Proposed information collection contained in a revised form, Suspicious Activity Report by the Securities and Futures Industry

30514 Federal Register / Vol. 70, No. 101/ Thursday, May 26, 2005/ Notices having its full effect if OMB receives it within 30 days of publication. Authority: 49 CFR 1.66. Issued in Washington. DC on May 20. 2005. Joel C. Richard, Secretary, Maritime Administration. [FR Doc. 05-10504 Filed 5-25-05; 8:45 amI BILLINGCODE4910-81-P DEPARTMENT OF TRANSPORTATION Maritime Administration Reports, Forms and Recordkeeping Requirements; Agency Information Collection Activity Under OMS Review AGENCY: Maritime Administration, DOT. ACTION:Notice and request for comments. SUMMARY:In compliance with the Paperwork Reduction Act of 1995 (44 D.S.C. 3501 et seq.), this notice announces that the Information Collection abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and approval. The nature of the information collection is described as well as its expected burden. The Federal Register Notice with a 60-day comment period soliciting comments on the following collection of information was published on March 10, 2005. No comments were received. DATES:Commentsmust be submitted on or beforeJune 27, 2005. FOR FURTHER INFORMATION CONTACT: Celia Luck, Maritime Administration, 400 Seventh Street Southwest, Washington, DC 20590. Telephone: 202-366-3581, FAX: 202-366-6988, or e-mail: celia.luck@marad.dot.gov. Copies of this collection also can be obtained from that office. SUPPLEMENTARYINFORMATION:Maritime Administration (MARAD). TUle:Intermodal Access to Shallow Draft Ports and Terminals Survey. OMB Control Number: 2133-0534. Type of Request: Extension of currently approved collection. Affected Public: Officials at the Nation's key shallow draft marine ports and terminals. Forms: MA-I024B. Abstract: The Maritime Administration (MARAD)has primary responsibility for ensuring the availability of efficient water transportation service to shippers and consumers. This information collection is designed to be a survey of critical infrastructure issues that impact the Nation's shallow draft marine ports and terminals. The survey will provide MARAD with key road, rail, and waterside access data as well as security information and highlight the issues that affect the flow of cargo through D.S. shallow draft marine ports and terminals. Annual Estimated Burden Hours: 8. ADDRESSES: Send commentsto the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, Northwest, Washington, DC 20503, Attention MARAD Desk Officer. Comments are invited on: Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; the accuracy ofthe agency's estimate of the burden of the proposed information collection; ways to enhance the quality, utility and clarity of the information to be collected; and ways to minimize the burden of the collection of information on respondents, including the use of automated collection techniques or other forms of information technology. A comment to OMB is best assured of having its full effect if OMBreceives it within 30 days of publication. Authority: 49 CFR 1.66. Issued in Washington, DC on May 20, 2005. Joel C. Richard, Secretary, Maritime Administration. [FR Doc. 05-'10505 Filed 5-25-05; 8:45 amI BILLINGCODE4910-81-P DEPARTMENT OF THE TREASURY Financial Crimes Enforcement Network; Proposed Collection; Comment Request; Suspicious Activity Report by the Securities and Futures Industry AGENCY:Financial Crimes Enforcement Network ("FinCEN"), Treasury. ACTION:Notice and request for comments. SUMMARY: FinCEN invites comment on a proposed information collection contained in a revised form, "Suspicious Activity Report by the Securities and Futures Industry (SAR￾SF)." The form will be used by the securities and futures industry to report suspicious activity to the Department of the Treasury. This request for comments also covers 31 CFR 103.17 and 31 CFR 103.19. This request for comments is being made pursuant to the Paperwork Reduction Act of 1995, Pub. L. 104-13, 44 D.S.C. 3506(c)(2)(A). DATES:Written comments are welcome and must be received on or before July 25,2005. ADDRESSES: Written comments should be submitted to: Regulatory Policy and Programs Division, Financial Crimes Enforcement Network, Department of the Treasury, P.O. Box 39, Vienna, Virginia 22183, Attention: PRA Comments-SAR-Securities and Futures Industry Form. Comments also may be submitted by electronic mail to the following Internet address: regcomments@fincen.treas.gov, again with a caption, in the body of the text, "Attention: PRA Comments-SAR￾Securities and Futures Industry Form." Inspection of comments. Comments may be inspected, between 10 a.m. and 4 p.m., in the FinCEN reading room in Washington, DC. Persons wishing to inspect the comments submitted must request an appointment by telephoning (202) 354-6400. FOR FURTHER INFORMATIONCONTACT: The FinCEN Regulatory Helpline at 800- 949-2732, select option 3. SUPPLEMENTARYINFORMATION: Title: Suspicious Activity Report by the Securities and Futures Industry (SAR-SF), 31 CFR 103.17, and 31 CFR 103.19. OMB Number: 1506-0019. Form Number: FinCEN Form 101. Abstract: The statute generally referred to as the "Bank Secrecy Act," Titles I and II of Public Law 91-508, as amended, codified at 12 D.S.C. 1829b, 12 D.S.C. 1951-1959, and 31 U.S.C. 5311-5332, authorizes the Secretary of the Treasury, inter alia, to require financial institutions to keep records and file reports that are determined to have a high degree of usefulness in criminal, tax, and regulatory matters, or in the conduct of intelligence or counter-intelligence activities, to protect against international terrorism, and to implement counter-money laundering programs and compliance procedures. 1 Regulations implementing Title II of the Bank Secrecy Act appear at 31 CFR part 103. The authority ofthe Secretary to administer the Bank Secrecy Act has been delegated to the Director of FinCEN. The Secretary of the Treasury was granted authority in 1992, with the enactment of 31 D.S.C. 5318(g), to require financial institutions to report suspicious transactions. On July 1, 2002, 1 Language expanding the scope of the Bank Secrecy Act to intelligence or counter-intelligence activities to protect against international terrorism was added by Section 358 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (the "USA PATRIOT Act"). P.L.107- 56.

