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#87003 - 06/11/03 11:44 AM CIP
upstateNY Offline
Platinum Poster
Joined: Apr 2003
Posts: 933
New York State
Sorry if I'm being dense. I keep reading that Treasury issued CIP rules for broker/dealers. But, I can't find them. Can anyone tell me where to go (Be careful now)?

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#87004 - 06/11/03 12:06 PM Re: CIP
JimK Offline
100 Club
Joined: Oct 2002
Posts: 107
Alexandria, VA
The regs were published on May 9 in Fed. Reg. begining at page 25113.
_________________________
Jim K

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#87005 - 06/11/03 01:11 PM Re: CIP
Sam Ott Offline
Power Poster
Sam Ott
Joined: May 2001
Posts: 3,573
Norman, Ok, USA
The BOL Top Stories for May 9 have the link to the CIP Rules in the Federal Register.
_________________________
Sam Ott
Associate Editor
BankersOnline.com

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#87006 - 06/11/03 02:41 PM Re: CIP
KSK Offline
Gold Star
KSK
Joined: Jul 2001
Posts: 357
Kansas
Follow the link that Sam provided. Then scroll down to the items for 05/09/2003 and you will see the CIP Rules. Click the hyperlink there to the Federal Register. In that federal register, you will see that the CIP rules issued by the Treasury were codified by the SEC at:
    17 CFR Part 270 and 31 CFR Part 103

That will be your citation for the broker/dealer requirements.

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