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Notice I-10-08

February 03, 2010

FinCEN Adds Enhancements to its BSA E-Filing System

FinCEN recently requested that NFA provide NFA Member FCMs and IBs with notice of recent enhancements made to its BSA E-Filing System. FCMs and IBs may file SAR-SFs via the E-Filing System.

In September 2009, FinCEN implemented Phase I of the BSA E-Filing SAR Acknowledgements and Validation Process. Phase I provides BSA E-Filers with a receipt acknowledging their filing of a Suspicious Activity Report. In December 2009, FinCEN implemented Phase II of the project, which applies data quality checks and provides filers with information on the quality of their submission for electronically filed SARs of all types, including SAR-SFs.

The BSA E-Filing system allows FCMs and IBs to self-enroll to receive SAR acknowledgements and validation error codes. FinCEN strongly encourages filers to enroll to receive this critical feedback.

If you have any questions regarding this process, please contact the BSA E-Filing Help Desk at 1-888-827-2778 (option 6) or via email at BSAEFilingHelp@notes.tcs.treas.gov. FinCEN has also prepared a Q&A Manual on the process, including how to enroll, which you may access at http://bsaefiling.fincen.treas.gov under "Hot Topics".

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