Federal Register / Vol. 70, No. 101/ Thursday, May 26, 2005/ Notices 30515 FinCEN issued a final rule requiring brokers or dealers in securities ("broker￾dealers") to report suspicious transactions ("Broker-Dealer SAR rule"). (67 FR 44048). The final Broker-Dealer SAR rule can also be found at 31 CFR 103.19. On August 5,2002, FinCEN issued a final rule requiring futures commission merchants and introducing brokers in commodities to report suspicious transactions ("FCM SAR rule"). The final FCM SAR rule can also be found at 31 CFR 103.17. The information collected on the revised form is required to be provided pursuant to 31 D.S.C. 5318(g), 31 CFR 103.17 and 31 CFR 103.19. This information will be made available, in accordance with strict safeguards, to appropriate criminal law enforcement and regulatory personnel, and to the registered securities associations and national securities exchanges (so-called self-regulatory organizations) for use in official performance of their duties, for regulatory purposes and in investigations and proceedings involving domestic and international money laundering, terrorist financing, tax violations, fraud, and other financial crimes. Broker-dealers, futures commission merchants, and introducing brokers in commodities required to report suspicious transactions, or reporting such transactions voluntarily, will be subject to the protection from liability contained in 31 D.S.C. 5318(g)(3) and to the prohibition contained in 31 D.S.C. 5318(g)(2) against notifying any person involved in the transaction that a suspicious activity report has been filed. The draft revised SAR-SF is presented only for purposes of soliciting public comment on the form. A number of editorial and simplifying changes are being made to the current SAR-SF, FinCEN Form 101. Item 13, e-mail address, is removed. Item 23(s) (item 22s on the revised form), market where traded, is expanded to accept a three to five letter code entry. Part III, Law Enforcement or Regulatory Contact Information, is deleted and the instructions modified to provide that this information should be included in the narrative when appropriate. Part IV is relabeled as Part III and an optional block has been added for the reporting institution to add an internal control or tracking number to facilitate any coordination with jointly filed reports. In Part IV (new Part III)the type of institution or individual is spelled out for clarity. The guide for completing the narrative is moved to the bottom of page two and the narrative to page three. This change shortens the form by one full page. Finally, the instructions are amended to reflect these changes. In developing the revised form, FinCEN worked with the Securities and Exchange Commission and the Commodity Futures Trading Commission on these changes. This draft form should not be used at this time to report suspicious activity. A final version of the form will be made available at a later date. Type of Review: Revision of an approved information collection. Affected public: Business or other for￾profit institutions. Frequency: As required. Estimated Reporting Burden: Average of 60 minutes per response. (The reporting burden of the regulations (31 CFR 103.17 and 103.19) is reflected in the burden for the form.) Estimated Recordkeeping Burden for 31 CFR 103.17 or 31 CFR 103.19: 2 hours. Estimated number of respondents = 8,300. . Estimated Total Annual Responses = 5,600. Estimated Total Annual Reporting and Recordkeeping Burden: 16,800 hours. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Records required to be retained under the Bank Secrecy Act must be retained for five years. Request for Comments Comments submitted in response to this notice will be summarized and/ or included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected: (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance and purchase of services to provide information. Dated: May 16, 2005. William J. Fox, Director, Financial Crimes Enforcement Network. BilLING CODE481(H) 2-P

30516 Federal Register/Vol. 70, No. 101/Thursday, May 26, 2005/Notices Suspicious Activity Report by the Securities and Futures Industries January 2006 ... Please type or print. Alwayscomplete entire report. Items Previous editions willnot be . ,.. accepted after July 2006 marked with an asterisk' are considered critical. (See Instructions.) 1 Check the box ifthis report corrects a prior report (See instructions) 0 FinCEN Form 101 Subject Information 2 Check box a 0 ifmultiplesubjects '4 Firstname box b 0 subject informationunavailable '3 Individual's last name or entity's full name 5 Middle initial 6 Also known as (AKA -individual). doing business as (DBA. entity) 7 Occupation or type of business , , ,-, , , '12 Country code (If not U.S.) (See instructions) '8 Address '10 State '11 ZIP code '14 Account number(s) affected. if any. Indicate if closed. Acc't # yes 0 Acc't # yes 0 16 Government issued identification(Ifavailable) a 0 Driver'slicense/state ID b 0 Passport e 0 Other f IDnumber Acc't #. Acc't # yes 0 yes 0 , '., 15)Date of birth //- MM DD yyyy ~" regts(ration d" 0 -'Corporate/Partnership Resolution ",..., ~ cO , , , , , J.g~:lssuing state or country (2 digitcode) ~ 19 Is individuaVbusiness associated/affiliated with the reporting institution? (See instructions) a 0 Yes bONo 17 Phone number. work ".18"Phpne Qumber- home ( , , ) ' , , , , , , i', ; ( I "," ) ' , 'iF ' , , , , , ,-, , , 'i "",,, L.., ' , ,~/, - , , , , , , , , , , ", ",,' '" " , Susp,j,ci6us'ttCtivity Il1fo':~iltt9n' '20 Date or dater?~ge pf';;;~'Pjcious~ftivity " From 'I. "/ \ " To r;;,;-1;D''YYYYJ 22 Instrumenttype (Cq~Ck,ill that <\pply) MM /- DO yyyy '21 Total dollar amount involved in suspicious activity , , , , , , , , , , , $: ,: : : ,: : : ,: : : :,bo a 0 b 0 c 0 d 0 e 0 fo g 0 h 0 Bonds/Notes Cash or equiv, Commercial paper Commodity futures contract Money Market Fund Mutual Fund OTC Derivatives Other derivatives 0 jo kO 10 mo n 0 p 0 Commodity options Security futures products Stocks Warrants Other securities Other non-securities Foreign currency futures/options Foreign currencies qO Commodity type (Please identify) rO sO Instrument description to Market where traded (Enter approprite three to five-letter code.) Other (Explain in Part V) 23 CUSIP- number 24CUSIP-number 25 CUSIP- number , , , , , , , , , 26 CUSIPonumber ' I ' , , , , " , , , , " , , , , 27 CUSIP- number ' I ' , , " , , " , , :1: , , " 28 CUSIP- number ' I ' , , , , " , , , , " I , , , '29 Type of suspicious activity(Check all that apply): a 0 Bribery/gratuity h 0 Identity theft b 0 Check fraud i 0 Insidertrading c 0 Computer Intrusion j 0 Mail fraud d 0 Credit/debit card fraud k 0 Marketmanipulation e 0 Embezzlement/theft I 0 Money laundering/Structuring f 0 Commodity futures/options fraud m 0 Prearranged or other non-competitive trading s g 0 Forgery n 0 Securities fraud 0 0 Significantwire or other transactions without economic purpose p 0 Suspicious documents or tD presented q 0 Terroristfinancing 0 Wash or other fictitioustrading 0 Wire fraud 0 Other (Describe in Part V) Catalog No. 35349U Rev. 2/25/05

