Proposed Collection; Comment Request; Update and Revision of the FinCEN Suspicious Activity Reports Electronic Data Fields, 9109-9114 [2017-02235]
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Federal Register / Vol. 82, No. 21 / Thursday, February 2, 2017 / Notices
the affected lines because there are no
unionized employees employed by
Southwestern.
The earliest the transaction could be
consummated is February 16, 2017, and
the parties expect to consummate the
transaction at that time.
If the verified notice contains false or
misleading information, the exemption
is void ab initio. Petitions to revoke the
exemption under 49 U.S.C. 10502(d)
may be filed at any time. The filing of
a petition to revoke will not
automatically stay the effectiveness of
the exemption. Petitions to stay must be
filed by February 9, 2017 (at least seven
days before the exemption becomes
effective).
An original and ten copies of all
pleadings, referring to Docket No. FD
36084, must be filed with the Surface
Transportation Board, 395 E Street SW.,
Washington, DC 20423–0001. In
addition, a copy of each pleading must
be served on: John D. Heffner,
Strasburger & Price, LLP, 1025
Connecticut Ave. NW., Suite 717,
Washington, DC 20036.
According to NMCR, this action is
categorically excluded from
environmental review under 49 CFR
1105.6(c).
Board decisions and notices are
available on our Web site at
WWW.STB.GOV.
Decided: January 30, 2017.
By the Board, Rachel D. Campbell,
Director, Office of Proceedings.
Kenyatta Clay,
Clearance Clerk.
[FR Doc. 2017–02284 Filed 2–1–17; 8:45 am]
BILLING CODE 4915–01–P
(WYCO).1 David L. Durbano (Durbano)
commonly controls these railroads now
as well as a fourth Class III carrier,
Southwestern Railroad, Inc.
(Southwestern).2 The applicants have
submitted to the Board a letter of intent
concerning the transaction in this
docket and will submit a final Purchase
and Sale Agreement once negotiations
are complete and the agreement is
executed.3
The applicants certify that: (1) The
carriers that are the subject of this notice
do not connect with each other, Delta,
or NMCR; (2) this transaction is not part
of a series of anticipated transactions
that would connect these rail carriers
with each other; and (3) the transaction
does not involve a Class I carrier. The
proposed transaction is therefore
exempt from the prior approval
requirements of 49 U.S.C. 11323
pursuant to 49 CFR 1180.2(d)(2).
The earliest the transaction could be
consummated is February 16, 2017, the
effective date of the exemption (30 days
after the verified notice was filed). The
parties expect to consummate the
transaction on or about February 17,
2017.
Under 49 U.S.C. 10502(g), the Board
may not use its exemption authority to
relieve a rail carrier of its statutory
obligation to protect the interests of its
employees. Section 11326(c), however,
does not provide for labor protection for
transactions under §§ 11324 and 11325
that involve only Class III rail carriers.
Accordingly, the Board may not impose
labor protective conditions here,
because all of the carriers involved are
Class III carriers.
If the verified notice contains false or
misleading information, the exemption
is void ab initio. Petitions to revoke the
exemption under 49 U.S.C. 10502(d)
SURFACE TRANSPORTATION BOARD
[Docket No. FD 36084]
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West Branch Intermediate Holdings,
LLC and Continental Rail LLC—
Acquisition of Control Exemption—
Cimarron Valley Railroad, L.C.,
Clarkdale Arizona Central Railroad,
L.C., Wyoming and Colorado Railroad
Company, Inc.
West Branch Intermediate Holdings,
LLC (West Branch) and Continental Rail
LLC (Continental) have filed a verified
notice of exemption pursuant to 49 CFR
1180.2(d)(2), for West Branch to acquire
control of, and for Continental to
manage, the following Class III rail
carriers: Cimarron Valley Railroad, L.C.
(Cimarron), Clarkdale Arizona Central
Railroad, L.C. (Clarkdale), and Wyoming
and Colorado Railroad Company, Inc.
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1 West Branch currently controls another Class III
carrier, Delta Southern Railroad, Inc. (Delta), and it
will continue to do so after it consummates its
acquisition of Cimarron, Clarkdale, and WYCO.
2 The applicants do not intend to acquire control
of Southwestern. Instead, West Branch will acquire
certain assets of Southwestern through a newly
formed subsidiary, New Mexico Central Railroad,
LLC (NMCR). On the same day the applicants filed
their verified notice in this docket, NMCR filed a
verified notice of exemption under 49 CFR 1150.31
to acquire and operate those Southwestern assets.
See N.M. Cent. R.R.—Acquis. & Operation
Exemption—Sw. R.R., Whitewater Division, Docket
No. FD 36085. Concurrently, West Branch and
Continental filed a verified notice of exemption
under 49 CFR 1180.2(d)(2) for West Branch to
acquire and for Continental to manage NMCR upon
NMCR’s becoming a Class III carrier. See W. Branch
Intermediate Holdings & Cont’l Rail—Continuance
in Control Exemption—N. M. Cent. R.R., Docket No.
FD 36087.
3 The applicants filed their letter of intent under
seal and have moved that the Board issue a
protective order governing access to the
confidential materials. That motion is being
addressed separately.
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9109
may be filed at any time. The filing of
a petition to revoke will not
automatically stay the effectiveness of
the exemption. Petitions to stay must be
filed by February 9, 2017 (at least seven
days before the exemption becomes
effective).
An original and ten copies of all
pleadings, referring to Docket No. FD
36084, must be filed with the Surface
Transportation Board, 395 E Street SW.,
Washington, DC 20423–0001. In
addition, a copy of each pleading must
be served on: John D. Heffner,
Strasburger & Price, LLP, 1025
Connecticut Ave. NW., Suite 717,
Washington, DC 20036.
Board decisions and notices are
available on our Web site at
‘‘WWW.STB.GOV.’’
Decided: January 30, 2017.
By the Board, Rachel D. Campbell,
Director, Office of Proceedings.
Kenyatta Clay,
Clearance Clerk.
[FR Doc. 2017–02285 Filed 2–1–17; 8:45 am]
BILLING CODE 4915–01–P
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network
Proposed Collection; Comment
Request; Update and Revision of the
FinCEN Suspicious Activity Reports
Electronic Data Fields
Financial Crimes Enforcement
Network (‘‘FinCEN’’), U.S. Department
of the Treasury.
ACTION: Notice and request for
comments.
AGENCY:
FinCEN, a bureau of the U.S.
Department of the Treasury
(‘‘Treasury’’), invites all interested
parties to comment on its proposed
update and revisions to the collection of
information filings by financial
institutions required to file such reports
under the Bank Secrecy Act (‘‘BSA’’).
This notice does not propose any new
regulatory requirements or changes to
the requirements related to suspicious
activity reporting. The data fields reflect
the filing requirement for all filers of
SARs under the BSA. This request for
comments is being made pursuant to the
Paperwork Reduction Act (PRA) of
1995, Public Law 104–13, 44 U.S.C.
