Money Laundering, Terrorism and Financial Institutions - USA Patriot Act Monitor
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Federal Register Citation 2002
Title of Issuance
Agency/
Status
Regulations/Issuances
Added or Amended

67 FR 78859

(12/26/2002)

Departmental Offices Designation of Nauru and Ukraine as Primary Money Laundering Concern

Departmental Offices, Treasury

 

67 FR 78864

(12/26/2002)

Interim Guidance Concerning Definition of Insurers, Scope of Insurance Coverage, and Disclosures Mandated by the Terrorism Risk Insurance Act of 2002 Treasury

Notice

Interim guidance in Q&A format

67 FR 78383

(12/24/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Requirements—Correspondent Accounts for Foreign Shell Banks; Recordkeeping and Termination of Correspondent Accounts for  Foreign Banks

FinCEN

Final Rule

31 CFR 103.177(d) (amended)

67 FR 76206

(12/11/2002)

Interim Guidance Concerning New Statutory Disclosure and Mandatory Availability Requirements of the Terrorism Risk Insurance Act of 2002 Treasury

Notice

Interim guidance in Q&A format

67 FR 68935_352

(11/14/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Financial Institutions; Correction

FinCEN

Interim Final Rule; Correction

(paragraphs redesignated)

67 FR 68540

(11/12/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Insurance Companies; Correction

FinCEN

Proposed Rule; Correction

(correction of comment period termination date)

67 FR  67547

(11/6/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Financial Institutions

FinCEN

Amendment to Interim Final Rule

31 CFR 103.170, Exempted anti-money laundering programs for certain financial institutions

67 FR 67239

(11/4/2002)

Agency Information Collection Activities; Proposed Collection; Comment Request; Suspicious Activity Report by Financial Institutions

FinCEN, OCC, OTS, Federal Reserve, FDIC, NCUA

Suspicious Activity Reportmso-bidi-font-size: 9.0pt'> (proposed revisions to form)

67 FR 64697

(10/31/2002)

Treasury Order 180-01; Financial Crimes Enforcement Network

Treasury

FinCEN re-established as bureau in Department of Treasury

67 FR 64075

(10/17/2002)

Financial Crimes Enforcement Network: Amendment to the Bank Secrecy Act Regulations—Requirement That Currency Dealers and Exchangers Report Suspicious Transactions

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.20, Reports by money services businesses of suspicious transactions (proposed amendment by adding cross-references to 31 CFR 103.11)

67 FR 64067

(10/17/2002)

Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations—Requirement That Insurance Companies Report Suspicious Transactions

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.16, Reports by insurance companies of suspicious transactions

67 FR 60731

(9/26/2002)

Financial Crimes Enforcement Network; Proposed Collection; Comment Request; Suspicious Activity Report by Casinos (SARC)

FinCEN

Notice and Request for Comments

TD F 90-22.49, Suspicious Activity Report by Casinos and Card Clubs

 

67 FR 60722

(9/26/2002)

Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations—Requirement That Casinos and Card Clubs Report Suspicious Transactions

FinCEN

Final Rule

31 CFR 103.11 (ii) (“Transaction”); 103.21, Reports by casinos of suspicious transactions; 103.64, Special rules for casinos (amended)

67 FR 60625

(9/26/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Insurance Companies

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.177, Anti-money laundering programs for insurance companies

67 FR 60617

(9/26/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Unregistered Investment Companies

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.132; Appendix C to Subpart I of Part 103—Unregistered Investment Companies; Notice for Purposes of 31 CFR 103.132(d)

67 FR 60579

(9/26/2002)

Financial Crimes Enforcement Network; Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity

FinCEN

Final Rule

31 CFR 103.90, Definitions; 103.100, Information sharing between Federal law enforcement agencies and financial institutions; 103.110, Voluntary information sharing among financial institutions; Appendix A to Subpart H—Notice for Purposes of Subsection 314(b) of the USA Patriot Act and 31 CFR 103.110

