Series 7: 3.6.40 Rule G-41—Anti–Money Laundering Compliance Program

Taken from our Series 7 Top-off Online Guide

3.6.40   G-41—Anti–Money Laundering Compliance Program

Every broker-dealer must establish and implement an anti–money laundering compliance program consistent with the rules and regulations of the Bank Secrecy Act.

Since you're reading about Series 7: 3.6.40 Rule G-41—Anti–Money Laundering Compliance Program, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!