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Bank Secrecy Act Forms and Filing Requirements

In support of the Financial Crimes Enforcement Network's information technology (IT) modernization efforts, FinCEN submitted notices to the Federal Register that requested comments from law enforcement, the financial industry, and the public concerning the future constituent parts of the BSA reports. These notices did not propose any new regulatory requirements or changes related to current report requirements. They sought input on technical matters as FinCEN transitions from a system originally designed for the submission of paper forms to a modernized IT environment for electronic reporting. These updates have been finalized and approved by the Office of Management and Budget (OMB Control Numbers 1506-0064, 1506-0065, and 1506-0013).

There are thousands of financial institutions currently subject to BSA reporting and recordkeeping requirements for which the Financial Crimes Enforcement Network is authorized responsibility. These include

• Depository institutions, e.g., banks, credit unions and thrifts
• Brokers or dealers in securities and/or futures
• Money services businesses (MSBs) [e.g., money transmitters; issuers, redeemers and sellers of money orders and travelers' checks; check cashers, dealer in foreign exchange and providers of prepaid access programs]
• Casinos and card clubs
• Insurance companies
• Mortgage Companies and Brokers
• Mutual funds
• Individual(s) transporting over $10,000 in currency or other monetary instruments into/out of the US
• Shippers/Receivers of over $10,000 in currency or other monetary instruments into/out of the US
• For each person engaged in a trade or business who receives over $10,000 in cash in one transaction or two or more related transactions.
• For each U.S. person who has a financial interest in, or signature authority, or other authority, over any financial accounts, including bank, securities, or other types of financial accounts in a foreign country, if the aggregate value of these financial accounts exceeds $10,000 at any time during the calendar year.