6.2.2 Filing Institution Information Details

This pane provides details about the filing institution which is reporting the suspicious activity. There can be one or more filing institutions reporting the suspicious activity. Use this pane to view and update the filing institution associated with the report.

To view and update the filing institution information, follow these steps:

1. On the Filing Institution Information tab. Go to the Filing Institution Information pane.
2. Update the filing institution information.

   Table 6-2 Filing Institution Information fields details.

   Fields	Description
   Filing Institution Name	Select the filing institution name from the drop-down list.
   Filing Institution Name	NOTE: All the related fields are displayed based on the filing institution name selected. If details in the drop-down are not displayed, then you must contact your Administrator.
   Primary Federal Regulator	The primary federal regulator of the financial institution where the activity occurred as well as the filing institution.
   TIN Type	The TIN (Taxpayer Identification Number) type. For example, Social Security Number (SSN), Individual Taxpayer Identification Number (ITIN, and so on.
   TIN	The TIN (Taxpayer Identification Number).
   Type of Financial Institution	The type of financial institution. For example, Securities or Futures, loans or Finance Companies, Housing, and so on.
   Other Description	Additional information about the type of financial institution.
   Type of Securities and Futures Institution	The type of securities and futures institution. For example, Clearing broker, Futures commission merchant, Holding company, Introducing broker, and so on.
   Other Description	Additional information about the type of securities and futures institution.
   Financial Institution ID	The unique identification number of the financial institution involved in suspicious activity.
   Financial Institution Identification Type	The financial institution identification type. For example, Central Registration Depository (CRD) number, Investment Adviser Registration Depository (IARD) number, National Futures Association (NFA) number, Research, Statistics, Supervision, and Discount (RSSD) number, and so on.
   Alternate Name	The alternate name of the financial institution. AKA if an individual; doing business as (DBA) or trade name if entity.
   Address	The address of the financial institution.
   City	The city where the financial institution is located.
   State	The state where the financial institution is located.
   Postal Code	The postal code of the financial institution.
   Country	The country where the financial institution is located.
   Filing Institute Contact Office	The filing institution’s contact office name.
   Filing Inst Contact Number	The filing institution’s contact number.
   Extension	Enter or modify the extension contact number of the filing institution.
   Internal Control/File Number	Enter the internal control/file number. NOTE: This is the Case ID if the reports are auto-generated from Case Investigation Cloud Service. For manually created reports, you have the option to provide an internal control or file number to the new report.
   Prior Report Doc Number	Enter the prior report document number. This number refers to the unique identifier assigned to a report that is submitted to FinCEN. This field is applicable when filing a continuing activity, corrected, or supplemental report on a previously submitted report. Select the unknown check box if the prior report document number is unknown. NOTE: If the Prior Report Doc Number is not entered for Corrected, Supplemental, and Continuing Reports, nor if the Unknown check box field has been marked, the application displays an error message. Ifyou have entered one or more prohibited words in the fields Filling Institution Contact Office and Prior Report Doc Number, then the application displays the following message: You are not allowed to enter prohibited words in Filling Institution Contact Office and Prior Report Doc Number. The following words are prohibited: AKA, COMPUTER GENERATED, CUSTOMER, DBA, NON CUSTOMER, NONE, NOT APPLICABLE, OTHER, SAME, SAME AS ABOVE, SEE ABOVE, SEE NARRATIVE, SIGNATURE CARD, T/A, UNKNOWN, VARIOUS, XX.

3. Click Validate to authenticate the information present in both the Reporting Information pane and the Filing Institution Information pane.

   Note:

   If you have not entered the correct information, an error message is displayed, and the color of the tab changes to Yellow. If your information is correct, then the color of the tab changes to Green.
4. Click Save. A confirmation message is displayed.