 (revised)
72 FR 12730
(3/19/2007)
Imposition of Special Measure Against Banco Delta Asia, Including Its Subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited, as a Financial Institution of Primary Money Laundering Concern Treasury/ FinCEN

Final Rule
31 CFR 103.193 Special Measures Against Banco Delta Asia
71 FR 44351
(8/4/2006)
Currency Transaction Reports by Casinos - Nevada Treasury/ FinCEN

Notice/Request for Comments
Form available for review at http://www.fincen.gov/forms/fin103n_ctrc-n.pdf
71 FR 39554
(7/13/2006)
Imposition of Special Measure Against VEF Banka, as a Financial Institution of Primary Money Laundering Concern FinCEN/Treasury

Final Rule
31 CFR 103.192
71 FR 36720
(6/28/2006)
Filing Requirements for Suspicious Activity Reports National Credit Union Administration

Proposed Rule
12 CFR Part 748
71 FR 26220
(5/4/2006)
Obtaining Information from Financial Institutions Department of Defense

Final Rule
32 CFR Part 275
71 FR 26220
(5/4/2006)
Obtaining Information From Financial Institutions; Right to Financial Privacy Act of 1978 Department of Defense

Final Rule
32 CFR Part 275
71 FR 26213 (5/4/2006) Requirement That Mutual Funds Report Suspicious Transactions FinCEN/Treasury

Final Rule
31 CFR 103.15 (new, with previous 103.15 redesignated as 103.12), 103.16
71 FR 13260 (3/15/2006) Imposition of Special Measure Against Commercial Bank of Syria, Including Its Subsidiary, Syrian Lebanese Commercial Bank, as a Financial Institution of Primary Money Laundering Concern FinCEN/Treasury

Final Rule
31 CFR 103.188
71 FR 5631
(2/2/2006)
Obtaining Information from Financial Institutions Department of Defense

Proposed Rule
32 CFR Part 275
70 FR 33702 (6/9/2005) Anti-Money Laundering Programs for Dealers in Precious Metals, Stones, or Jewels FinCEN/Treasury

Interim Final Rule; Request for Comments
31 CFR 103.140
71 FR 16042 (3/30/2006) Libyan Sanctions Regulations, Angola
(UNITA) Sanctions Regulations, Rough
Diamonds (Liberia) Sanctions Regulations

OFAC
 
Final Rule
OFAC
 
Final Rule
31 CFR Parts 550, 590, 591 (removed)
71 FR 16040 (3/30/2006) Special Due Diligence
Programs for Certain Foreign Accounts
FinCEN/Treasury
 
Final Rule; extension of applicability dates
31 CFR 103.176(e)(1), 103.178(e)(1)
71 FR 14129 (3/21/2006) Proposed Amendments to Bank Secrecy Act Regulations Regarding Casino Recordkeeping and Reporting Requirements FinCEN/Treasury
 
Notice of Proposed Rulemaking
31 CFR 103.22(b)(2) (proposed revisions)
71 FR 13934
(3/20/2006)
International Banking Operations Board of Governors of the Federal Reserve System
 
Final Rule
12 CFR 211.5(m), 211.24(j) (revised provisions in Regulation K)
71 FR 13260 (3/15/2006) Imposition of Special Measure Against Commercial Bank of Syria, Including Its Subsidiary, Syrian Lebanese Commercial Bank, as a Financial
Institution of Primary Money Laundering Concern
FinCEN/Treasury
 
Final Rule
31 CFR 103.188, Special Measures Against Commercial Bank of Syria (new section)
71 FR 12308 (3/10/2006) Provision of Banking Services to Money Services Businesses FinCEN/Treasury
 
Advance Notice of Proposed Rulemaking
Issues for Comment
71 FR 5392   (2/1/2006) Self-Regulatory Organizations; New
York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment
No. 1 to the Proposed Rule Change To Amend Rule 445
SEC
 
Release 34-53176
NYSE Rule 445 (rule change approved by SEC)
71 FR 1994 (1/12/2006) Reporting and Procedures
Regulations: Cuban Assets Control
Regulations; Economic Sanctions
Enforcement Guidelines; Partial
Withdrawal
OFAC
 
