8.3.2.3 Submitting the E-File at FinCEN

There are two ways to submit an E-File at FinCEN - Automatic (SDTM) mode and Manual mode.

Automatic (SDTM) Mode

If you select submission mode as S and enable SDTM as Y, then E-Files are transferred automatically to the designated directory. If you select submission mode as S and enable SDTM as N, then you have to run the E-File batch to transfer E-Files to the designated directory.

The FinCEN’s E-Filing system retrieves these transferred E-Files from the designated directory and uploads them to its system.

For more information, see Configuring Secure Direct Transfer Mode (SDTM) section in .

Manual Mode

If you select submission mode as M, then you must manually submit the E-Files in the FinCEN’s E-Filing system, and you have to download a confirmation message XML from the same system.

To submit the E-File at the BSA E-Filing System manually, follow these steps:
  1. Log in to the BSA E-Filing System website (http://bsaefiling.fincen.treas.gov.)
  2. From the left-hand side menu pane, click New Reports, then select File Batch FinCEN SAR. The Open an Existing Form window displays.
  3. Click Open New Form. A BSA E-Filing SAR Batch Form opens.
  4. Enter the information in the required fields.

    Table 8-3 BSA E-Filing SAR Batch Form

    Fields Description
    Filing Name Enter the filing name. There is no specific requirement for the name of the filing. It is recommended that it be a unique name, as this can be used to identify the E-File on the BSA E-Filing site after submission.
    Batch File Attach the E-File that was downloaded from the CRR application using the Add File button. The E-File must be in .xml format.
    Attachments Add the E-File attachment .zip file that was downloaded from the CRR application.
    File Number of Forms in Batch Enter the number of individual SAR reports an E-File contains.
  5. Click Sign with PIN and enter the title and date in the respective fields. The following message is added to the header and footer of the document: This form has been signed with a PIN and cannot be altered.

    Note:

    This is the unique identifier assigned by BSA and FinCEN to ensure only authorized individuals are submitting SAR filings.
  6. Click Save to save the filled BSA E-Filing SAR Batch Form. After you save the form, the Submit button is enabled.
  7. Click Submit. A confirmation window displays the following message: We have received your submission. Please confirm the following information and retain it for your records. Please track the status of your submission using the 'Track Status' function in the BSA E-Filing system. The status of a submitted E-File can be any of the following:
    • Transmitted
    • Transmitted with Warnings
    • Rejected
  8. Click the Accepted with Warning or Rejected status hyperlink in the Status column of the Track Status page to view the submission errors on the E-File that are in Accepted with Warning or Rejected status.
  9. Click OK. The E-File is successfully submitted to FinCEN.