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78 SEC Docket 1 (2002-2003)

handle is hein.journals/secdoc78 and id is 1 raw text is: CCH SEC DOCKET Volume 78, Issue No. 1 September 3, 2002 Releases in this Volume Release No. Page Securities Act of 1933: 8112 ............................. . 5 Securities Exchange Act of 1934: 46097A ...................... 16 :46191-46229 ........ 16 Public Utility Holding Company Act: 27550-27551 ............. 99 Trust Indenture Act of 1939: 2400 ............................ 106 Investment Advisers Act of 1940: 2044 ........................ 106 Investment Company Act of 1940: 25657-25666 ............... 124 Litigation: 17608-17622 .................................. 159 Accounting and Auditing Enforcement: 1592-1597 ............. 167 Privacy Act of 1974: 32 .................................... 167 This listing covers releases issued from 07/12/2002-07/18/2002. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEMS PROPOSED RULES 34-46192 S7-25-02 Customer Identification Programs for Broker-Dealers The Department of the Treasury, through the Financial Crimes Enforcement Network, and the Securities and Exchange Commission jointly issued a proposed regulation to imple- ment section 326 of the Uniting and Strengthening America by Providing Appropriate Tools Required to In- tercept and Obstruct Terrorism Act of 2001. Section 326 requires the Secretary of the Treasury to jointly prescribe with the Securities and Exchange Commission a regulation that, at a minimum, requires broker-dealers to implement reasonable procedures to verify the identity of any person seeking to open an account, to the extent reasonable and practicable; maintain records of the information used to verify the person's identity; and determine whether the person appears on any lists of known or suspected terrorists or terrorist organizations provided to the broker-dealer by any government agency. IA-2044

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