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Securities and Futures:
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News Releases

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    Securities and Futures


  • FinCEN Announces the Presentation of the Informational Webinar: The BSA E-Filing Process and Filing Instructions for FinCEN’s New Suspicious Activity Report (SAR) (09/11/2012) HTML | PDF
  • FinCEN Announces the Presentation of the Informational Webinar: The BSA E-Filing Process and Filing Instructions for FinCEN’s New Currency Transaction Report (CTR) and Designation of Exempt Person (DOEP) report (09/11/2012) HTML | PDF
  • FinCEN Marks the End of Paper SARs and CTRs (06/29/2012) HTML | PDF
  • FinCEN to Receive Currency Reports from Clerks of Court (06/04/2012) HTML | PDF
  • FinCEN Announces Informational Webinar: Updated Technical Specifications for FinCEN’s New SAR, CTR, and DOEP (05/01/2012) HTML | PDF
  • FinCEN Seeks Comments on Strengthening and Clarifying Customer Due Diligence Requirements (02/29/2012) HTML | PDF
  • Reminder to File the Most Current Version of a Bank Secrecy Act Report (02/28/2012) HTML | PDF
  • FinCEN Assessment of Impact of Amendments to the Regulations Defining Mutual Funds as Financial Institutions (12/30/2011) PDF Only
  • FinCEN Requests Comments on Mandating E-Filing to Take Effect on June 30, 2012 (09/14/2011) HTML | PDF
  • FinCEN Releases Technical E-Filing Specifications for new CTR and SAR, Announces Informational Webinar (09/08/2011) HTML | PDF
  • FinCEN Examines Identity Theft-Related SARs Filed by Securities & Futures Firms (09/06/2011) HTML | PDF
  • FinCEN’s Streamlined Regulations in New 31 CFR Chapter X Become Effective on March 1, 2011 (03/01/2011) HTML | PDF
  • FinCEN Rule Strengthens SAR Confidentiality (11/23/2010) HTML | PDF
  • FinCEN Streamlines Mutual Fund BSA Requirements (04/12/2010) HTML | PDF
  • FinCEN Clarifies Expectations Regarding Beneficial Ownership (03/05/2010) HTML | PDF
  • FinCEN Moves to Streamline Mutual Fund BSA Requirements (06/05/2009) HTML | PDF
  • FinCEN Report Shows Connection With Mortgage Fraud and Other Financial Crime (03/16/2009) HTML | PDF
  • FinCEN to Expand Financial Institutions’ Ability to Share Information Internally on Suspicious Activity (03/03/2009) HTML | PDF
  • FinCEN Withdraws Dated AML Rule Proposals for Unregistered Investment Companies, Commodity Trading Advisors, and Investment Advisers (10/30/2008) HTML | PDF
  • FinCEN Report Warns of Money Laundering Methods and Trends in Residential Real Estate Industry (05/01/2008) HTML | PDF
  • FinCEN Releases Updated Mortgage Fraud Report (04/03/2008) HTML | PDF
  • SEC and FinCEN Sign Information Sharing Agreement (12/21/2006) HTML | PDF
  • FinCEN Issues Guidance on Suspicious Activity Reporting Requirements for Mutual Funds (10/04/2006) HTML | PDF
  • News Release - Mutual Funds Required to File Suspicious Activity Reports (05/03/2006) HTML | PDF
  • News Release - Assessment of civil money penalties in the matter of the Tonkawa Tribe of Oklahoma and Edward E. Street (03/24/2006) HTML | PDF
  • Futures Commission Merchants And Introducing Brokers In Commodities Required To Report Suspicious Transactions (11/20/2003) HTML | PDF
  • Suspicious Activity Reporting Rule For Broker-Dealers Finalized (06/28/2002) HTML | PDF
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