10.4 E-Filing

By default, the Reports tab and inside this the To be prepared for E-Filing tab is displayed.

All the new, open, reopen, and rejected reports are listed in the To be prepared for E-Filing tab.

After a report is approved, the report is moved to the Ready for E-Filing tab.

Prerequisites: Ensure that the reports are closed without any errors.

1. Click the Ready for E-Filing tab.
   All the approved reports for E-Filing are listed here.
2. Select the reports and click Create E-Files.

   Note:

   You can select one or multiple reports for E-Filing.

   Note:

   You can also generate the E-File from the report. Open the report, and click Take Action and select the Efile Generation option.

   The E-File is generated successfully with the file number and lists the CTR reports included in this E-Filing.
3. You can now download the E-File or close the pop-up window.
   If you download the E-File, a .XML file is downloaded.

   After the E-Filing report is generated, the reports are moved to the E-Filed Reports tab.

4. To view the details of the E-Filing report, click the E-File Documents tab.
5. To download the E-File report, click the download icon against the E-File report in the E-File Documents tab.

   Note:

   Ensure that you download the E-File report and upload it in FinCEN's.

   After uploading the E-File report in FinCEN's, move the E-File report to Filed status.

6. To move the E-File report to Filed status:
   1. Click the E-File Documents tab.
   2. Search for the E-File report.
   3. Click the Filed button against the E-File report.
   4. Click Yes in the confirmation screen.
   After the E-File report is filed, ensure that you upload the response.
7. To upload the response for the E-File:
   1. Click the E-File Documents tab.
   2. Search for the E-File report.
   3. Click Upload Response against the E-File report.
      The Upload Regulator's Response page is displayed.
   4. Provide the acknowledgment tracking number and date when the acknowledgment was received.
   5. Add the acknowledgment file in the Drag and Drop field.
   6. To save the acknowledgment file, click Save and Parse.
      After the E-File is filed, the status of the E-File is updated to either one of the following based on the acknowledgment:

      • Filed-Success
      • Filed-Sucessfully with Error
      • Filed-Rejected

      Note:

      You can download the error message to check for the errors.
   After the report is filed, reports with status such as Filed, Filed with Success, Filed success with error, and Efile Generated are moved to the Closed tab that is available in Reports tab.

If the status of the report is Filed - Successfully with Error, then ensure that you rectify the errors and resubmit the report to FinCEN.