GroundRules
31 CFR 1023.600: General.
Where this section sits in the code
- Title 31—Money and Finance: Treasury
- Subtitle B—Regulations Relating to Money and Finance
- CHAPTER X—FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY
- PART 1023—RULES FOR BROKERS OR DEALERS IN SECURITIES
- Subpart F—Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities
Brokers or dealers in securities are subject to the special standards of diligence; prohibitions; and special measures requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart F of part 1010 of this chapter for special standards of diligence; prohibitions; and special measures contained in that subpart which apply to brokers or dealers in securities.
Collected 2026-08-27T02:25:25Z. Source file · JSON