Important Information for Securities and Futures

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REMINDER: As of April 1, 2013, financial institutions must use the new FinCEN reports, which are available only electronically through the BSA E-Filing System. FinCEN is no longer accepting legacy reports. For more information, click here.

| Administrative Ruling
Suspicious Activity Reporting (Structuring)
| Federal Register Notice
Proposed information collection contained in a revised form, Suspicious Activity Report by the Securities and Futures Industry (SAR-SF) (RIN 1506-AA21 - 31 CFR 103 70 FR 30514)
| Guidance
Questions And Answers Regarding The Customer Identification Program Rule For Futures Commission Merchants And Introducing Brokers (31 CFR 103.123)
| Enforcement Action
In the Matter of Hartsfield Capital Securities, Inc.
| News
Futures Commission Merchants and Introducing Brokers in Commodities Required to Report Suspicious Transactions
| Administrative Ruling
Requirements for Requesting an Administrative Ruling
| Guidance
Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122)
| Federal Register Notice
Definition of Futures Commission Merchants and Introducing Brokers in Commodities as Financial Institutions; Requirement that Futures Commission Merchants and Introducing Brokers in Commodities Report (68 FR 23653)
| Federal Register Notice
Comment Request For New Form, "Suspicious Activity Report by the Securities And Futures Industry (SAR-SF, Formerly Called SAR-BD)" (67 FR 50751)
| News
Suspicious Activity Reporting Rule for Broker-Dealers Finalized