3506(c)(2)(A).
SUMMARY:
Written comments are welcome
and must be received on or before April
3, 2017.
ADDRESSES: Written comments should
be submitted to: Policy Division,
Financial Crimes Enforcement Network,
DATES:
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Department of the Treasury, P.O. Box
39, Vienna, Virginia 22183, ‘‘Attention:
PRA Comments—2016 SAR Database.’’
Comments also may be submitted by
electronic mail to the following Internet
address: regcomments@fincen.treas.gov,
with the caption, ‘‘Attention: 2016 SAR
Database’’ in the body of the text. Please
submit by one method only.
FOR FURTHER INFORMATION CONTACT: The
FinCEN Resource Center at 800–767–
2825 or electronically at frc@fincen.gov.
SUPPLEMENTARY INFORMATION:
Title: FinCEN Suspicious Activity
Report by Financial Institutions (see 31
CFR 1020.320, 1021.320, 1022.320,
1023.320, 1024.320, 1025.320, 1026.320,
1029.320, and 1030.320).
OMB Number: 1506–0065.1
Form Number: FinCEN 111.
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 U.S.C. 1829b,
12 U.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 anti-money laundering
programs and compliance procedures.2
Regulations implementing Title II of the
BSA appear at 31 CFR Chapter X. The
Secretary has delegated to the Director
of FinCEN the authority to administer
the BSA.3
The information collected on the
‘‘report’’ is required to be provided
pursuant to 31 U.S.C. 5318(g), as
implemented by FinCEN regulations 31
CFR 1020.320, § 1021.320, § 1022.320,
§ 1023.320, § 1024.320, § 1025.320,
§ 1026.320, § 1029.320, and § 1030.320.
The information collected under this
requirement is made available to
appropriate agencies and organizations
as disclosed in FinCEN’s Privacy Act
1 The SAR regulatory reporting requirements are
currently covered under the following OMB Control
numbers: 1506–0001 (Depository Institutions),
1506–0006 (Casinos and Card Clubs), 1506–0015
(Money Services Business), 1506–0019 (Securities
and Futures Industries), 1506–0029 (Insurance
Companies), and 1506–0061 (Residential Mortgage
Lenders and Originators). Housing GSE’s are not
subject to the PRA. OMB Control number 1506–
0065 applies to the SAR report, not the regulations.
2 Language expanding the scope of the BSA 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), Public Law 107–56.
3 Treasury Order 180–01 (Sept. 26, 2002).
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System of Records Notice relating to
BSA Reports.4
Current Action: FinCEN is updating
and revising several items in the
electronic data elements currently
supporting the reporting of suspicious
financial activities. Attached at the end
on this notice is a revised ‘‘Summery of
Data Fields’’ that reflects the revised
electronic items. Items identified for
removal remain usable for entry into the
text field associated with the various
‘‘z’’ other boxes. The following updates
are proposed;
(1) Type of filing, 1e remove the
reference to ‘‘document control
number’’
(2) Add new item 2 ‘‘Filing Institution
Note to FinCEN’’ followed by a text field
with 100 character limit. This item
allows the filer to identify reports filed
in response to geographical targeting
orders and BSA advisories etc.
(3) Part I, item 24j, remove ‘‘no
relationship to institution’’ option. No
other changes.
(4) Part II, Items 32a and b, add ‘‘or
cancels’’ to the current item, item 32c,
remove the current item.
(5) Item 34b add ‘‘Advanced Fee’’ and
remove ‘‘Business loan’’, item 34i,
remove mass marketing and replace
with ‘‘Ponzi Scheme,’’ item 34l, add
‘‘Securities Fraud.’’
(6) Item 35, change the section title to
‘‘Gaming Activities’’ item 35a, replace
the current item with ‘‘Chip walking’’,
item 35b, replace the current item with
‘‘Minimal gaming with large
transactions’’ item 35d, add ‘‘Unknown
source of chips.
(7) Item 36b, remove the current item
and replace with ‘‘Funnel account.’’
(8) Item 37d, add ‘‘Provided
questionable or false identification’’.
(9) Item 38g, insert ‘‘Human
Trafficking/Smuggling,’’ 38i, remove the
current item. Item 38p, add
‘‘Transaction(s) involving foreign high
risk jurisdiction’’, item 38q, remove the
current entry.
(10) Item 40b, remove ‘‘wash trading’’
from current item and add as a new item
e.
(11) Item 41a add new ‘‘Application
Fraud,’’ item 41c, add Foreclosure/Short
sale fraud, item 41e, add origination
fraud, and remove ‘‘reverse mortgage
fraud.’’
(12) Item 42, Add as new category
‘‘Cyber-event,’’ add new 42a ‘‘Against
the Financial Institution(s),’’ 42b
‘‘Against the Financial Institutions
4 Department of the Treasury bureaus such as
FinCEN renew their System of Records Notices
every three years unless there is cause to amend
them more frequently. FinCEN’s System of Records
Notice for BSA Reports System was most recently
published at 79 FR 20969 (April 14, 2014).
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customer(s),’’ add 42z, ‘‘Other’’ with the
associated text field.
(13) Item 43n, remove the term
‘‘Penny Stocks’’
(14) Item 48 IP Address, add item 48a,
Date field (yyyy/mm/dd), and 48b Time
field (hh:mm:ss in UTC).
(15) Add new item 49 Cyber-event
Indicator (Multiple entries up to 99),
add 49a, Command & Control IP
Address, 49a1, value Text field,5 49a2,
Date associated with the event, 49a3,
UTC time hh:mm:ss, add 49b, Command
& Control URL/Domain, 49b1, Value
text field, add 49c, Malware MD5,
Malware SHA–1, or Malware SHA–256,
49c1, Value text field, add 49d Media
Access Control (MAC) Address, 49d1,
Value text field, add 49e, Port, 49e1,
Value text field, add 49f Suspicious EMail Address, 49f1, Value text field, add
49g, Suspicious Filename, 49g1, Value
text field, add 49h, Suspicious IP
Address, 49h1, Value text field, 49h2,
Date associated with the event, 49h3,
UTC time hh:mm:ss, add 49i Suspicious
URL/Domain, 49i1, Value text field, add
49j, Targeted System, 49j1, Value text
field, add 49z Other, Text field, 49z1,
Value text field.
(16) Part III, no change to the data
items.
(17) Part IV, increase the field length
for Part IV, Item 93, ‘‘Designated contact
office,’’ to 50 characters.
(18) A comprehensive summary of the
proposed SAR data fields appears as an
appendix to this notice.
Request comments on the aboveproposed updates/revisions and new
cyber-event items to the report.
Type of Review: Update and revisions
of a currently approved collection.
Affected public: Business or other forprofit and not-for-profit financial
institutions.
Frequency: As required.
Estimated Reporting Burden: Average
of 60 minutes per report and 60 minutes
recordkeeping per filing. (The reporting
burden of the regulations 31 CFR
1020.320, 1021.320, 1022.320, 1023.320,
1024.320, 1025.320, 1026.320, 1029.320,
and 1030.320, is reflected in the burden
for the form.)
