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
Have a Question?
"*" indicates required fields
- A Successful Will Contest
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts
- Airbnb Guest Injuries
- Morgan Stanley Smith Barney Agrees to $5,000,000 Settlement Fund to Benefit Harmed Investors
- Will Contests – Have You Been Shorted by Trickery Involving a Loved One’s Estate?