Federal RegisterI Vol. 70, No, 101/Thursday, May 26, 2005 I Notices 30517 Reporting Financial Institution Information '30 Name of financial institution or sale proprietorship '31 EIN / SSN IITIN , , '32 Address '33 City '35 ZIP code , , , -, , , 36 IntelT)al controVfile number (Optional) 37 Additional branch address locations handling accoun!. activity or customer. 38 0 Multiple locations (See instructions) 39 City 40 State 41 ZIPcode , , ,-, , , 42 Central Registration Depository number , , , , , , , , , , , , , , , , , , , ""'" 43 SEC 10 number , , , , , , , , ,-, , , , , , 44 NFA 10 num1ler : .:/:,j: , , .. , 45 Has this reporting individual/entity jointly filed this report with another reporting individuaVentity? Yes O'iPrg)'ide de~ils in Part V) No 0 46 Type of institution or individual- Check box(es) for functions that apply to this report a 0 Agriculturaltradeoptionmerchant j 0 InvestmentAdviser b 0 Affiliateofbankor bankholdingco. k 0 Investmentcompany-mutualfund c 0 CommodityPool Operator I 0 Marketmaker d 0 Commodity Trading Advisor m 0 Municipal securitiesg,ealer e 0 Directparticipationprogram n 0 NationalFuturesJ,(~sociatibt't" . ,~ '-.. f 0 Futures CommisionMerchant a 0 Registered Entity~Fututes, ", . g 0 Futures floorbroker p 0 Other Registered;futureS'Associ~troQ h 0 Futures floortrader q .O/Se'cu[ities broker~eale;,.."de;:n;Q,~...,/' i 0 IntroducingBroker-Commodities.. r' 0, ~ecur1,tiesbroker-peale't- introducing ." " :.. ,. .. ,,,"'. , s .E.::r Securities dealer '
t" ...12J\pecurities floor'bIokef u' D"Securities options broker-deal v '0 SRO-securities \w CiJ Specialist ",.fj Subsidiary of bank or bank holdingco. y 0 U.S. Government broker-dealer z 0 U.S.Government interdealer broker aa 0 Other (Describe in Part V) Contact For Assis't,:tn<~. . *47 Last name of individualto'b'&.contacted leganfUlglhis repe)';! ../'\ "'. .,' '48 Firstname *50 Title/Position"- ): , , ,-, , I '49 Middle initial +52 Date report prepared 1- MM DO yyyy Send completed rep~~)p,'~hetroit Computing Center, Attn: SAR-SF, P.O. Box 33980, Detroit, MI48232 Suspicious Activity Information -NarrativeChecklist Explanation/descriptionof suspicious activity(ies). 1hissectionof the report is critical. The ,:are with wbiru.il.i:;..eQll]pkte.d..[!JiIy..~teLl11iJl~bctI.lU QUIill...tbu=nberl...acti'Lily amJ.j.b...p!)ssibJe..aimiIJ.ilLnaturf...dte..eif.arJy_.ul!.ders1.Qr.>Q..by_itlYE5tiga.tQr:;. Provide a clear, complete and chronological nar",live description of the activity. The narrative should address as much of tho information listed beiow as possibk>. ". Describe conduct th.t raised suspicion and the date discovered. I. Indicate whether funds or asseLswere recovered and, if so, enter the b. Explain whether the transaction(s)was completed or only attempted. dollar value of the recovery in whole dollars only. c. Describe supporting documentation (e.g. transaction records, new m. Indicate any "ddilional acem",t number(s), and any foreign bank(si account information, tape recordings, e-mail messages.conespon-accounlnumber(s)whichnld}.beinvolved. dence, etc,) and retain such documentltion in your file for five years. n. Indicate for a foreign national any availableinformation on subject's d. Explain who benefited, financially or otherwise, from the passport(s),visals),and/or identification card(s). Include date, country, transactionls), how much, and how (if known!. city of issue,issuingauthority, and nationality. e. Oescribe and retain any admISsionor explanation of the transactionis) o. Describe any suspiciousactivities th.t involve transfer of funds to or provided by the subject(s) or other pe"oos. In,hcate to whom and from a foreign colmtry, or transaction, in a foreign cUHency. Identify when it was given. the couotry, somces and destinations oi funds. f. Describe and retain any evidence of cover-up or evidence of an p. Describe subject(s) position if employed by the fioancial institution. attempt to deceive federal or stlte examiners, SRO,or others. q. Indicate whether securities, futures, or options were involved. If so, g.lndicale where the possibleviolation of I.w(s) took place (e.g., main list the type, CUSIP' number or 1510>nnmber, if applicable, and amount. office, branch, other). r. Describe the type of institution filing this report, If this is not clear h. Indicate whether the suspiciousactivity ISao isol.ted incident or from Part IV. Specifically, state if the institution engagesin more than relate, to .nother Ir.nsactiol1. Note if this" gO-dayfollow-up. one typs of busmess. i. Indic.le whether there is any related liligalion. If so, specify the s. Indicate, in instanceswheo the subject or entity has a CRD or NfA name of the litigatioo aod the court where tile .clioo " pendmg. number, what lhat number is. J. Indicate whether u.s. or foreign currency "nd/or U.S. or foreign l. If. I.w enforcoment .lgenc)' has been cont.cted, I", the name of the negotiable instrurnentls) were involved. If foreign, provide the age0')', the n'Hoe of any person conta(1ed. Ihelr title, their telephone amount, name of curren,y, .nd country or origin. number, and when they were contacted here in PartV. k. Indicate "MarkeLw.b"-tJ?uil<kd" .nd "'6IiI~\raJJ5ieLidentWe(' u. 1L<::.0rr.ecting a prior report complete the form in its en!irety "nd note information when "p"ropriate. tbu:<lliJ':ded.itemsherein PartV

30518 Federal Register/Vol. 70, No. 101/Thursday, May 26, ZOOS/Notices

