U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

SAR Alert Message Line

OCIE, along with the SEC's Division of Enforcement, created the SEC SAR Alert Message Line to centralize calls made to the Commission about SAR filings. In 2001, the USA PATRIOT Act expanded the scope of the Bank Secrecy Act (BSA). As a result, broker-dealers and mutual funds became subject to regulations requiring them to file SARs. As provided in the SAR rules, in situations involving violations that require immediate attention, firms must immediately telephone an appropriate law enforcement authority in addition to filing a SAR. Additionally, firms wishing to voluntarily report suspicious transactions that may relate to terrorist activity can call the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) hotline at 1-866-556-3974.

The SEC SAR Alert Message Line phone number is 202-551-SARS (7277). This number should only be used when securities firms have filed a SAR that may require immediate attention by the Commission. Calling the SEC SAR Alert Message Line does not alleviate a firm's obligation to file a SAR or notify an appropriate law enforcement authority, such as a local office of either the Internal Revenue Service Criminal Investigation Division or the FBI. General questions on SARs and other BSA filing requirements may be directed to FinCEN's Regulatory Helpline at 1-800-949-2732.



Modified: 02/24/2009