Estimated Recordkeeping and
Reporting Burden: 120 minutes (60
minutes reporting and 60 minutes
recordkeeping, for a total of 2 hours).
Estimated number of respondents:
84,655 (Broker-Dealers, Casinos and
Card Clubs, Depository Institutions,
Future Commission Merchants,
Insurance Companies, Money Services
Businesses, Mutual Funds, Non-Bank
Residential Mortgage Lenders and
5 Each cyber-event indicator value text field is
limited to 100 characters.
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Originators). Housing Government
Sponsored Enterprises are required to
report suspicious activities but are not
subject to the PAR.
Estimated Total Annual Responses:
2,348,395.6
Estimated Total Annual Reporting
and Recordkeeping Burden: 4,696,790
hours.
Note: A joint filing will increase the
burden to 90 minutes reporting and 60
minutes recordkeeping for a total of 2 and 1⁄2
hours per report.7
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 BSA 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, and (f) the new
cyber-event items.
Jamal El Hindi,
Deputy Director, Financial Crimes
Enforcement Network.
Appendix—SAR Comprehensive
Summary of Data Fields
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Note: Critical fields are identified with the
* symbol in front of the data element
number.
Type of Filing
* 1. Check all that apply:
a. Initial report
b. Correct/Amend prior report
c. Continuing activity report
d. Joint report
6 Numbers are based on actual 2016 filings as
reported to the BSA E-Filing System, as of 01/01/
2017.
7 Two or more separate financial institutions
filing a single SAR. This type of filing constitutes
less than 1% of total filings.
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e. Prior report BSA Identification Number
if items 1b or 1c are checked
f. BSA Identification Number
2. Filing Institution Note to FinCEN
Part I Subject Information
3. Check:
a. If entity
b. If all critical * subject information is
unavailable (does not include item 27)
* 4. Individual’s last name or entity’s legal
name
a. (check if) unknown
* 5. First name
a. (check if) unknown
6. Middle name
7. Suffix
8. Gender
a. (Check if) Male
b. (Check if) Female
c. (Check if) Unknown
9. Alternate name, e.g. AKA—Individual or
DBA—Entity (multiple entries allowed)
10. Occupation or type of business
a. NAICS Code
* 11. Address
a. (check if) unknown
* 12. City
a. (check if) unknown
* 13. State
a. (check if) unknown
Note: FinCEN will derive the State through
third party data as enhanced data if not
provided and Country is US, Mexico or
Canada and ZIP/Postal Code is provided.
* 14. ZIP/Postal Code
a. (check if) unknown
Note: FinCEN will derive ZIP + 4 through
third party data as enhanced data if not
provided or verified through third party data
if provided.
New Data Element of County—FinCEN will
derive through third party data as enhanced
data.
New Data Elements for GEO Coding—
FinCEN will derive through third party data
as enhanced data.
New Data Element of HIFCA code—
FinCEN will derive through third party data
as enhanced data.
New Data Element of HIDTA code—
FinCEN will derive through third party data
as enhanced data.
* 15. Country Code (2 letter code—list
provided)
a. (check if) unknown (multiple entries
allowed for items 11–15)
* 16. TIN (enter number in space provided
and check appropriate type below)
a. (check if) unknown
17. TIN type (* if 16 is known)
a. EIN
b. SSN–ITIN
c. Foreign
* 18. Form of identification for subject:
(multiple entries allowed)
a. (check if) unknown
b. (check if) Driver’s license/state ID
c. (check if) Passport
d. (check if) Alien registration
e. Number
f. Issuing State
g. Issuing Country
z. (check if) Other (and specify type in
space provided)
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9111
* 19. Date of birth mm/dd/yyyy
a. (check if) unknown
20. Phone number—type
a. (check if) Home
b. (check if) Work
c. (check if) Mobile
d. (check if) Fax
21. Phone number
a. Extension (if any) (multiple entries
allowed for items 20 and 21)
22. Email address (if available) (multiple
entries allowed)
22a. Web site (URL) address (if available)
(multiple entries allowed)
23. Corroborative statement to filer?
a. (check if) Yes
b. (check if) No
24. Relationship of the subject to an
institution listed in Part III or IV (check
all that apply)
a. Institution TIN
b. Accountant
c. Agent
d. Appraiser
e. Attorney
f. Borrower
g. Customer
h. Director
i. Employee
j. Officer
k. Owner or Controlling Shareholder
z. Other (and specify type in space
provided)
25. If item 24h, i, j, or k is checked, indicate
status of relationship
a. (check if) Relationship continues
b. (check if) Terminated
c. (check if) Suspended/barred
d. (check if) Resigned
26. Action date if 25b, c, or d is checked
(multiple entries allowed for items 24,
25, and 26)
* 27. Financial Institution TIN and account
number(s) affected that are related to
subject, if any.
a. (check if) No known account involved
b. (check if) Non-US Financial Institution
c. TIN
d. account number
e. (check if) closed
f. account number
g. (check if) closed
h. TIN
i. account number
j. (check if) closed
k. account number
l. (check if) closed
(multiple financial institution TIN and
account number entries allowed)
28. Subject’s role in suspicious activity (if
applicable)
a. (check if) Purchaser/Sender
b. (check if) Payee/Receiver
c. (check if) Both a & b
Part I Subject Information can be repeated
up to a total of 999 subjects.
Part II Suspicious Activity Information
* 29. Amount involved in this report
a. (check if) Amount unknown
b. (check if) No amount involved
* 30. Date or date range of suspicious activity
for this report
a. From: mm/dd/yyyy
b. To: mm/dd/yyyy
31. Cumulative amount only if box 1c
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(continuing activity report) is checked
* (32–42: specific type of suspicious
activity) When completing items 32 through
42, check all that apply.
