Regulation & Compliance

Homeland Security

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On May 9, the United States Department of the Treasury ("Treasury") and the Securities and Exchange Commission ("SEC") released a joint final rule to require broker-dealers to establish procedures to verify the identity of new accountholders (68 Fed. Reg. 25113, the "Final Rules"). The Final Rules implement section 326 of the USA Patriot Act, and broker-dealers must comply with the Rules by October 1, 2003.



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