Specifically, the final rule discusses which companies must submit reports and when related entities can file joint reports or must file separately.

FORBES: The Sunshine Act Is Finally Final

The AWC alleged that during the review period, Newport Coast failed to establish and implement policies and procedures that could be reasonably expected to detect and cause the reporting of suspicious transactions and, as a result, failed to file suspicious activity reports, as appropriate, in contravention of NASD Rule 3011(a) and FINRA Rule 3310(a).

FORBES: Broker Dealer President And Chief Compliance Officer Sued By Firm