67 FR 60562

(9/26/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Requirements—Correspondent Accounts for Foreign Shell Banks; Recordkeeping and Termination of Correspondent Accounts for Foreign Banks

FinCEN

Final Rule

31 CFR 103.175, Definitions; 103.177, Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process; Law Enforcement Access to Foreign Bank Records (centerheading preceding 103.185); 103.185, Summons or subpoena of foreign bank records; Termination of correspondent relationship; Appendix A to Subpart I of Part 103—Certification Regarding Correspondent Accounts for Foreign Banks; Appendix B to Subpart I of Part 103—Recertification Regarding Correspondent Accounts for Foreign Banks

67 FR 50751

(8/5/2002)

Financial Crimes Enforcement Network; Proposed Collection; Comment Request; Suspicious Activity Report by the Securities and Futures Industry

Treasury

Notice and Request for Comments

TD F 90-22.XX, Suspicious Activity Report by the Securities and Futures Industry

67 FR 48348

(7/23/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs; Special Due Diligence Programs for Certain Foreign Accounts

FinCEN

Interim Final Rule

Special Due Diligence for Correspondent Accounts and Private Banking Accounts (centerheading preceding 103.181): 31 CFR 103.181, Special due diligence programs for banks, savings associations, and credit unions; 103.182, Special due diligence programs for securities brokers and dealers, futures commission merchants, and introducing brokers; 103.183, Deferred due diligence programs for other financial institutions

67 FR 48328

(7/23/2002)

Customer Identification Programs for Futures Commission Merchants and Introducing Brokers

CFTC, FinCEN

Joint Notice of Proposed Rulemaking

31 CFR 103.123, Customer Identification Programs for futures commission merchants and introducing brokers

67 FR 48318

(7/23/2002)

Customer Identification Programs for Mutual Funds

SEC, FinCEN

Joint Notice of Proposed Rulemaking

 

31 CFR 103.131, Customer identification programs for mutual funds

67 FR 48306

(7/23/2002)

Customer Identification Programs For Broker-Dealers

SEC

Joint Notice of Proposed Rulemaking

31 CFR 103.122, Customer identification programs for broker-dealers

67 FR 48299

(7/23/2002)

Financial Crimes Enforcement Network; Customer Identification Programs for Certain Banks (Credit Unions, Private Banks and Trust Companies) That Do Not Have a Federal Functional Regulator

FinCEN

Notice of Proposed Rulemaking

Same rules as specified under proposed 31 CFR 103.121 (67 FR 48290) would apply to institutions without Federal functional regulator

67 FR 48290

(7/23/2002)

Customer Identification Programs for Banks, Savings Associations, and Credit Unions

FinCEN, OCC, Federal Reserve, FDIC,  OTS, NCUA

Joint Notice of Proposed Rulemaking

31 CFR 103.11 (amended); 103.34 (amended); 103.121, Customer Identification Programs for banks, savings associations and credit unions

67 FR 44048

(7/1/2002)

Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations—Requirement that Brokers or Dealers in Securities Report Suspicious Transactions

FinCEN

Final Rule

31 CFR 103(11)(ii) (“Transaction”); 103.11(ww) (“Security”); 103.19, Reports by brokers or dealers in securities of suspicious transactions

67 FR 41658

(6/19/2002)

Rules Governing Availability of Information

OFAC

Proposed rule; request for comments

31 CFR 501.805, Rules governing availability of information

67 FR 40366

(6/12/2002)

Self Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Adopting Phlx Rule 757, Anti-Money Laundering Compliance Program

SEC

Release No. 34-46041

Approval of change to Philadelphia Stock Exchange Rule 757, Anti-Money Laundering Compliance Program

67 FR 37736

(5/30/2002)

Financial Crimes Enforcement Network; Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.120 (amended); Special Due Diligence for Correspondent Accounts and Private Banking Accounts (centerheading preceding 103.175): 103.175, Definitions; 103.176, Due diligence programs for correspondent accounts for foreign financial institutions; 103.178, Due diligence programs for private banking accounts for non-U.S. persons. Law Enforcement Access to Foreign Bank Records: 103.185, Summons or subpoena