32. Structuring
a. Alters or cancels transaction to avoid
BSA recordkeeping requirement
b. Alters or cancels transaction to avoid
CTR requirement
c. Transaction(s) below BSA recordkeeping
threshold
d. Transaction(s) below CTR threshold
e. Suspicious inquiry by customer
regarding BSA reporting or
recordkeeping requirements
z. Other (specify type of suspicious activity
in space provided)
33. Terrorist Financing
a. Known or suspected terrorist/terrorist
organization
z. Other (specify type of suspicious activity
in space provided)
34. Fraud
a. ACH
b. Advance Fee
c. Check
d. Consumer loan (see instructions)
e. Credit/Debit card
g. Healthcare
h. Mail
i. Ponzi Scheme
j. Pyramid scheme
k. Securities Fraud
l. Wire
z. Other (specify type of suspicious activity
in space provided)
35. Gaming Activities
a. Chip walking
b. Minimal gaming with large transactions
c. Suspicious use of counter checks or
markers
d. Unknown source of chips
z. Other (specify type of suspicious activity
in space provided)
36. Money laundering
a. Exchanges small bills for large bills or
vice versa
b. Funnel account
c. Suspicion concerning the physical
condition of funds
d. Suspicion concerning the source of
funds
e. Suspicious designation of beneficiaries,
assignees or joint owners
f. Suspicious EFT/Wire transfers
g. Suspicious exchange of currencies
h. Suspicious receipt of government
payments/benefits
i. Suspicious use of multiple accounts
j. Suspicious use of noncash monetary
instruments
k. Suspicious use of third-party transactors
(straw-man)
l. Trade Based Money Laundering/Black
Market Peso Exchange
m. Transaction out of pattern for
customer(s)
z. Other (specify type of suspicious activity
in space provided)
37. Identification/Documentation
a. Changes spelling or arrangement of name
b. Multiple individuals with same or
similar identities
c. Provided questionable or false
documentation
d. Provided questionable or false
identification
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e. Refused or avoided request for
documentation
f. Single individual with multiple
identities
z. Other (specify type of suspicious activity
in space provided)
38. Other suspicious activities
a. Account takeover
b. Bribery or gratuity
c. Counterfeit instruments
d. Elder financial exploitation
e. Embezzlement/theft/disappearance of
funds
f. Forgeries
g. Human Trafficking/Smuggling
h. Identity theft
i. Little or no concern for product
performance penalties, fees, or tax
consequences
j. Misuse of position or self-dealing
k. Suspected public/private corruption
(domestic)
l. Suspected public/private corruption
(foreign)
m. Suspicious use of informal value
transfer system
n. Suspicious use of multiple transaction
locations
o. Transaction with no apparent economic,
business, or lawful purpose
p. Transaction(s) involving Foreign high
risk jurisdiction
q. Two or more individuals working
together
r. Unlicensed or unregistered MSB
z. Other (specify type of suspicious activity
in space provided)
39. Insurance
a. Excessive insurance
b. Excessive or unusual cash borrowing
against policy/annuity
c. Proceeds sent to or received from
unrelated third party
d. Suspicious life settlement sales
insurance (e.g. STOLI’s, Viaticals)
e. Suspicious termination of policy or
contract
f. Unclear or no insurable interest
z. Other (specify type of suspicious activity
in space provided)
40. Securities/Futures/Options
a. Insider trading
b. Market manipulation
c. Misappropriation
d. Unauthorized pooling
e. Wash Trading
z. Other (specify type of suspicious activity
in space provided)
41. Mortgage fraud
a. Application fraud
b. Appraisal fraud
c. Foreclosure/Shortsale fraud
d. Loan modification fraud
e. Origination fraud
z. Other (specify type of suspicious activity
in space provided)
42. Cyber Event
a. Against Financial Institution(s)
b. Against Financial Institution
Customer(s)
z. Other (specify type of suspicious activity
in space provided)
43. Were any of the following product type(s)
involved in the suspicious activity?
Check all that apply:
a. Bonds/Notes
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b. Commercial mortgage
c. Commercial paper
d. Credit card
e. Debit card
f. Forex transactions
g. Futures/Options on futures
h. Hedge fund
i. Home equity loan
j. Home equity line of credit
k. Insurance/Annuity products
l. Mutual fund
m. Options on securities
n. Microcap securities
o. Prepaid access
p. Residential mortgage
q. Security futures products
r. Stocks
s. Swap, hybrid or other derivative
z. Other (specify type in space provided)
44. Were any of the following instrument
type(s)/payment mechanism(s) involved
in the suspicious activity? Check all that
apply:
a. Bank/cashier’s check
b. Foreign currency
c. Funds transfer
d. Gaming instruments
e. Government payment
f. Money orders
g. Personal/Business check
h. Travelers checks
i. U.S. Currency
z. Other (specify type in space provided)
45. Commodity type (if applicable) (multiple
entries allowed)
46. Product/Instrument description (if
needed) (multiple entries allowed)
47. Market where traded (list of codes will be
provided—dropdown menu for
electronic filers) (multiple entries
allowed)
48. IP Address (if available) (multiple entries
allowed)
48a. Date (YYYYMMDD)
48b. Time Stamp(UTC) HH:MM:SS
49. Cyber-Event Indicators (multiple entries
up to 99)
49a. Command and Control IP address
49a1 Event value text field (each entry of
49a must have a corresponding event
value text field).
49a2 Event value text field (Date
associated with the value in 49a1).
49a3 Event value text field (Timestamp
associated with the value in 49a1).
49b. Command & Control URL/Domain
49b1 Event value text field (each entry of
49b must have a corresponding event
value text field).
49c. Malware MD5, Malware SHA–1, or
Malware SHA–256.
49c1 Event value text field (each entry of
49c must have a corresponding event
value text field).
49d. Media Access control (MAC) Address
49d1 Event value text field (each entry of
49d must have a corresponding event
value text field).
49e. Port
49e1 Event value text field (each entry of
49e must have a corresponding event
value text field).
49f. Suspicious Email Address
49f1 Event value text field (each entry of
49f must have a corresponding event
value text field).
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49g. Suspicious Filename
49g1 Event value text field (each entry of
49g must have a corresponding event
value text field).
49h. Suspicious IP Address
49h1 Event value text field (each entry of
49h must have a corresponding event
value text field).
49h2 Event value Date associated with
the value in 49h1.
49h3 Event value Timestamp associated
with the value in 49h1.
49i. Suspicious URL/Domain
49i1 Event value text field (each entry of
49i must have a corresponding event
value text field).
49j. Targeted System
49j1 Event value text field (each entry of
49j must have a corresponding event
value text field).
49z. Other
49z Text description of Other value
49z1 Event value text field (each entry of
49z must have a corresponding event
value text field).
50. CUSIP number (multiple entries allowed)
Part III Information About Financial
Institution Where Activity Occurred
* 51. Type of financial institution (check only
one)
a. Casino/Card club
b. Depository institution
c. Insurance company
d. MSB
e. Securities/Futures
z. Other (specify type of institution in
space provided)
* 52. Primary Federal Regulator (instructions
specify banking agencies, SEC, CFTC,
IRS)
CFTC
Federal Reserve
FDIC
IRS
NCUA
OCC
SEC
Not Applicable
53. If item 51a is checked, indicate type of
gaming institution (check only one)
a. State licensed casino
b. Tribal authorized casino
c. Card club
z. Other (specify type of gaming institution
in space provided)
54. If item 51e is checked, indicate type of
Securities and Futures institution or
individual where activity occurred—
check box(es) for functions that apply to
this report
a. Clearing broker—securities
b. Futures commission merchant
c. Holding company
d. Introducing broker—commodities
e. Introducing broker—securities
f. Investment adviser
g. Investment company
h. Retail foreign exchange dealer
i. Subsidiary of financial/bank holding
company
z. Other (specify type of institution or
individual in space provided)
55. Filing institution identification number
(Check one box to indicate type)
a. Central Registration Depository (CRD)
number
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16:31 Feb 01, 2017
Jkt 241001
b. Investment Adviser Registration
Depository (IARD) number
c. National Futures Association (NFA)
number
d. Research, Statistics, Supervision, and
Discount (RSSD) number
e. Securities and Exchange Commission
(SEC) number
f. Identification number
56. Financial institution’s role in transaction
(if applicable)
a. (check if) Selling location
b. (check if) Paying location
c. (check if) Both a & b
* 57. Legal name of financial institution
a. (check if) unknown
58. Alternate name, e.g., AKA—individual or
trade name, DBA—entity
* 59. TIN (enter number in space provided
and check appropriate type below)
a. (check if) unknown
60. TIN type (* if 59 is known)
a. EIN
b. SSN–ITIN
c. Foreign
* 61. Address
a. (check if) unknown
* 62. City
a. (check if) unknown
63. State
Note: FinCEN will derive State through
third party data as enhanced data if not
provided and Country is US, Mexico or
Canada and ZIP/Postal Code is provided.
