In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities.
Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA
Stockbroker Law - Tuesday, June 12, 2012
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