(1) An Anti-Money Laundering Rule for Investment Advisors in ... - Guidehouse. https://guidehouse.com/insights/financial-crimes/2022/aml-investment-advisors/anti-money-laundering-rule-for-investment-advisors.

(2) SEC Continues Focus on AML Compliance Obligations | Jones Day. https://www.jonesday.com/en/insights/2021/04/secs-division-of-examinations-signals-continuing-focus-on-brokerdealer-aml-compliance-obligations.

(3) Anti-Money Laundering (AML) Source Tool for Broker-Dealers. https://www.sec.gov/about/offices/ocie/amlsourcetool.

(4) SEC and FINRA Continue to Focus on AML Deficiencies - Practus, LLP. https://practus.com/sec-and-finra-continue-to-focus-on-aml-deficiencies/.

(5)Conversation with Bing, 6/21/2023