* 64. ZIP/Postal Code
a. (check if) unknown
Note: FinCEN will derive ZIP + 4 through
third party data as enhanced data if not
provided or verified through third party data
if provided.
New Data Element of County—FinCEN will
derive through third party data as enhanced
data.
* 65. Country (2 letter code—list provided)
a. (check if) unknown
66. Internal control/file number
67. Loss to financial institution (if
applicable)
68. Branch’s role in transaction (if applicable)
a. (check if) Selling location
b. (check if) Paying location
c. (check if) Both a & b
* 69. Address of branch or office where
activity occurred
a. (if no branch activity involved, check
box a)
70. Research, Statistics, Supervision, and
Discount (RSSD) number (of the Branch)
71. City
72. State
Note: FinCEN will derive State through
third party data as enhanced data if not
provided and Country is US, Mexico or
Canada and ZIP/Postal Code is provided.
73. ZIP/Postal Code
Note: FinCEN will derive ZIP + 4 through
third party data as enhanced data if not
provided or verified through third party data
if provided.
New Data Element of County—FinCEN will
derive through third party data as enhanced
data.
New Data Elements for GEO Coding—
FinCEN will derive through third party data
PO 00000
Frm 00059
Fmt 4703
Sfmt 4703
9113
as enhanced data will be identified for the
financial institution and any branches
provided.
New Data Element of HIFCA code—
FinCEN will derive through third party data
as enhanced data will be identified for the
financial institution and any branches
provided.
New Data Element of HIDTA code—
FinCEN will derive through third party data
as enhanced data will be identified for the
financial institution and any branches
provided.
74. Country (2 letter code—list provided)
(multiple entries allowed for items 68–
74;)
Part III Information about Financial
Institution Where Activity Occurred can be
repeated up to a total of 99 financial
institutions.
Part IV Filing Institution Contact
Information
* 75. Primary Federal Regulator (instructions
specify banking agencies, SEC, CFTC,
IRS)
CFTC
Federal Reserve
FDIC
IRS
NCUA
OCC
SEC
Not Applicable
* 76. Filer name (Holding company, lead
financial institution, or agency, if
applicable).
* 77. TIN (enter number in space provided
and check appropriate type below)
* 78. TIN type
a. EIN
b. SSN/ITIN
c. Foreign
* 79. Type of financial institution (check only
one)
a. Casino/Card club
b. Depository institution
c. Insurance company
d. MSB
e. Securities/Futures
z. Other (specify type of institution in
space provided)
80. Type of Securities and Futures institution
or individual filing this report—check
box(es) for functions that apply to this
report
a. Clearing broker—securities
b. CPO/CTA
c. Futures commission merchant
d. Holding company
e. Introducing broker—commodities
f. Introducing broker—securities
g. Investment adviser
h. Investment company
i. Retail foreign exchange dealer
j. SRO Futures
k. SRO Securities
l. Subsidiary of financial/bank holding
company
z. Other (specify type of institution or
individual in space provided)
81. Filing institution identification number
(Check one box to indicate type)
a. Central Registration Depository (CRD)
number
b. Investment Adviser Registration
Depository (IARD) number
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c. National Futures Association (NFA)
number
d. Research, Statistics, Supervision, and
Discount (RSSD) number
e. Securities and Exchange Commission
(SEC) number
f. Identification number
* 82. Address
* 83. City
84. State
Note: FinCEN will derive State through
third party data as enhanced data if not
provided and Country is US, Mexico or
Canada and ZIP/Postal Code is provided.
* 85. ZIP/Postal Code
Note: FinCEN will derive ZIP + 4 through
third party data as enhanced data if not
provided or verified through third party data
if provided.
New Data Element of County—FinCEN will
derive Derived through third party data as
enhanced data.
New Data Elements for GEO Coding—
FinCEN will derive through third party data
as enhanced data.
* 86. Country (2 letter code—list provided)
87. Alternate name, e.g., AKA—individual or
trade name, DBA—entity
88. Internal control/file number
89. LE contact agency
90. LE contact name
91. LE contact phone number
a. Extension (if any)
92. LE contact date
* 93. Designated contact office
* 94. Designated contact office phone number
including area code
a. Extension, if any
* 95. Date filed
* Part V Suspicious Activity Information—
Narrative
(text field 17,000 characters)
(one attachment permitted—comma
separated value (.csv) file, 1 MB maximum
size)
[FR Doc. 2017–02235 Filed 2–1–17; 8:45 am]
BILLING CODE 4810–02–P
DEPARTMENT OF THE TREASURY
Agency Information Collection
Activities; Submission for OMB
Review; Comment Request; Multiple
Fiscal Service Information Collection
Requests
Departmental Offices, U.S.
Department of the Treasury.
ACTION: Notice.
AGENCY:
The Department of the
Treasury will submit the following
information collection requests to the
Office of Management and Budget
(OMB) for review and clearance in
accordance with the Paperwork
Reduction Act of 1995, on or after the
date of publication of this notice.
DATES: Comments should be received on
or before March 6, 2017 to be assured
of consideration.
mstockstill on DSK3G9T082PROD with NOTICES
SUMMARY:
VerDate Sep<11>2014
16:31 Feb 01, 2017
Jkt 241001
Send comments regarding
the burden estimates, or any other
aspect of the information collections,
including suggestions for reducing the
burden, to (1) Office of Information and
Regulatory Affairs, Office of
Management and Budget, Attention:
Desk Officer for Treasury, New
Executive Office Building, Room 10235,
Washington, DC 20503, or email at
OIRA_Submission@OMB.EOP.gov and
(2) Treasury PRA Clearance Officer,
1750 Pennsylvania Ave. NW., Suite
8142, Washington, DC 20220, or email
at PRA@treasury.gov.
FOR FURTHER INFORMATION CONTACT:
Copies of the submissions may be
obtained by emailing PRA@treasury.gov,
calling (202) 622–0934, or viewing the
entire information collection request at
www.reginfo.gov.