Partial Withdrawal of Proposed Rule (see 68 FR 4422, 1/29/2003)
(proposed rule change withdrawn with respect to “banking institutions”)
71 FR 1971 (1/12/2006) Economic Sanctions Enforcement Procedures for Banking Institutions OFAC
 
Interim Final Rule/Request for Comments
31 CFR Part 501, Appendix A and Annexes (including OFAC Risk Matrices)
71 FR 632 (1/5/2006) Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving
Proposed Rule Change and
Amendment No. 1 Thereto Relating to
Amendments to NASD Rule 3011 and
the Adoption of New Related Interpretive Material
SEC
 
Release 34-53030
NASD Rul 3011 (rule change regarding independent testing approved)
71 FR 516
(1/4/2006)
Special Due Diligence Programs for Certain Foreign Accounts FinCEN, Treasury
 
Notice of Proposed Rulemaking
31 CFR 103.176 (proposed revision)

71 FR 496
(1/4/2006)

Special Due Diligence Programs for Certain Foreign Accounts FinCEN, Treasury
 
Final Rule

 

31 CFR 103.120, 103.175  (amended); 31 CFR 103.176, 103.178 (added); 31 CFR 103.181 – 183 (deleted)

70 FR 66895
(11/3/2005)

Comment Request; Suspicious Activity Report by Insurance Companies FinCEN

 

67 FR 67547 (4/29/2002) as corrected by 67 FR 68935 (11/14/2002) (deferral); 68 FR 8480 (2/21/2003) (notice of proposed rulemaking)

70 FR 66761
(11/3/2005)

Requirement That Insurance Companies Report Suspicious Transactions

FinCEN/Treasury

Final Rule
67 FR 64067 (10/17/2002) (Notice of Proposed Rulemaking)

70 FR 66754
(11/3/2005)

Anti-Money Laundering Programs for Insurance Companies

FinCEN/Treasury

Final Rule
67 FR 60625 (9/26/2002) (Notice of Proposed Rulemaking)
70 FR 55214
(9/20/2005)
Finding That Banco Delta Asia SARL Is
a Financial Institution of Primary
Money Laundering Concern
FinCEN, Treasury
 
Notice of Finding
 
70 FR 55217
(9/20/2005)
Imposition of Special Measure Against Banco Delta SARL FinCEN, Treasury
 
Notice of Proposed Rulemaking
30 CFR 103.193

70 FR 38994
(7/6/2005)

Self-Regulatory Organizations; NewYork Stock Exchange, Inc.; Notice ofFiling of Proposed Rule Change ToAmend Rule 445

Securities and Exchange Commission (Release 34-51934)

 

(Amendment to NYSE Rule 445 to establish timeframes for independent testing of AML programs)

70 FR 38990
(7/6/2005)

Self-Regulatory Organizations;National Association of SecuritiesDealers, Inc.; Notice of Filing ofProposed Rule Change Relating toAmendments to NASD Rule 3011 and the Adoption of New RelatedInterpretive Material

Securities and Exchange Commission (SEC Release 34-51935)

 

(amendment to NASD Rule 3011 relating to conduct of independent testing of AML programs)
70 FR 38567
(7/1/2005)
Blocking Property of Weapons of Mass Destruction Proliferators and Their Supporters Executive Order 13382  
70 FR 34348
(6/14/2005)
Terrorism Risk Insurance Program; Additional Claims Issues; Insurer Affiliates Treasury
 
Final Rule
31 CFR 50.5 (amended); 50.55 (finalized); wee 70 FR 2830 (proposed rulemaking)
70 FR 34521
(6/14/2005)
Customer Identification Programs for Futures Commission Merchants and Introducing Brokers FinCEN/Treasury

Notice and Request for Comments

68 FR 25149 (5/9/2005)
70 FR 21369
(4/26/2005)
Imposition of Special Measure Against VEF Banka FinCEN/Treasury

Notice of Proposed Rulemaking

Regulations/Issuances Added or Amended
70 FR 21362(4/26/2005) Imposition of Special Measure Against Multibanka FinCEN/Treasury

