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
Recent
Blog Posts
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?
- Class Action Lead Plaintiff is Successful in Thwarting Effort of Massachusetts Mutual Seeking to Dismiss Claims
- Governor Cuomo Announces Best Interest Standard Proposal for Life Insurance Sales
- VIX ETF’s Wreak Havoc on Small Investors
- Insurance Department Regulation No. 60 Violations Harm New York State Investors
Blog Post
Archive
- October 2018 (2)
- March 2018 (1)
- February 2018 (2)
- January 2018 (2)
- December 2017 (1)
- November 2017 (2)
- October 2017 (3)
- September 2017 (2)
- August 2017 (1)
- July 2017 (3)
- May 2017 (3)
- January 2017 (2)
- November 2016 (2)
- October 2016 (2)
- September 2016 (4)
- August 2016 (5)
- July 2016 (4)
- June 2016 (4)
- May 2016 (5)
- April 2016 (4)
- March 2016 (5)
- February 2016 (4)
- January 2016 (4)
- December 2015 (5)
- November 2015 (4)
- October 2015 (3)
- September 2015 (4)
- July 2015 (1)
- June 2015 (1)
- May 2015 (4)
- April 2015 (2)
- August 2014 (2)
- July 2014 (1)
- June 2014 (1)
- January 2014 (1)
- December 2013 (5)
- November 2013 (1)
- October 2013 (2)
- September 2013 (1)
- May 2013 (2)
- April 2013 (5)
- March 2013 (5)
- February 2013 (2)
- December 2012 (1)
- November 2012 (3)
- October 2012 (4)
- August 2012 (2)
- July 2012 (1)
- June 2012 (2)
- May 2012 (2)
- March 2012 (1)
- January 2012 (2)
- December 2011 (1)
- November 2011 (6)
- October 2011 (3)
- September 2011 (5)
- August 2011 (4)
- May 2011 (6)
- March 2011 (5)
- February 2011 (5)
- January 2011 (4)