Federal Register /Vol. 70, No. 101/ Thursday, May 26, 2005/ Notices 30519 I FinCENForm 101a 1 ] Suspicious Activity Report (SAR-SF)Instructions Safe Harbor Feclerallaw (31 U.SL 5318(gH3)) provides complete protection from civil liability for all reports of suspicious transactions made to appropriate authorities, including supporting docu￾mentation, regardless of whether such reports are filed pursuant to this report's instructions or are filed on a voluntary basis. Specifically, the law pro￾vides that a financial institution, and its director>, officers, employees, and agents, that make a dis￾closure of any possible violation of law or regula￾tion, including in connection with the preparation of suspicious activity reports, "shall not be liable to any person under any law or regulation of the United States, any constitution, law, or regulation of any State or political subdivision of any State, or under any contract or other legally enforceable agreement (including any arbitration agreement!, for such disclosure or for any failure to provide notice of such disclosure to the person who is the sllbject of such disclosure or any other person iden- tified in the disclosure." Notification Prohibited Federal law eJ1 U.S.e. 5318(gJ(2)) provides that a financial institution, and its director>, officers, employees, and agents who, voluntarily or by means of a sllspicious activity re￾port, report suspicious transactions to the govern￾ment, may not notify any person involved in the transaction that the transaction has been reported. In situations involving violations that require immediate attention, such as terrorist financ￾ing or ongoing money laundering schemes"tbe' financial institution shall immediately notifY"by telephone an appropriate law enforcement .t!- thority in addition to filing a suspiciou'~ activity report. '. When to file a~l!pot( , . . 1- Every broker or deal~r.in seq.;,Ities (B~j, futures commission merchant ItCM); anq,.,il1troducing broker in commodities (IB,C) : jt~in the United States shall file with FinCEN/'to the extent and in the manner required by 31 CFR 103.19 and 103.17, a report of any suspicious transaction relevant to a possible violation of law or regulation. A BO, FCM or IB-C may also file with FinCEN a report of any suspicious transaction that it believes is relevant to the possible violation of any law or regulation but whose reporting is not reqIJired by 31 CFR 103.19 or 103.17. A volIJntary filing does not relieve a BO, FCM or IB-C from the responsibility of complying with any other reporting requirements imposed by the Securities and Exchange CommisSion (SEC), the Commodity FIJtures Trading Commission (CFTC), a self￾regulatory organization ("SRO") (as defined in section 3(a)(26) of the Securities Exchange Act of 1934, 15 U_S_e. 78c (a)(26)), or any registered futures association (RFA) or registered entity (RE) as these terms are defined in the Commodity Exchange Act (CEA),7 U.s.e. 21 and 7 U.s.e. 1a(291. 2, A transaction requires reporting if it is conducted or attempted by, at, or through a BO, FCM or IB-[, it involves or aggregates funds or other assets of at least $5,000, and the BO, FCM, or IB-C knows, suspects, or has reason to suspect that the transaction (or a pattern of transactions of which the transaction is a part): i. Involvesfundsderived fromillegalactivityor is intended or conducted in orderlo hide or disguise funds or assets derived from illegal activity (including, without limitation, the ownership, nature, source, location, or control of such funds or assets) as part of a plan to violate or evade any federal law or regulation or to avoid any transaction reporting requirement under federal law or regulation; ii. Isdesigned, whether throughstructuringor other means, to evade any requirements of 31 CFR103 or of any other regulationspromulgated under the Bank SecrecyAct, Pub. l. 91-508, as amended, codifiedat 12 U.s.c. 1829b, 12 Us.e. 1951-1959, and 31 U.S.e. 5311 - 5314, 5316 - 5332; ii. A violation otherwise required to be reported on a SAR-SF: (a) of any of the federal securities laws or rules of an SRO by the BO or any of its officers, directors, employees or other registered representatives, other than a violation of 17 CFR 240,17a-8 or 17 CFR 405.4, so long as such violation is appropriately reported to the SEC or an SRO; or (bl under the CEA (7 U,S.c. 1 ef seq,J,the regulationsofthe CFTC(17 CFR Chpt.1), or the rules of any RFA or RE as those terms are defined in the CEA, 7U.S.e. 21 and 7 Us.e. la(29), by the FCM or IB-C or any of its officers, directors, employees or associated persons, other than a violation of 17 CFR 42.2, as long as such violation is appropriately reported to the CFTC or an RFA or RE. j 6. The Balik S~,Sfeey'A:t.r..quires financial institu- ... H b' I f I tions to file,putrency tra'i15action reports (CTRs) in '". as no uSlnessor apparent-aw u purpose accordancJ:witfhtbeDepartment of the Treasury's or IS not the sort m which the part,cular customer in.1plementirig";~gut<ltion5t~1 Ct'R Part 103). These would normally be expected to engage, and the,_,", 'j . ., f '" I' ., fl BO FCM or IB.C knows of no reasonable'" reg",..~t'ons require '\ Inan,,!a institution to I e a '. .' . . .,u'" .CTR whenever a cur(ency'transactJOn exceeds explanation for the transaction after exam'OI.pg the '., $JO~{)1{O.lfa currency t~~,",ciion exceeds $10,000 available facts, mcludmg the background,.and '"a.ruJ.i,,'suspicious, the irlStitution must file both a posSible purpose of the transaction; or '. CFRfreportingthe currencytransaction)alld a ,us- ,,' .~ \ pi:iousactivityreport (reportingthe suspiciousas￾iv. Involves use of !ie BO, FE;~ or IB-C to ., peds ofthe transaction!.tf a currencytransactionis facilitatecriminalactivjty. .", .., ~.1Q;OOOor less and is suspicious,the institution .. I c.'-'" ''''.., "";hould only file a suspicioIJs activity report. Appro￾3. The obhgatlon to !,denltty an,<! proper,ly and priate records must be maintained in each case- ~If'report a suspi,;ious trpnsactiqnr.f'Sts with "eachBO,FCM,and IB-( invci!Vedinth~Yransaction, ..pr6\ii<jed that no more;than pne report is required '(,2JI<' fil,td by any ofit~.e,'BOs, FCMs, or IB-Cs i,,;&q!vediria, particular-transaction (so long as the rep?~qled ~O]!tainSall relevant facts). . 4.A.SAR-SFshall be filed no later than 30 calendar 'days' after the date of the initial detection by the reporting BO, FCM,or IB-C of facts that may mnstitute a basis for filing a SAR-SF.tf no suspect is identified on the date of such initial detection, a BO, FCM, or IB-C may delay filing a SAR-Sf for an additional 30 caiendar days to identify a suspect, but in no case shall reporting be delayed more than 60 calendar days after the date of such initial detection. In situations involving violations that require immediate attention, such as terrorist financing or ongoing money laundering schemes, the BO, FCM, or IB-C shall immediately notily by telephone an appropriate law enforcement authority in addition to fihng timely a SAR-5F.BOs, rCMs, or IB-Cs wishing voluntarily to report suspicious transactions that may relate to terrorist activity may call FinCEN's rinancial Institutions Holline at 1-866-556-3974 in addition to filing timely a SAR-SF.The BD, FCM, or IB-C Illay also, but is not required to, contact the SEe or the UTC to report in such situations.