Notice of Proposed Rulemaking

Special measures against specific institution
70 FR 20204 (4/18/2005) Suspicious Activity Report by Money Services Business FinCEN/Treasury

Notice and Request for Comments

Proposed MSB SAR replacement for TD F 90-22.56
70 FR 7403
(2/14/2005)
Terrorism Risk Insurance Program; Technical Amendments to “Make Available” Provisions and “Insurer Deductible” Definition Treasury
 
Final Rule
31 CFR 50.5, 50.20, 50.21 (amended)
70 FR 2830
(1/18/2005)
Terrorism Risk Insurance Program; Additional Claims Issues; Insurer Affiliations Treasury
 
Notice of Proposed Rulemaking
Proposed 31 CFR 50.55
69 FR 77320
(12/27/2004)
Proposed Collection; Comment Request; Money Services Business Survey FinCEN/Treasury FinCEN survey will update 1997 Coopers & Lybrand study of the MSB industry
69 FR 77316
(12/27/2004)
Agency Information Collection Activities; Proposed Collection; Comment Request; Designation of Exempt Person FinCEN/Treasury

Notice and request for comments

Proposed revision of FinCEN Form 110: Designation of Exempt Person
69 FR 76847
(12/23/2004)
Interpretive Release No. 2004-02: Unitary Filing of Suspicious Activity Reports FinCEN Unitary filing with OFAC approved
69 FR 76033
(12/20/2004)
Agency Information Collection Activities FinCEN/Treasury Extension of collection notice
69 FR 76030
(12/20/2004)
Agency Information Collection Activities FinCEN/Treasury Extension of information collection
69 FR 74439
(12/14/2004)
Interpretive Release 2004-1—Anti-Money Laundering Program Requirements for Money Services Businesses With Respect to Foreign Agents or Foreign Counterparties

FinCEN/Treasury

Final rule; interpretive release

Interpretation of 31 CFR 103.125 (AML programs of MSBs)
69 FR 51979
(8/24/2004)
Amendment to BSA Regulations—Imposition
of Special Measure Against First Merchant Bank OSH Ltd, Including Its Subsidiaries, as a Financial Institution of Primary Money
Laundering Concern
FinCEN/Treasury

Notice of Proposed Rulemaking

Special measures against specific institution
69 FR 51973
(8/24/2004)
Amendment to BSA Regulations: Imposition of Special Measure Against Infobank as a Financial Institution of Primary Money Laundering Concern FinCEN/Treasury

Notice of proposed rulemaking

Special measures against specific institution
69 FR 44932 (7/28/2004) Terrorism Risk Insurance Program; Litigation Management Treasury
Final Rule
31 CFR 50.80 – 84; see 69 FR 25341 (proposed rulemaking)
69 FR 39296
(6/29/2004)
Terrorism Risk Insurance Program; Claims Procedures Treasury
Final Rule
31 CFR 50.50 - 54
69 FR 28098 (5/18/2004) Imposition of a Special Measure Against
Commercial Bank of Syria, Including
Its Subsidiary, Syrian Lebanese Commercial Bank, as a Financial
Institution of Primary Money Laundering Concern
FinCEN/Treasury
 
Notice of Proposed Rulemaking
31 CFR 103.188 (proposed)
69 FR 25341
(5/6/2004)
Terrorism Risk Insurance Program; Litigation Management Treasury
 
Notice of Proposed Rulemaking
Proposed 31 CFR 50.80 - 84

69 FR 25168
(5/5/2004)

Treasury’s Decision to Extend the Terrorism Risk Insurance Act’s “Make Available” Requirement Treasury
 
Notice; Request for Comments
Comments requested on Effectiveness of Make Available Requirement
69 FR 19098
(4/12/2004)
Imposition of Special Measures Against Myanmar Mayflower Bank and Asia Wealth Bank

FinCEN/Treasury

Final Rule

31 CFR 103.187, Special Measures Against Myanmar Mayflower Bank and Asia Wealth Bank
69 FR 19093
(4/12/2004)
Imposition of Special Measures Against Burma

