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Several statutory and regulatory provisions, and related rules of the securities self-regulatory organizations (SROs), impose AML obligations on broker-dealers.A wealth of related AML guidance materials is also available.

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In addition, please note that in July 2007, the SEC approved the establishment of the Financial Industry Regulatory Authority (FINRA).Among other things, the USA PATRIOT Act amended and strengthened the BSA.It imposed a number of AML obligations directly on broker-dealers, including: Section 352 of the USA PATRIOT ACT amended the BSA to require financial institutions, including broker-dealers, to establish AML programs.Among other things, it authorizes the Secretary of the Treasury (Treasury) to issue regulations requiring financial institutions (including broker-dealers) to keep records and file reports on financial transactions that may be useful in investigating and prosecuting money laundering and other financial crimes.

The Financial Crimes Enforcement Network (Fin CEN), a bureau within Treasury, has regulatory responsibilities for administering the BSA.

Rule 17a-8 under the Securities Exchange Act of 1934 (Exchange Act) requires broker-dealers to comply with the reporting, recordkeeping, and record retention rules adopted under the BSA.