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FINRA: AML Compliance Suspicious Activity Reporting
Overview
This course examines the key elements of completing and filing suspicious activity reports (SARs). It also covers procedures surrounding SAR filings and how firms are expected to follow up them.
Find this course for your license
License or Certification
--Select an Option--
CFP® Certification CE
FINRA e-Learning
Regulator
Type
Learning Objectives
When to File a SAR
Recordkeeping
Confidentiality
SAR Filing Procedures
Writing a SAR Narrative
Amending SARs and Continuing Activity
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
Prerequisites:
None