FinCEN Treasury

Final Rule

31 CFR 103,186, Special Measures Against Burma
69 FR 18999
(4/9/2004)
Report of International Transportation of Currency or Monetary Instruments – Accompanied by an Individual, FinCEN Form 105 (CMIR Form 105)), and Report of International Transportation of Currency or Monetary Instruments – Shipment, Mailing, or Receipt, FinCEN Form 106 (CMIR Form 1066)

FinCEN

Notice and Request for Comments

FinCEN Form 105, Report of International Transportation of Currency or Monetary Instruments – Accompanied by an Individual; FinCEN Form 1006, Report of International Transportation of Currency or Monetary Instruments – Shipment, Mailing, or Receipt
69 FR 4237 (1/29/2004) Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement That Futures Commission Merchants and Introducing Brokers in Commodities Report FinCEN/Treasury

Final Rule; Corrections
31 CFR 103.11
68 FR 65392
(11/20/2003)
Financial Crimes Enforcement Network; Amendments to the Bank Secrecy Act Regulations; Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement That Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions FinCEN/Treasury

Final Rule

31 CFR 103.11, Meaning of Terms (amended); 31 CFR 103.17 Reports of futures commission merchants and introducing brokers in commodities of suspicious transactions; 31 CFR 103.56, Enforcement (amended)
68 FR 59720
(10/17/2003)
Terrorism Risk Insurance Program; Disclosures and Mandatory Availability Requirements Departmental Offices, Treasury

Final Rule

31 CFR 50.12 Clear and Conspicuous Disclosure; 50.14, Separate Line Item; 50.18, Disclosure Required by Reinstatement Provision; 50.21, Make Available (all amended)
68 FR 59715
(10/17/2003)
Terrorism Risk Insurance Program; State Residual Market Insurance Entities Departmental Offices, Treasury

Final Rule

31 CFR 50.19, General Disclosure Requirements for State Residual Market Insurance Entities and State Worker’s Compensation Funds; 50.30, General Participation Requirements; 50.36, Allocation of Premium Income Associated With Entities That Do Share Profits and Losses With Private Sector Insurers
68 FR 55335
(9/25/2003)
Customer Identification Programs for Financial Institutions Treasury

Disposition of Comments and Termination of Inquiry
Over 34,000 comments received on customer identification rules; Treasury deems no changes to final rules warranted.
68 FR 55309

(9/25/2003)
Financial Crimes Enforcement Network; Freedom of Information Act, Privacy Act of 1974; Implementation Treasury

Final Rule
31 CFR Part 1, Subpart A, Freedom of Information Act, Appendix M, Financial Crimes Enforcement Network (new); Subpart C, Privacy Act (amended)
68 FR 41250

(7/11/2003)
Terrorism Risk Insurance Program Treasury Final Rule 31 CFR 50.2, Responsible Office; 50.5 (Definitions amended); 50.8, Procedure for requesting determination of controlling influence; 50.9, Procedure for requesting general interpretations of statute
68 FR 34196

(6/6/2003)
Global Terrorism Sanctions Regulations OFAC

Interim Final Rule
31 CFR Part 594 (new Part to sanctions regulations)
68 FR 32434 (5/30/2003) International Banking Operations Board of Governors of the Federal Reserve System
 
Notice of Proposed Rulemaking
12 CFR 211.5(m), 211.24(j) (new provisions proposed)
68 FR 32434

(5/30/2003)
International Banking Operations Federal Reserve

Notice of Proposed Rulemaking
12 CFR 211.5(m) (Edge and Agreement corporations to establish AML programs); 211.24(j) (amended)
68 FR 26489

(5/16/2003)

 

 
Financial Crimes Enforcement Network; Delegation of Enforcement Authority Regarding the Foreign Bank Account Report Requirements FinCEN

Final Rule
31 CFR 103.56(g) (delegation to IRS)
68 FR 25163

(5/9/2003)
Financial Crimes Enforcement Network; Customer Identification Programs for Certain Banks Lacking a Federal Functional Regulator FinCEN

