Series 63: Currency Transaction Reports (CTRs) And Suspicious Activity Reports (SARs)

Taken from our Series 63 Online Guide

Currency Transaction Reports (CTRs) and Suspicious Activity Reports (SARs)

The Bank Secrecy Act requires that broker-dealers report cash transactions of more than $10,000. These reports are called Currency Transaction Reports (CTRs). Broker-dealers who suspect unlawful behavior on transactions involving more than $5,000 should file a Suspicious Activity Report (SAR).

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I used the Solomon Series 63 prep and passed with confidence. I highly recommend following the 10 day study plan.

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