Fillable FIN - 2008 - G002 - FinCEN - fincen

Description
FIN-2008-G002 Issued: March 4, 2008 Subject: Customer Identification Program Rule No-Action Position Respecting Broker-Dealers Operating Under Fully Disclosed Clearing Agreements According to Certain Functional Allocations In the securities brokerage industry, certain broker-dealers ("introducing firms") enter into clearing agreements with other broker-dealers ("clearing firms") according to...
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