1. Exceptions. A BO, FCM, or IB-C is not required to file a SAR-SF to report: i. A robbery or burglary committed or attempted that IS reported to appropriate law enforcement authorities, or for lost, missing, counterfeit, or stolen securities with respect to which the BD files a report pursuant to the reporting requirements of 17 CFR 240.17f-l; See; 31 CfR Part 103; 17CfR 240.17a-8; 17CfR 405.4; 17 CFR 42.2 General Instructions A. Abbreviations and Definitions I. AKA-- also known as (individual)
2. ASE-- Americ.an Stock txchange 3. BO.. Broker or Dealer in Securities
3. CBOE-- Chicago Board Options Exchange
4. CBOT-- Chicago Board of Trade
5. CME-- Chicago Mercantile Exchange
6. CpOn Commodity Pool Operator 8, eRO-- Central Registration Depository
7. CfTC-- Commodity Futures Trading Commission
8. CTA-- Commodity Trading Advisor 11. CUSIP"n Committee on Uniform Securities 10 Proced",es Drug Enforcement Administratioll doing business as (entity) Employer Identification Number European Exchange Federal Bureau of Investigation Futures Commission Merchant Investment Adviser Introducing Broker-Commodities Immigration & Customs Enforc. Iliternal RevenIJe Service IndividlJal taxpayer 10 number Internatiollal Securities 10 Directory
9. KCBOI Kansas City Board of Frade
10. UfH-- London International hnancial Futures [xchange
11. DEAn .t3. OBAn
12. EINn
13. EtJREXn
14. FBI--
15. FCM--
16. IA--
17. I8-C--
18. ICE--
19. IRS--
20. ITIN-- 21- ISIO"-- Catalog No. 35351G Rev. 12/08/04

30520 Federal Register /Vol. 70, No. 101/ Thursday, May 26, 2005/ Notices 2 26. MAIII'-- Marche a lerrne International de hance 27. MCEX Minneapolis Grain Exchange 28. NASD.- NASD 29. NASDAQuNasdaq Stock Market 30. NfAh National futures Association 31. NYBOT-- New York Board of Trade (CSCE, erN, fINEX, NYFE) New York Mercantile Exchange New York Stock £Xchange Nasdaq Liffe Markets Over-the-counter Pacific Exchange Philadelphia Slock Exchange Registered Entity Registered futures Association Securities and Exchange Commission Self-Regulatory Organization ,ocial security number U. S. Futures Exchange 7. Type or complete the report using block writ￾ten letters. 8. Enterall dates in MM/OOfYYYYformatwhere MM=month, DO=day, and YVYY=year. Precede any single "umber with a zero, i.e., 01,02, etc. ated under a different trade or business name than its legal name, enter the organization', legal name in Item 3 le.g" Smith Enterprises, Inc.) and the name of the business in Item 6 (e,g., Smith's Tours). I( nlore than one Part I is required, make a copy of page 1 and provide the additional information. 9. list all Telephone numbers with (area code) fi"t and then the seven numbe", using the format (XXX)XXX.XXXX.list international telephone and (ax numbers in Part V. Item 6- Also known as, or doing business as. If a reporting institution has knowledge of a subject's separate "AKA' and/or entity's "DBA" name, enter it in Item 6. 32. NYMEX-- 33. NYSEu 34. NQlX-- 35. OTC-- 36. PCX-- 37. PHlX-- 38 RE-- 39. RfA-- 40. SEC-- 10. Always ent,,, an individual's name by enter￾ing the last name, firsl name, am! middle initial (i( known). If a legal entity is listed, enter its name in the last name field. Item 7- Occupation/type of business. I( known, identify the occupation, profession, or business that best describes the individual in Part I (e.g., 11. Enter all identifying numbers (alien registra- attorney, car dealer, carpenter, doctor, farmer, tion, CorporatelPartnership Resolution, CRD. plumber, truck driver, etc.). Do not use nonde￾CUSIp'~ driver's license/state 10, [IN, ITIN, f or- script terms such as ~~man, merchant, store eign National 10, 1510,' NfAID, passport, SEC, and owner lunless ,tore's n~",e is provided). I( sel( SSN, etc.) starting from left to right. Do not include employed,., ynemployecti or retired are used, add spaces, dashes, or other punctuation. current/(on~er, profe>sid~ if known (e.g self-ern. p,'9~ed bUililllig co!tracte>t unemployed teacher, 12. Enter all Post Office ZIP codes with at lea~t<~"retl~d attorney etc~: If t~ individual's business the fi"l five numbe" (all nine (liP + 4)) if ~oo;Vn))Icti'ilties Gin be desc,\bed "",re fully, provide the and listed from left to right. \ C a9d~ional information in Patty. .,-' ...)~ . '," 41. SROu 42. SSN-- 43. USrE.- 8. How to make a report:

1. This form can be .,..filed through the Bank Secrecy Act E-filing System. Go to http://bsaefiling.fincen.treas.gov/index.jsp to register. lhis form is also available for download 13. fnter.1I monetary am,ounls in U.SDolla". Items 8, 9, 10,11, and 12-- "Address. See Gen. on the financial Crimes [nlorcement Network's Use whole dollar amounts rounQed up when nec- e~II"structions 612 and B14. Web ,ite at www.(incen.gov. or may be ordered e>sary. Use this format: $O,ooo,'bo,o.oo. If (oreign, . by Gliling the IRS forms Distribution Center at currency is involved, $tate r1oll'e or~urrency and ..Iteri; 13-- *SSN/ITIN (individual) or UN (entity). (800) 829-2437. country of origin in Pa~ V. l/' '-"-.. . See General Instruction Bl1 and definitions. If the . . , . .,.' ,. ; -' '~"'. ,";> ,subject named in Items 3 through 6 ISa U.S. Clti- Send each completed SUSpICIOUSaclrvrty report 14. Adll~esses, general. Enter thC'_permanent zen or an alien with a SSN, enter his or her SSN In to: street address, city, two letter state/territory abbre- Item 13. If that individual is an alien who has an .viati9n u~d by the U.S. p'°stal Service, and lIP IlIN, enter that number. Ifthe subject is an entity, code IlIPd-4 il known) ofthe individual or entity. enter the EIN. " AliOs[ ofTic~lx?,xnumher should nol be used for an " indivi~l, unle51 no other address is available. for '\ an i;1dividhaCalso enter any apanment number or 'suite number, road or route number. If a P.O. Box is used for an entity. enter the street name, suite number, and road or route number. If the address of the individual or elltlty i, in a foreign country, enter the city, province or state, postal code, and the name of the country (countrycodes may be found at www.fincen.gov/reg..bsaforms.htm). Complete any part of the address that is known, even if the entire address is not known. If from the United Sldtes. leave country Item blank. Detroit Computing Center Attn: SAR.SF P.O. Box 33980 Detroit, MI 482:\2 .-'-. , " /. - \
2. IteOls marked ";;,th an "asterisk (*) dr<!icon.sid￾ered critiGiI and mu,t'~ m~pletP<l if k1ibwn.
3. i( the information for a '<;riticaiiten);,; not knowil or not appliGible, enter 5P~.fi~~r"5pon5eS"None," "NotAppliGible: 'Unknown';- or .XX" (state/coun. try/middle initial) as appropriate 10 complete the item. Item 14-" .Account number(s). See General In￾struction Bl1. Enter up to (our affected account numbers VI or Ihrorlgh which the suspicious activ￾ity occurred. If no account number is affected leave item 14 blank. Check the "yes" box to indicate if the account is closed. If more than fOlll account5 are affected,providethe additionalinformationin Pan V. Item 15- Date of birth. See Ceneral Instruction B8. If an individual is named in Items 3 through 5, enter the date of birth. If the month and/or day is not available or unknown, fill in with zeros (e.g., "01/00/1969" indicates an unknown date in January, 1969i.
4. Cnmplete each suspiciousactivity report by providingas much informationas possibleon ini￾tial and corrected reports. C. Specific Suspicious Activity Report Prepa. ration Instructions Item 16-- "Government issued identification. See General Instruction Bll. Cbeck the appropri￾ate box showing the type of document used to verify the sul~ect's identity. Box 'd' denotes that a corporate or partnership resolution was used to idelltify an entity. If you check the "Other" box "e', be sure to specify the type of document used. In box "f", list the 10 number of the identifying document. In box "gO,list the issuing authority.
5. Do not include supporting documentation with the suspicious activity report filed. Identify and retain a copy of the ,uspicious activity report and all supporting documentation le,g transaction records, new acconnt information, tape record￾ings, E-mail messages, correspondence, etc.1 or business record equivalent for YOill files for five (5) yearsfromthe date ofthe suspicious.ctivity report. All supporting documentation must be made available to appropriate authorities upon req m'st. Item 1-- Type of report. Check Box if this report is filed to corre~1 a previously filed SAR-Sf. To cor￾rect a report, a new SAR-srmuslbe completed '" its entirety. Note corrected items in Section VI Isee line 'u"l. Part I Subject Information Enter information about the person(s) or "ntity in￾volved Ihat was the cause of this report, not the victim of the activity. Items 17 & t8- Telephone numbers. See Gen￾eral Instruction B9. list any additi,,,,al I1Innberfsl (e g., hotel, cell, etc.) in PartV. 6. I( more than one ,ubject is being reported, make a copy 01 page 1, complete oilly the subject inlormation in Part I, and attach Ihe additional pagefs)behind page1.If lIloreSPilCeis needed to complete any other itemls), identify that item in Part V by "item number: and provide the addi- tional information. Item 2 -. Multiple Subjects. Check box fa) if mul￾tiple subjects are Involved. Attach additional mpyllesj 01 Part I to Ihisreportfor,'achsubject. Check box Ih) if subject inlormatlonunavailable. Item 19-- Institution association. Ind icate whether the suujeclidentifiedin Part I is, or was, associatedwith the reportinginstitutionas an "as￾Items 3, 4, and 5-*Name of Subject. See Gen￾erol Instruction ij 10. If the organization is oper.

