Lori Patterson

Lori Patterson

Baker Donelson

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SEC and FinCEN Propose Customer Identification Rule for Registered Investment

The Securities Exchange Commission (SEC) and the U.S. Department of Treasury's Financial Crimes Enforcement Network (FinCEN) issued a proposed rule on May 13, 2024 (Proposed Rule), which could have sweeping effects on the...more

5/23/2024  /  CIP , Exempt Reporting Advisers (ERAs) , Financial Institutions , Financial Markets , FinCEN , Investment Adviser , Proposed Rules , Securities and Exchange Commission (SEC)
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