Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

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.

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