The Broker-Dealers (FINRA Rule 3310) compliance problem
For FINRA member broker-dealers and their AML officers, the recurring challenge is meeting FINRA Rule 3310 expectations for customer due diligence, suspicious-activity monitoring, and sanctions screening while FINRA keeps fining firms over AML programs that miss red flags in low-priced securities. Static, single-source screening tools leave that gap open; AMLX closes it with a live, correlated intelligence layer.
What Broker-Dealers (FINRA Rule 3310) teams get
- Sanctions, PEP, and adverse-media screening at account opening and on omnibus-account counterparties
- Red-flag research on issuers, promoters, and customers trading low-priced or small-cap securities
- Documented, exportable findings to support SAR decisions and FINRA exam requests
Why AMLX
AMLX correlates sanctions lists, PEP registers, court records, and open-source adverse media automatically — so connections between records surface without manual cross-referencing. Start on the Free tier; upgrade to Pro for the Supreme high-confidence feed slice, watchlists, alert rules, and case management when your team is ready.
Regulators are raising the bar on documented, risk-based screening. Create your free account →
Regulatory changes Broker-Dealers (FINRA Rule 3310) teams should know
- FinCEN's 2026 AML/CFT Program Rule Overhaul — FinCEN has proposed a fundamental, risk-based reform of AML/CFT program requirements for every BSA-covered financial institution.
- FINRA AML Priorities & Enforcement in 2026 — FINRA's 2026 oversight report and a string of 2026 fines show where broker-dealer AML programs are failing — and what examiners will test next.
Frequently asked questions
How does AMLX help FINRA member broker-dealers and their AML officers?
AMLX gives FINRA member broker-dealers and their AML officers a live, correlated view across sanctions, PEP, and adverse-media data, solving for meeting FINRA Rule 3310 expectations for customer due diligence, suspicious-activity monitoring, and sanctions screening while FINRA keeps fining firms over AML programs that miss red flags in low-priced securities.
Is there a free tier?
Yes. The Free tier includes the full live threat map, search, and risk-score index. Pro adds the Supreme high-confidence feed slice, watchlists, alert rules, and case management.