SUPPLEMENTARY INFORMATION:
ADDRESSES:
Fiscal Service (FS)
OMB Control Number: 1530–0001.
Type of Review: Extension without
change of a currently approved
collection.
Title: Minority Bank Deposit Program
(MBDP) Certification Form for
Admission.
Form: FS Form 3144.
Abstract: A financial institution who
wants to participate in the MBDP must
complete this form. The approved
application certifies the institution as
minority and is admitted into the
program.
Affected Public: Businesses or other
for-profits.
Estimated Total Annual Burden
Hours: 64.
OMB Control Number: 1530–0036.
Type of Review: Extension without
change of a currently approved
collection.
Title: Request to Reissue U.S. Savings
Bonds to a Personal Trust.
Form: FS Form 1851.
Abstract: The information is
necessary to support a request for
reissue of savings bonds in the name of
the trustee of a personal trust estate.
Affected Public: Individuals or
Households.
Estimated Total Annual Burden
Hours: 2,650.
OMB Control Number: 1530–0038.
Type of Review: Extension without
change of a currently approved
collection.
Title: Application by Survivors for
Payment of Bond or Check Issued Under
Armed Forces Leave Act of 1946.
Form: FS Form 2066.
Abstract: Used by survivors for
payment of bonds issued under Armed
Forces Leave Act of 1946. The
PO 00000
Frm 00060
Fmt 4703
Sfmt 4703
information is to identify the bonds
and/or checks involved and to establish
a survivor’s claim in order to issue
payment.
Affected Public: Individuals or
Households.
Estimated Total Annual Burden
Hours: 1,250.
OMB Control Number: 1530–0041.
Type of Review: Extension without
change of a currently approved
collection.
Title: Application for Recognition as
Natural Guardian of Minor Not Under
Legal Guardianship and for Disposition
of Minor’s Interest In Registered
Securities.
Form: FS Form 2481.
Abstract: The information is collected
to apply for recognition as a natural
guardian and request disposition of
securities belonging to a minor in
situations where a natural guardian is
no longer acting or a legal representative
is not appointed. Regulations governing
U.S. Securities prohibit the registration
of securities in the name of a minor in
their own right. The natural guardian
may be given responsibility for the
securities. The information is used to
identify the securities involved and to
establish the authority to reissue the
securities or payment in lieu thereof.
Affected Public: Individuals or
Households.
Estimated Total Annual Burden
Hours: 208.
Authority: 44 U.S.C. 3501 et seq.
Dated: January 30, 2017.
Spencer Clark,
Treasury PRA Clearance Officer.
[FR Doc. 2017–02203 Filed 2–1–17; 8:45 am]
BILLING CODE 4810–AS–P
DEPARTMENT OF VETERANS
AFFAIRS
Request for Information: To Provide
Comprehensive Advice To Assist the
Department of Veterans Affairs (VA)
With Developing Policy Regarding
Safety and Quality Standards for
Providers of Modification Services
Under the Automobile Adaptive
Equipment (AAE) Program
Department of Veterans Affairs.
Notice of request for
information.
AGENCY:
ACTION:
The VA is requesting
information to assist in implementing
section 3 of the Veterans Mobility Safety
Act of 2016 (H.R. 3471, hereafter
referred to as ‘‘the Act’’), which requires
VA to develop a comprehensive policy
regarding quality standards for
SUMMARY:
E:\FR\FM\02FEN1.SGM
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Agencies
[Federal Register Volume 82, Number 21 (Thursday, February 2, 2017)]
[Notices]
[Pages 9109-9114]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-02235]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network
Proposed Collection; Comment Request; Update and Revision of the
FinCEN Suspicious Activity Reports Electronic Data Fields
AGENCY: Financial Crimes Enforcement Network (``FinCEN''), U.S.
Department of the Treasury.
ACTION: Notice and request for comments.
-----------------------------------------------------------------------
SUMMARY: FinCEN, a bureau of the U.S. Department of the Treasury
(``Treasury''), invites all interested parties to comment on its
proposed update and revisions to the collection of information filings
by financial institutions required to file such reports under the Bank
Secrecy Act (``BSA''). This notice does not propose any new regulatory
requirements or changes to the requirements related to suspicious
activity reporting. The data fields reflect the filing requirement for
all filers of SARs under the BSA. This request for comments is being
made pursuant to the Paperwork Reduction Act (PRA) of 1995, Public Law
104-13, 44 U.S.C. 3506(c)(2)(A).
DATES: Written comments are welcome and must be received on or before
April 3, 2017.
ADDRESSES: Written comments should be submitted to: Policy Division,
Financial Crimes Enforcement Network,
[[Page 9110]]
Department of the Treasury, P.O. Box 39, Vienna, Virginia 22183,
``Attention: PRA Comments--2016 SAR Database.'' Comments also may be
submitted by electronic mail to the following Internet address:
regcomments@fincen.treas.gov, with the caption, ``Attention: 2016 SAR
Database'' in the body of the text. Please submit by one method only.
FOR FURTHER INFORMATION CONTACT: The FinCEN Resource Center at 800-767-
2825 or electronically at frc@fincen.gov.
SUPPLEMENTARY INFORMATION:
Title: FinCEN Suspicious Activity Report by Financial Institutions
(see 31 CFR 1020.320, 1021.320, 1022.320, 1023.320, 1024.320, 1025.320,
1026.320, 1029.320, and 1030.320).
OMB Number: 1506-0065.\1\
---------------------------------------------------------------------------
\1\ The SAR regulatory reporting requirements are currently
covered under the following OMB Control numbers: 1506-0001
(Depository Institutions), 1506-0006 (Casinos and Card Clubs), 1506-
0015 (Money Services Business), 1506-0019 (Securities and Futures
Industries), 1506-0029 (Insurance Companies), and 1506-0061
(Residential Mortgage Lenders and Originators). Housing GSE's are
not subject to the PRA. OMB Control number 1506-0065 applies to the
SAR report, not the regulations.
---------------------------------------------------------------------------
Form Number: FinCEN 111.
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
U.S.C. 1829b, 12 U.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 anti-money laundering programs and compliance procedures.\2\
Regulations implementing Title II of the BSA appear at 31 CFR Chapter
X. The Secretary has delegated to the Director of FinCEN the authority
to administer the BSA.\3\
---------------------------------------------------------------------------
\2\ Language expanding the scope of the BSA 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), Public Law
107-56.
\3\ Treasury Order 180-01 (Sept. 26, 2002).
---------------------------------------------------------------------------
The information collected on the ``report'' is required to be
provided pursuant to 31 U.S.C. 5318(g), as implemented by FinCEN
regulations 31 CFR 1020.320, Sec. 1021.320, Sec. 1022.320, Sec.
1023.320, Sec. 1024.320, Sec. 1025.320, Sec. 1026.320, Sec.