Notice of Proposed Rulemaking
(FinCEN believes 31 CFR 103.121 should apply to all banks, see 68 FR 25090)

68 FR 25149

(5/9/2003)

 
Customer Identification Programs for Futures Commission Merchants and Introducing Brokers CFTC, FinCEN

Joint Final Rule
31 CFR 103.123, Customer identification programs for futures commission merchants and introducing brokers
68 FR 25131

(5/9/2003)

 
Customer Identification Programs for Mutual Funds SEC, FinCEN

Joint Final Rule
31 CFR 103.131, Customer identification programs for mutual funds
68 FR╩25113

(5/9/2003)
Customer Identification Programs for Broker-Dealers SEC, FinCEN

Joint Final Rule
31 CFR 103.35 (amended); 103.122, Customer identification programs for broker-dealers
68 FR 25090

(5/9/2003)
Customer Identification Programs for Banks, Savings Associations, Credit Unions and Certain Non-Federally Regulated Banks FinCEN, OCC, Federal Reserve, FDIC, OTS, NCUA

Joint Final Rule
31 CFR 103.11 (amended); 31 CFR 103.34 (amended); 103.121, Customer Identification Programs for banks, savings associations, credit unions, and certain non-Federally regulated banks; 12 CFR 21.21, 208.63, 211.5, 211.24, 326.8, 563.177, 748l. 2 (all revised)
68 FR╩23653

(5/5/2003)
Financial Crimes Enforcement Network; Proposed Amendments to the Bank Secrecy Act Regulations;

Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions;

Requirement That Futures Commission Merchants and Introducing Brokers in Commodities Report Suspicious Transactions
FinCEN Notice of Proposed Rulemaking 31 CFR 103.11(f), (n) (financial institutions include FCMs and introducing brokers in commodities); 103.17, Reports by futures commission merchants and introducing brokers in commodities of suspicious transactions; 103.56(b)(9) (enforcement with CFTC)
68 FR 23646

(5/5/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Investment Advisers FinCEN

Proposed Rule
31 CFR 103.56(b)(6) (enforcement authority over investment advisers given to SEC); 103.150, Anti-money laundering programs for investment advisers; Appendix D to Subpart I of Part 103, Unregistered Investment Advisers Notice for Purposes of 31 CFR 103.150(d)
68 FR 23640

(5/5/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Commodity Trading Advisors FinCEN

Notice of Proposed Rulemaking
New 31 CFR 103.56(b)(8) and (9) (CFTC given examination authority over FCMs, introducing brokers, commodity pool operators, commodity trading advisors); 31 CFR 103.133, Anti-money laundering programs for commodity trading advisors
68 FR 19309

(4/18/2003)
Terrorism Risk Insurance Program (2 releases)

Depart-mental Offices, Treasury

Notice of Proposed Rulemaking by Cross-Reference to Interim Final Rule/Notice of Proposed Rulemaking
 
68 FR 19302

(4/18/2003)
Terrorism Risk Insurance Program Depart-mental Offices, Treasury

Interim Final Rule With Request for Comments
31 CFR 50.10, General disclosure requirements; 50.11, Definition; 50.12, Clear and conspicuous disclosure; 50.13, Offer, purchase, and renewal; 50.14, Separate line item; 50.17, Use of model forms; 50.18, Disclosure required by reinstatement provision; 50.19, Disclosure of State residual market insurance entities and State workersÔ compensation funds; 50.20, General mandatory availability requirements; 50.21, Make available; 50.23, No material difference from other coverage; 50.24, Applicability of State law requirements
68 FR 18917

(4/17/2003)

Financial Crimes Enforcement Network; Imposition of Special Measures Against the Country of Nauru FinCEN

Notice of Proposed Rulemaking
31 CFR 103.184, Special measures against Nauru
68 FR 17809

(4/11/2003)
Interagency Paper on Sound Practices To Strengthen the Resilience of the U.S. Financial System Federal Reserve, OCC, SEC  
68 FR 17569

(4/10/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Program Requirements for ŃPersons Involved in Real Estate Closing and Settlementsń FinCEN

