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TREAS/FINCEN RIN: 1506-AB10 Publication ID: Fall 2019 
Title: Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Investment Advisers 
Abstract:

FinCEN is issuing this rule to prescribe minimum standards for anti-money laundering programs to be established by certain investment advisers and to require such investment advisers to report suspicious activity to FinCEN pursuant to the Bank Secrecy Act.

 
Agency: Department of the Treasury(TREAS)  Priority: Economically Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Yes  Unfunded Mandates: No 
EO 13771 Designation: Regulatory 
CFR Citation: 31 CFR 103   
Legal Authority: 12 U.S.C. 1829(b)    12 U.S.C. 1951 to 1959    31 U.S.C. 5311 to 5314    31 U.S.C. 5316 to 5332   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/01/2015  80 FR 52680   
NPRM Comment Period End  11/02/2015 
Final Action  03/00/2020 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
FinCEN Resource Center
Department of the Treasury
Financial Crimes Enforcement Network
P.O. Box 39,
Vienna, VA 22183
Phone:800 767-2825
Email: frc@fincen.gov