Broker-dealer Merrill Lynch has agreed to pay a total of $12 million in fines to regulators for failing to file hundreds of suspicious activity reports over more than a decade
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https://www.wsj.com/articles/merrill-lynch-to-pay-12-million-for-failing-to-file-hundreds-of-suspicious-activity-reports-227cdb07Anti-money-laundering rules require broker-dealers to report to regulators on transactions over $5,000, but Merrill’s parent used a $25,000 threshold since their tie-up
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