Advance Notice of Proposed Rulemaking
Issues posed as questions for comment
68 FR 15039

(3/27/2003)
Departmental Offices; Interim Guidance Providing Procedure for Rebuttal of Presumption of Control of an Insurer for Purposes of the Terrorism Risk Insurance Program Depart-mental Offices, Treasury

Notice
Procedure for Rebutting Presumption of Control
68 FR 11617

(3/11/2003)
Financial Crimes Enforcement Network; Agency Information Collection Activities; Submission for OMB Review: Comment Request; Suspicious Activity Report FinCEN, OCC OTS, Federal Reserve, FDIC, NCUA

Submission for OMB Review; Joint Comment Request
Suspicious Activity Report (July 2003)
68 FR 10965

(3/7/2003)
Notice of Expiration of Conditional Exception to Bank Secrecy Act Regulations Relating to Orders for Transmittal of Funds by Financial Institutions FinCEN

Expiration of Conditional Exception; Request for Comments
Expiration of CIF Exception╩to 31 CFR 103.33(g) (see 63 FR 3640)
68 FR 9815

(2/28/2003)
Departmental Offices; Terrorism Risk Insurance Program Depart-mental Offices, Treasury

Notice of Proposed Rulemaking
Proposal to adopt interim final rule as final (see 68 FR 9804)
68 FR 9804

(2/28/2003)
Departmental Offices; Terrorism Risk Insurance Program Depart-mental Offices, Treasury

Interim Final Rule With Request for Comments
31 Part 50, Terrorism Risk Insurance Program: 31 CFR 50.1, Authority, purpose and scope; 50.4, Mandatory participation in Program; 50.5, Definitions; 50.6, Rules of construction for dates; 50.7, Special rules for Interim Guidance safe harbors
68 FR 8571

(2/24/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Travel Agencies FinCEN

Advance Notice of Proposed Rulemaking
Issues posed as questions for comment
68 FR 8568

(2/24/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Businesses Engaged in Vehicle Sales FinCEN

Advance Notice of Proposed Rulemaking
Issues posed as questions for comment
68 FR 8480

(2/21/2003)
Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Dealers in Precious Metals, Stones, or Jewels FinCEN

Notice of Proposed Rulemaking
31 CFR 103.140, Anti-money laundering programs for dealers in precious metals, precious stones, or jewels
68 FR 6613

(2/10/2003)
Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations¸Requirement That Currency Dealers and Exchangers Report Suspicious Transactions FinCEN

Final Rule
31 CF 103.19 (amended to replace SAR-BD references with SAR-SF); 31 CFR 103.20, Reports of money services businesses of suspicious transactions
68 FR 6820

(2/11/2003)
Rules Governing Availability of Information OFAC

Final Rule
31 CFR 501.805 (see 67 FR 41658)

 
68 FR 4422

(1/29/2003)
Reporting and Procedures
Regulations; Cuban Assets Control
Regulations: Publication of Economic
Sanctions Enforcement Guidelines
OFAC
 
Proposed Rule/Request for Comments
31 CFR Part 501, Appendix: Economic Sanctions Enforcement Guidelines, Part 515, Appendix: Cuba Travel-Related and Certain Other Violations of 31 CFR Part 515 (proposed)
68 FR 4544

(1/29/2003)
Interim Guidance Concerning Certain Conditions for Federal Payment, Non-U.S. Insurers, and Scope of Insurance Coverage in the Terrorism Risk Insurance Act of 2002 Departmental Offices, Treasury

Notice
Guidance in Q&A format
68 FR 2716

(1/21/2003)
Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations¸Requirement That Mutual Funds Report Suspicious Transactions FinCEN

Notice of Proposed Rulemaking
31 CFR 103.15, Reports by mutual funds of suspicious transactions

SUBSCRIBERS ONLY:
[USA Patriot Act Monitors] [Compliance Tools]
[Federal Register: 2008-2003 2002 2001 2000-1996]
[Money Laundering, Terrorism & Financial Institutions Online]
[Legislative Materials] [Agency Reports: GAO Treasury]