Federal Register/Vol. 70, No. lOl/Thursday, May 26, 200S/Notices 30521 3 Items 47, 48, and 49-- 'Conlact indi'idual. See General InslructiOl>.B,lO:
Item 5o-,mif~ipositib,~. [nter the job title/posi- :~~~ of Ihe~ptatt. individ\al. Ilem 36-lnlemal conlrol/file number. (Optionalrc""'It"!ii> 51.. 'Work le'!,phoh!, number. See Gen- [nter any inlernal file or report number as.signe.J/ef.iII,nstruclion B9. \ '
by the reporting institution 10 track this repd(t. .".-""'. -.,.".f' \ .-Ile',\1.52.. 'Date report prepared. See General Items 37, 38, 39, 40 and'41--Additionald- I(iStructionB8. dress locations. See ge"";ra(r~uction BI4.'X \ . . . . - mort' than oOP lorati~n is'.iflV.olved e.g.. branch\ Pan,. V ' SUSP'CIOUSActIvIty Information - office etc.. provide t~e ad,l~ss ofth~ location ;,.Ntr"rative See !)agf' 7 .ofthe form for instrtlrtioo< where the most signi~canti..p&tion of 'th~ suspi- and...dIedlill. cipus..'transactions oCqUrred.I(..m'o", thag,.iWo 10- ';:"atioos ~1~ inv.olved check i:fux 3S ahd' list loca- Paperwork Reduction Act Nolice: WiiS'.inPartV. , } / E",) Item 22., I I enl ty M k th ty f . \ .. n~ 42.':'C!:ntral Regi~t;"tlon Depository num- ns rum pe. aL~ e pe 0 '''' b'- .s G . I . B f I strument identified.in 1t~~.klt.(Ch~ck.~1Ithat ap-, b~a\ke,~,. ~.n~r.aInstructIon 11. I none. eave ply.)In Item 22b, I~,d.catey,S",Rollawpnly. For '\ <., Item 22r, indicate c4rren~jf uIJ:Hit,tlranru.S.001- '. .d" lar.;.ForItem 22s. e,;"r ap'plopriat~threeh.ofIVe- Item 43--.SECnumber. See General Instruction letter code 'I." Bl1. lhososa ten d'g,t numberrndudrngthe prefix . . ~-;' of either '8' or 'OOS' depending on the system Items 23, 24, 25, 26, 27~and '28- j:tJ'SIf'ZNurn- used. If none. leave blank. ber.;. Enter lip 10 six (6) sec&rit!~",..r,jmbe". If more. entN additional in PartV. "' sociated person," as defined in section 3(a)(18) of the Securities Exchange Act of 1934 or eFTC rule 1.3(aal, or is, or was, "affiliated with" the reporting institution,as defined in CFTC rule 4.7(a)(1)(il. If 50, explain in Part V. Part II Suspicious Activity Information Item 20-- 'Date or date range of suspicious ac￾tivity. See General Instruction BS. Enler the dale of the reponed activily in the -Emm" f",ld. If more than one day, indicate the duration of the activity by entering the first date in the '[r.om' field and the last date in the "lJ:)" tield. If the same indi. vidual or organization conducts multiple or related activities within the 30 calendar day period after the date of initial detection. the reporting institu. tion may consider reporting the suspicious trans￾actions on one form, but only if doing so will fully describe what has occurred. A new report must be filed for other related suspicious transactions com￾mitted after the initial detection period. Item 21-- 'Total dollar amount. See General In￾stroction B13. [nler the tolal dollar vdlue of the funds or assets involved in (he suspidous activity that is conducted by the same individual or organi￾zation within the 30 calendar day period after the date of ioitial detection. For multiple or related suspicious transactions, show the breakdown of this aggregaled 10~11in Part V.for abuse by a person associated with the institution. the value of this item can be zero (0). Do not use any words. such as,. "lhousand". "million", elc. For foreign currensy;,'" convert to u.s. DolI.rs. " Item 29-- "Type of suspicious activity. Check the box(es) that identifies the suspicious activity. More thao one box may be checked. Provide a brief explanation in Pan V of why each box is checked. If none of these items applies, mark "other" and provide in Part V an explanalion of the tyj,e of suspicious activity. Part III Reporting Financial Institution Infor￾mation Item 3~ 'Name of financial institution or sole proprietorship. Enter the full legal name of the institution, i.e.. the name shown on the charter or other document creating the entity and registered with the SEe or eFTc. If a sole proprietor, enter the business name of the proprietor.;hip registered with the S[ e or CFTC. Item 31","Employer identification number. See General Instruction Bl1. Enter the reporting fi. nancial institution's [IN. If sole proprietor enter SSN or ITIN. Items '32, '33, "34, and "35-- Address. See GeneralInstructionB14.This.ddre.. shouldbe of the principal office or headquarters il>the United States. Uem 44.- NfAidentification number. See Gen￾erallnstructlon Bll. If none, leave blank. Item 45-. Joint filing. If this report is being filed jointly by more than one financial institution (see "When to file a report Item 3") check the appro￾priate box alld, ill Port V. n.ote that this" joint filing, indicate the name of the other financial institution(s), and then provide the narrahve de￾tails. Item 46-. Type of reporting institution. Check all boxes that apply to this partin.l.. report If none of these categories apl,ly to you, explain in Part V. The Federal Bureau of Public Debt. its agents, and any other federal ageocy issller.; of Fedeoal Securi￾ties should mark '[ J~ ,,overnment broker/dealer' State or municipal issuers of municipal securities should mark "Municipal bf()k~ale.r..: A securi￾ties SRO, RfA. or RE-futures entity filing this form should identify the institution type as that of the member institution for which this report is being filed, and in Part IV,(Items 47, 48, 49, 50, 51, and 52) identify the securities SRO, RfA or RE.futures entity individual to contact. Part IV Contact for assistance The purp"'" of this fom, ;,. to provide an effective means for financial institutions to notify appropri￾ate law enforcement agencies of suspicious trans￾actions that occur by. through, or at the financial institutions. This report is required by law, pursu￾ant to authority contained in 31 U.S.c. 5318(gl. Information collected on this report is confidential (31 U.S.c. S316(g). federal securities and futures regulatory agencies and the U.S. Departmeots of Justice and Treasury, and other authorized authori￾ties, may use alld share this information. Public reporting and record keeping burden for this form is estimated to average 45 minutes per response, and includes time to galher and maintain informa￾tion for the req uired report, review the instruc' tions, and complete the information collec.lion. Send comments regarding this burden estimate, including suggestions for reducing the burden, to the Office of Management and Budget Paperwork Reduction Prolect. Washington, DC 20503 and to the Financial Crimes Enforcement Network, Attn.: Paperwork Reduction Act P.O. Box 39, Vienna VA 22183-0039. The agency may not cond'JCt or spon￾sor. and an organization (or a person) is not re￾quired to respond to. a collection of information unless it displays a currently valid OMB control number.

