You can always press Enter⏎ to continue
Ready to Get Started?
Ready to Get Started?
Welcome to the CTA Assessment Tool powered by SingleFile.  We will ask you a series of questions to help you determine if you are likely required to report beneficial ownership and company applicant information to FinCEN.
13Questions
Language
  • English (US)
  • 1
    Domestic Reporting Company: a) A corporation; b) A limited liability company; c) Created by filing of a document with a secretary of state or any similar office under the law of a state or Indian tribe. Foreign Reporting Company: a) A corporation, limited liability company, or other entity; b) Formed under the law of a foreign country; and c) Registered to do business in any State or tribal jurisdiction by filing of a document with a secretary of state or any similar office under the law of a state or Indian tribe. Sole Proprietor: A sole proprietor is an individual who owns and operates a business as the sole owner. Partnership: A partnership in business refers to a legal business structure where two or more individuals, known as partners, collaborate to jointly own and operate a business for the purpose of making a profit.
    Press
    Enter
  • 2
    Press
    Enter
  • 3
    Press
    Enter
  • 4
    Press
    Enter
  • 5
    Securities reporting issuer: Any issuer of securities that is: (A) An issuer of a class of registered securities or (B) Required to file supplementary and periodic information under SEC act. Bank: Any bank, as defined in the Federal Deposit Insurance Act; Investment Company Act; or Investment Advisers Act. Credit union: Any Federal credit union or State credit union, as those terms are defined in the Federal Credit Union Act. Depository institution holding company: Any bank holding company as defined in the Bank Holding Company Act or any savings and loan holding company as defined in the Home Owners’ Loan Act. Money services business: Any money transmitting or services business registered with FinCEN. Broker or dealer in securities: Any broker or dealer that is registered under section 15 of the Securities Exchange Act. Securities exchange or clearing agency: Any exchange or clearing agency that is registered under the Securities Exchange Act. Other Exchange Act registered entity: Any other entity not described that is registered with the SEC under the SE Act. Investment company or investment adviser: Any entity that is: (A) An investment company as defined in the Investment Company Act or is an investment adviser as defined in the Investment Advisers Act; and (B) Registered with the SEC or IAA. Venture capital fund adviser: Any investment adviser that: (A) Is described in the Investment Advisers Act; and (B) Has filed Item 10, Schedule A, and Schedule B of Form ADV, or any successor thereto, with the SEC. Financial market utility: Any financial market utility designated by the Financial Stability Oversight Council under section 804 of the Payment, Clearing, and Settlement Supervision Act of 2010 Pooled investment vehicle. Any pooled investment vehicle that is operated or advised by a registered advisor.
    Press
    Enter
  • 6
    Insurance company: Any insurance company as defined in section 2 of the Investment Company Act State-licensed insurance producer: Any entity that: (A) Is an insurance producer that is authorized by a State and subject to supervision by the insurance commissioner or a similar official or agency of a State; and (B) Has an operating presence at a physical office within the United States. Accounting firm. Any public accounting firm registered in accordance with section 102 of the Sarbanes-Oxley Act of 2002
    Press
    Enter
  • 7
    Governmental authority: Any entity that: (A) Is established under the laws of the United States, an Indian tribe, a State, or a political subdivision of a State, or under an interstate compact between two or more States; and (B) Exercises governmental authority on behalf of the United States or any such Indian tribe, State, or political subdivision. Public utility: Any entity that is a regulated public utility as defined in 26 U.S.C. 7701(a)(33)(A) that provides telecommunications services, electrical power, natural gas, or water and sewer services within the United States. Commodity Exchange Act registered entity. Any entity that: (A) Is a registered entity as defined in section 1a of the Commodity Exchange Act (7 U.S.C. 1a); or (B) Is: (1) A futures commission merchant, introducing broker, swap dealer, major swap participant, commodity pool operator, or commodity trading advisor, each as defined in section 1a of the Commodity Exchange Act (7 U.S.C. 1a), or a retail foreign exchange dealer as described in section 2(c)(2)(B) of the Commodity Exchange Act (7 U.S.C. 2(c)(2)(B); and (2) Registered with the Commodity Futures Trading Commission under the Commodity Exchange Act.
    Press
    Enter
  • 8
    Tax-exempt entity: Any entity that is: (A) An organization that is described in section 501(c) of the Internal Revenue Code of 1986 (Code) (determined without regard to section 508(a) of the Code) and exempt from tax under section 501(a) of the Code, except that in the case of any such organization that ceases to be described in section 501(c) and exempt from tax under section 501(a), such organization shall be considered to continue to be described in this paragraph (c)(1)(xix)(A) for the 180-day period beginning on the date of the loss of such tax-exempt status; (B) A political organization, as defined in section 527(e)(1) of the Code, that is exempt from tax under section 527(a) of the Code; or (C) A trust described in paragraph (1) or (2) of section 4947(a) of the Code. Entity assisting a tax-exempt entity. Any entity that: (A) Operates exclusively to provide financial assistance to, or hold governance rights over, any entity described in paragraph (c)(2)(xix) of this section; (B) Is a United States person; (C) Is beneficially owned or controlled exclusively by one or more United States persons that are United States citizens or lawfully admitted for permanent residence; and (D) Derives at least a majority of its funding or revenue from one or more United States persons that are United States citizens or lawfully admitted for permanent residence.
    Press
    Enter
  • 9
    Subsidiary of certain exempt entities: Any entity whose ownership interests are controlled or wholly owned, directly or indirectly, by one or more entities covered by CTA exemptions. Inactive entity. Any entity that: (A) Was in existence on or before January 1, 2020; (B) Is not engaged in active business; (C) Is not owned by a foreign person, whether directly or indirectly, wholly or partially; (D) Has not experienced any change in ownership in the preceding twelve month period; (E) Has not sent or received any funds in an amount greater than $1,000, either directly or through any financial account in which the entity or any affiliate of the entity had an interest, in the preceding twelve month period; and (F) Does not otherwise hold any kind or type of assets, whether in the United States or abroad, including any ownership interest in any corporation, limited liability company, or other similar entity.
    Press
    Enter
  • 10
    Press
    Enter
  • 11
    Press
    Enter
  • 12
    These are solutions that are focused on helping organizations maintaining compliant with the CTA. As a reminder, if information changes making reporting to FinCEN necessary, those changes need to be reported within 30 days.
    1 of 4
    Press
    Enter
  • 13
    Press
    Enter
  • Should be Empty:
CTA Assessment Form
[Edit]
Question Label
1 of 13See AllGo Back
close