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SEA 1934 Rule 17a-8
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OTC Link LLC to pay $1.19m for failing to file suspicious activity reports
Case brought over failure to file any SARs for over three years.
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Guidance on BOI from FinCEN leads roundup of AML news
BOI guidance for small businesses, BSA violations at a Puerto Rican bank, and a veteran rep held liable in contentious ruling.
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Merrill Lynch fails to file nearly 1,500 SARs, say SEC and FINRA
FINRA and the SEC fine Merrill Lynch $6m, saying the broker-dealer failed to implement policies, procedures, and internal controls.