1029.320, and Sec. 1030.320. The information collected under this
requirement is made available to appropriate agencies and organizations
as disclosed in FinCEN's Privacy Act System of Records Notice relating
to BSA Reports.\4\
---------------------------------------------------------------------------
\4\ Department of the Treasury bureaus such as FinCEN renew
their System of Records Notices every three years unless there is
cause to amend them more frequently. FinCEN's System of Records
Notice for BSA Reports System was most recently published at 79 FR
20969 (April 14, 2014).
---------------------------------------------------------------------------
Current Action: FinCEN is updating and revising several items in
the electronic data elements currently supporting the reporting of
suspicious financial activities. Attached at the end on this notice is
a revised ``Summery of Data Fields'' that reflects the revised
electronic items. Items identified for removal remain usable for entry
into the text field associated with the various ``z'' other boxes. The
following updates are proposed;
(1) Type of filing, 1e remove the reference to ``document control
number''
(2) Add new item 2 ``Filing Institution Note to FinCEN'' followed
by a text field with 100 character limit. This item allows the filer to
identify reports filed in response to geographical targeting orders and
BSA advisories etc.
(3) Part I, item 24j, remove ``no relationship to institution''
option. No other changes.
(4) Part II, Items 32a and b, add ``or cancels'' to the current
item, item 32c, remove the current item.
(5) Item 34b add ``Advanced Fee'' and remove ``Business loan'',
item 34i, remove mass marketing and replace with ``Ponzi Scheme,'' item
34l, add ``Securities Fraud.''
(6) Item 35, change the section title to ``Gaming Activities'' item
35a, replace the current item with ``Chip walking'', item 35b, replace
the current item with ``Minimal gaming with large transactions'' item
35d, add ``Unknown source of chips.
(7) Item 36b, remove the current item and replace with ``Funnel
account.''
(8) Item 37d, add ``Provided questionable or false
identification''.
(9) Item 38g, insert ``Human Trafficking/Smuggling,'' 38i, remove
the current item. Item 38p, add ``Transaction(s) involving foreign high
risk jurisdiction'', item 38q, remove the current entry.
(10) Item 40b, remove ``wash trading'' from current item and add as
a new item e.
(11) Item 41a add new ``Application Fraud,'' item 41c, add
Foreclosure/Short sale fraud, item 41e, add origination fraud, and
remove ``reverse mortgage fraud.''
(12) Item 42, Add as new category ``Cyber-event,'' add new 42a
``Against the Financial Institution(s),'' 42b ``Against the Financial
Institutions customer(s),'' add 42z, ``Other'' with the associated text
field.
(13) Item 43n, remove the term ``Penny Stocks''
(14) Item 48 IP Address, add item 48a, Date field (yyyy/mm/dd), and
48b Time field (hh:mm:ss in UTC).
(15) Add new item 49 Cyber-event Indicator (Multiple entries up to
99), add 49a, Command & Control IP Address, 49a1, value Text field,\5\
49a2, Date associated with the event, 49a3, UTC time hh:mm:ss, add 49b,
Command & Control URL/Domain, 49b1, Value text field, add 49c, Malware
MD5, Malware SHA-1, or Malware SHA-256, 49c1, Value text field, add 49d
Media Access Control (MAC) Address, 49d1, Value text field, add 49e,
Port, 49e1, Value text field, add 49f Suspicious E-Mail Address, 49f1,
Value text field, add 49g, Suspicious Filename, 49g1, Value text field,
add 49h, Suspicious IP Address, 49h1, Value text field, 49h2, Date
associated with the event, 49h3, UTC time hh:mm:ss, add 49i Suspicious
URL/Domain, 49i1, Value text field, add 49j, Targeted System, 49j1,
Value text field, add 49z Other, Text field, 49z1, Value text field.
---------------------------------------------------------------------------
\5\ Each cyber-event indicator value text field is limited to
100 characters.
---------------------------------------------------------------------------
(16) Part III, no change to the data items.
(17) Part IV, increase the field length for Part IV, Item 93,
``Designated contact office,'' to 50 characters.
(18) A comprehensive summary of the proposed SAR data fields
appears as an appendix to this notice.
Request comments on the above-proposed updates/revisions and new
cyber-event items to the report.
Type of Review: Update and revisions of a currently approved
collection.
Affected public: Business or other for-profit and not-for-profit
financial institutions.
Frequency: As required.
Estimated Reporting Burden: Average of 60 minutes per report and 60
minutes recordkeeping per filing. (The reporting burden of the
regulations 31 CFR 1020.320, 1021.320, 1022.320, 1023.320, 1024.320,
1025.320, 1026.320, 1029.320, and 1030.320, is reflected in the burden
for the form.)
Estimated Recordkeeping and Reporting Burden: 120 minutes (60
minutes reporting and 60 minutes recordkeeping, for a total of 2
hours).
Estimated number of respondents: 84,655 (Broker-Dealers, Casinos
and Card Clubs, Depository Institutions, Future Commission Merchants,
Insurance Companies, Money Services Businesses, Mutual Funds, Non-Bank
Residential Mortgage Lenders and
[[Page 9111]]
Originators). Housing Government Sponsored Enterprises are required to
report suspicious activities but are not subject to the PAR.
Estimated Total Annual Responses: 2,348,395.\6\
---------------------------------------------------------------------------
\6\ Numbers are based on actual 2016 filings as reported to the
BSA E-Filing System, as of 01/01/2017.
\7\ Two or more separate financial institutions filing a single
SAR. This type of filing constitutes less than 1% of total filings.
---------------------------------------------------------------------------
Estimated Total Annual Reporting and Recordkeeping Burden:
4,696,790 hours.
Note: A joint filing will increase the burden to 90 minutes
reporting and 60 minutes recordkeeping for a total of 2 and \1/2\
hours per report.\7\
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 BSA 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, and (f) the new cyber-
event items.
Jamal El Hindi,
Deputy Director, Financial Crimes Enforcement Network.
Appendix--SAR Comprehensive Summary of Data Fields
Note: Critical fields are identified with the * symbol in front
of the data element number.
Type of Filing
* 1. Check all that apply:
a. Initial report
b. Correct/Amend prior report
c. Continuing activity report
d. Joint report
e. Prior report BSA Identification Number if items 1b or 1c are
checked
f. BSA Identification Number
2. Filing Institution Note to FinCEN
Part I Subject Information
3. Check:
a. If entity
b. If all critical * subject information is unavailable (does
not include item 27)
* 4. Individual's last name or entity's legal name
a. (check if) unknown
* 5. First name
a. (check if) unknown
6. Middle name
7. Suffix
8. Gender
a. (Check if) Male
b. (Check if) Female
c. (Check if) Unknown
9. Alternate name, e.g. AKA--Individual or DBA--Entity (multiple
entries allowed)
10. Occupation or type of business
a. NAICS Code
* 11. Address
a. (check if) unknown
* 12. City
a. (check if) unknown
* 13. State
a. (check if) unknown
Note: FinCEN will derive the State through third party data as
enhanced data if not provided and Country is US, Mexico or Canada
and ZIP/Postal Code is provided.