30522 Federal Register / Vol. 70, No. 101/ Thursday, May 26, 2005/ Notices [FR Doc. 05-10503 Filed 5-25-05; 8:45 amI BilliNG CODE4811)-{)2-<: DEPARTMENT OF THE TREASURY Submission for OMB Review; Comment Request May 20, 2005. The Department of Treasury has submitted the following public information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Public Law 104-13. Copies of the submission(s) may be obtained by calling the Treasury Bureau Clearance Officer listed. Comments regarding this information collection should be addressed to the OMB reviewer listed and to the Treasury Department Clearance Officer, Department of the Treasury, Room 11000, 1750 Pennsylvania Avenue, NW., Washington, DC 20220. Dates: Written comments should be received on or before June 27, 2005, to be assured of consideration. Internal Revenue Service (IRS) OMB Number: 1545-0058. Form Numbers: IRS Form 1028. Type of Review: Extension. Title: Application for Recognition of Exemption under Section 521 of Internal Revenue Code. Description: Farmers' cooperatives must file Form 1028 to apply for exemption from Federal income tax as being organizations described in Internal Revenue Code (IRC)section 521. The information on Form 1028 provides the basis for determining whether the applicants are exempt. Respondents: Business or other for￾profit. Estimated Number of Respondents/ Recordkeepers: 50. Estimated Burden Hours Respondent/ Recordkeeper: Recordkeeping--44 hr., 14 min. Learning about the law or the form-l hr., 44 min. Preparing the form--4 hr., 23 min. Copying, assembling, and sending the form to the IRS-32 min. Frequency of Response: On occasion. Estimated Total Reporting/ Recordkeeping Burden: 2,545 hours. OMB Number: 1545-1911. Form Number: IRS Form 8889. Type of Review: Extension. Title: Health Savings Accounts (HSAs). Description: Form 8889 is used by taxpayers to report HSA contributions, deductions, and distributions. Respondents: Individuals and households. Estimated Number of Respondents/ Recordkeepers: 1,400,000. Estimated Burden Hours Respondent/ Recordkeeper: Recordkeeping-33 min. Learning about the law or the form-19 min. Preparing the form-l hr., 9 min. Copying, assembling, and sending the form to the IRS-20 min. Frequency of Response: Annually. Estimated Total Reporting Burden: 3,234,000 hours. Clearance Officer: Glenn P. Kirkland, (202) 622-3428, Internal Revenue Service, Room 6516,1111 Constitution Avenue, NW., Washington, DC 20224. OMB Reviewer: Alexander T. Hunt, (202) 395-7316, Office of Management and Budget, Room 10235, New Executive Office Building, Washington, DC 20503. Lois K. Holland, Treasury PRA Clearance Off jeer. [FR Doc. 05-10558 Filed 5-25-05; 8:45 amI BilLING CODE 4831)-{)1-P DEPARTMENT OF THE TREASURY Submission for OMB Review; Comment Request May 20, 2005. The Department of Treasury has submitted the following public information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Pub.

1. 104-13. Copies of the submission(s) may be obtained by calling the Treasury Bureau Clearance Officer listed. Comments regarding this information collection should be addressed to the OMB reviewer listed and to the Treasury Department Clearance Officer, Department of the Treasury, Room 11000, 1750 Pennsylvania Avenue, NW., Washington, DC20220. Dates: Written comments should be received on or before June 27, 2005, to be assured of consideration. Internal Revenue Service (IRS) OMB Number: 1545-0723. Regulation Project Number: LR-115- 72 Final. Type of Review: Extension. Title: Manufacturers Excise Taxes on Sporting Goods and Firearms and Other Administrative Provisions of Special Application to Manufacturers and Retailers Excise Taxes. Description: Chapters 31 and 32 ofthe Internal Revenue Code impose excise taxes on the sale or use of certain articles. Section 6416 allows a credit or refund of the tax to manufacturers in certain cases. Sections 6420, 6421, and 6427 allow credits or refunds of the tax to certain users of the articles. Respondents: Business or other for￾profit, individuals or households, not￾for-profit institutions, farms, State, local or tribal government. Estimated Number of Respondents/ Recordkeepers: 1,500,000. Estimated Burden Hours Respondent/ Recordkeeper: 19 minutes. Frequency of Response: On occasion. Estimated Total Reporting/ Recordkeeping Burden: 475,000 hours. OMB Number: 1545-1646. Regulation Project Number: REG￾209060-86 Final. Type of Review: Extension. Title: Return Requirement for United States Persons Who Acquire or Dispose of an Interest in a Foreign Partnership, or Whose Proportional Interest in a Foreign Partnership Changes Substantially. Description: Section 6046A requires U.S. persons to provide certain information with respect to the acquisition or disposition of a 10- percent interest in, or a 10-percent change in ownership of, a foreign partnership. This regulation provides reporting rules to identify U.S. persons with respect to these interests. Respondents: Business or other for￾profit, individuals and households, not￾for-profit institutions. Estimated Number of Respondents: 1. Estimated Burden Hours Respondent: 1 hour. Frequency of Response: Annually. Estimated Total Reporting Burden: 1 hour. OMB Number: 1545-1767. Regulation Project Number: REG￾107644-98 Final. Type of Review: Extension. Title: Dollar-Value LIFO Regulations; Inventory Price Index Computation Method. Description: The primary reason for obtaining this information is to ensure compliance by taxpayers electing to use both the LIFO inventory method and the IPIC method of accounting for their dollar-value inventory pools. Most respondents will be manufacturers, wholesalers, and retailers of tangible personal property. Respondents: Business or other for￾profit. Estimated Number of Respondents/ Recordkeepers: 1. Estimated Burden Hours Respondent/ Recordkeeper: 1 hour. Frequency of response: On occasion. Estimated Total Reporting/ Recordkeeping Burden: 1 hour. OMB Number: 1545-1920.