67 FR 32072

(5/13/2002)

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Futures Association Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program (SEC Release No. 34-45887)

SEC

Description of National Futures Exchange Compliance Rule 2-9 and Interpretive Notice Regarding Futures Commission Merchants and Introducing Brokers Anti-Money Laundering Program

67 FR 21121

(4/29/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Operators of Credit Card System

FinCEN

Interim Final Rule

31 CFR 103.135, Anti-money laundering programs for operators of credit card systems

67 FR 21117

(4/29/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Mutual Funds

FinCEN

Interim Final Rule

31 CFR 103.56(b)(6) (SEC enforcement authority); 103, 120, Anti-money laundering programs for mutual funds

67 FR 21114

(4/29/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Money Services Businesses

FinCEN

Interim Final Rule

31 CFR 103.125

67 FR 21110

(4/29/2002)

Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Financial Institutions

FinCEN

Interim Final Rule

31 CFR 103.120, Anti-money laundering program requirements for financial institutions regulated by a Federal functional regulator or self regulatory organization; 103.170, Deferred anti-money laundering programs for financial institutions regulated by a federal functional regulator or self-regulatory organization, and casinos

67 FR 20854

(4/16/2002)

Self-Regulatory Organizations: National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc.; Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs

SEC

Release No. 34-45798

(SEC approval of NASD Rule 301, NYSE Rule 445, Anti-Money Laundering Compliance Program;

see 67 FR 8565, 67 FR 10463)

67 FR 15281

(3/29/2002)

Financial Crimes Enforcement Network Proposed Collection; Comment Request

FinCEN

Notice and Request for Comments

FinCEN Form 8300, Report of Cash Payments over $10,000 Received in a Trade or Business (joint form to satisfy tax information reporting under 26 USC 6050I and information reporting under 31 USC 5331)

67 FR 15138

(3/29/2002)

Amendments to the Bank Secrecy Act Regulations; Requirement That Casinos and Card Clubs Report Suspicious Transactions; Request for Additional Comments

FinCEN

Proposed Regulations; Reopening of Comment Period and Request for Additional Comments

(see 63 FR 27230)

67 FR 10463

(3/7/2002)

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Adopt NYSE Rule 445, Anti-Money Laundering Compliance Program

 

SEC

Release No. 34-45487 (2/26/2002)

NYSE 445, Anti-Money Laundering Compliance Program

67 FR 9879

(3/4/2002)

Financial Crimes Enforcement Network; Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity (proposed rule)

FinCEN

Notice of Proposed Rulemaking

31 CFR 103.90, Definitions; 103.100, Information sharing with federal law enforcement agencies; 103.110, Voluntary information sharing among financial institutions

67 FR 9874

(3/4/2002)

Financial Crimes Enforcement Network; Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity (interim rule)

FinCEN

Interim Rule

31 CFR 103.90, Definitions; 103.110, Voluntary information sharing among financial institutions; Appendix B to Part 103—Certification for Purposes of Section 314(b) of the USA Patriot Act and 31 CFR 103.110

67 FR 9031

(2/27/2002)

Financial Crimes Enforcement Network; Proposed Collection; Comment Request; Suspicious Activity Report by Money Services Businesses

FinCEN

Notice and Request for Comments

TD F 90-22.56, Suspicious Activity Report by Money Services Business

67 FR 8565

(2/25/2002)

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Anti-Money Laundering Compliance Program

SEC

Release No. 34-45457 (2/19/2002)

NASD Rule 3011, Anti-Money Laundering Compliance Program

67 FR 4492

(1/30/2002)

Telemarketing Sales Rule

FTC

Notice of Proposed Rulemaking

16 CFR Part 310, Telemarketing Sales Rule (various amendments in part to implement USA PATRIOT Act § 1011 regarding charitable fund-raising)

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