* 14. ZIP/Postal Code
a. (check if) unknown
Note: FinCEN will derive ZIP + 4 through third party data as
enhanced data if not provided or verified through third party data
if provided.
New Data Element of County--FinCEN will derive through third
party data as enhanced data.
New Data Elements for GEO Coding--FinCEN will derive through
third party data as enhanced data.
New Data Element of HIFCA code--FinCEN will derive through third
party data as enhanced data.
New Data Element of HIDTA code--FinCEN will derive through third
party data as enhanced data.
* 15. Country Code (2 letter code--list provided)
a. (check if) unknown (multiple entries allowed for items 11-15)
* 16. TIN (enter number in space provided and check appropriate type
below)
a. (check if) unknown
17. TIN type (* if 16 is known)
a. EIN
b. SSN-ITIN
c. Foreign
* 18. Form of identification for subject: (multiple entries allowed)
a. (check if) unknown
b. (check if) Driver's license/state ID
c. (check if) Passport
d. (check if) Alien registration
e. Number
f. Issuing State
g. Issuing Country
z. (check if) Other (and specify type in space provided)
* 19. Date of birth mm/dd/yyyy
a. (check if) unknown
20. Phone number--type
a. (check if) Home
b. (check if) Work
c. (check if) Mobile
d. (check if) Fax
21. Phone number
a. Extension (if any) (multiple entries allowed for items 20 and
21)
22. Email address (if available) (multiple entries allowed)
22a. Web site (URL) address (if available) (multiple entries
allowed)
23. Corroborative statement to filer?
a. (check if) Yes
b. (check if) No
24. Relationship of the subject to an institution listed in Part III
or IV (check all that apply)
a. Institution TIN
b. Accountant
c. Agent
d. Appraiser
e. Attorney
f. Borrower
g. Customer
h. Director
i. Employee
j. Officer
k. Owner or Controlling Shareholder
z. Other (and specify type in space provided)
25. If item 24h, i, j, or k is checked, indicate status of
relationship
a. (check if) Relationship continues
b. (check if) Terminated
c. (check if) Suspended/barred
d. (check if) Resigned
26. Action date if 25b, c, or d is checked (multiple entries allowed
for items 24, 25, and 26)
* 27. Financial Institution TIN and account number(s) affected that
are related to subject, if any.
a. (check if) No known account involved
b. (check if) Non-US Financial Institution
c. TIN
d. account number
e. (check if) closed
f. account number
g. (check if) closed
h. TIN
i. account number
j. (check if) closed
k. account number
l. (check if) closed
(multiple financial institution TIN and account number entries
allowed)
28. Subject's role in suspicious activity (if applicable)
a. (check if) Purchaser/Sender
b. (check if) Payee/Receiver
c. (check if) Both a & b
Part I Subject Information can be repeated up to a total of 999
subjects.
Part II Suspicious Activity Information
* 29. Amount involved in this report
a. (check if) Amount unknown
b. (check if) No amount involved
* 30. Date or date range of suspicious activity for this report
a. From: mm/dd/yyyy
b. To: mm/dd/yyyy
31. Cumulative amount only if box 1c
[[Page 9112]]
(continuing activity report) is checked
* (32-42: specific type of suspicious activity) When completing
items 32 through 42, check all that apply.
32. Structuring
a. Alters or cancels transaction to avoid BSA recordkeeping
requirement
b. Alters or cancels transaction to avoid CTR requirement
c. Transaction(s) below BSA recordkeeping threshold
d. Transaction(s) below CTR threshold
e. Suspicious inquiry by customer regarding BSA reporting or
recordkeeping requirements
z. Other (specify type of suspicious activity in space provided)
33. Terrorist Financing
a. Known or suspected terrorist/terrorist organization
z. Other (specify type of suspicious activity in space provided)
34. Fraud
a. ACH
b. Advance Fee
c. Check
d. Consumer loan (see instructions)
e. Credit/Debit card
g. Healthcare
h. Mail
i. Ponzi Scheme
j. Pyramid scheme
k. Securities Fraud
l. Wire
z. Other (specify type of suspicious activity in space provided)
35. Gaming Activities
a. Chip walking
b. Minimal gaming with large transactions
c. Suspicious use of counter checks or markers
d. Unknown source of chips
z. Other (specify type of suspicious activity in space provided)
36. Money laundering
a. Exchanges small bills for large bills or vice versa
b. Funnel account
c. Suspicion concerning the physical condition of funds
d. Suspicion concerning the source of funds
e. Suspicious designation of beneficiaries, assignees or joint
owners
f. Suspicious EFT/Wire transfers
g. Suspicious exchange of currencies
h. Suspicious receipt of government payments/benefits
i. Suspicious use of multiple accounts
j. Suspicious use of noncash monetary instruments
k. Suspicious use of third-party transactors (straw-man)
l. Trade Based Money Laundering/Black Market Peso Exchange
m. Transaction out of pattern for customer(s)
z. Other (specify type of suspicious activity in space provided)
37. Identification/Documentation
a. Changes spelling or arrangement of name
b. Multiple individuals with same or similar identities
c. Provided questionable or false documentation
d. Provided questionable or false identification
e. Refused or avoided request for documentation
f. Single individual with multiple identities
z. Other (specify type of suspicious activity in space provided)
38. Other suspicious activities
a. Account takeover
b. Bribery or gratuity
c. Counterfeit instruments
d. Elder financial exploitation
e. Embezzlement/theft/disappearance of funds
f. Forgeries
g. Human Trafficking/Smuggling
h. Identity theft
i. Little or no concern for product performance penalties, fees,
or tax consequences
j. Misuse of position or self-dealing
k. Suspected public/private corruption (domestic)
l. Suspected public/private corruption (foreign)
m. Suspicious use of informal value transfer system
n. Suspicious use of multiple transaction locations
o. Transaction with no apparent economic, business, or lawful
purpose
p. Transaction(s) involving Foreign high risk jurisdiction
q. Two or more individuals working together
r. Unlicensed or unregistered MSB
z. Other (specify type of suspicious activity in space provided)
39. Insurance
a. Excessive insurance
b. Excessive or unusual cash borrowing against policy/annuity
c. Proceeds sent to or received from unrelated third party
d. Suspicious life settlement sales insurance (e.g. STOLI's,
Viaticals)
e. Suspicious termination of policy or contract
f. Unclear or no insurable interest
z. Other (specify type of suspicious activity in space provided)
40. Securities/Futures/Options
a. Insider trading
b. Market manipulation
c. Misappropriation
d. Unauthorized pooling
e. Wash Trading
z. Other (specify type of suspicious activity in space provided)
41. Mortgage fraud
a. Application fraud
b. Appraisal fraud
c. Foreclosure/Shortsale fraud
d. Loan modification fraud
e. Origination fraud
z. Other (specify type of suspicious activity in space provided)
42. Cyber Event
a. Against Financial Institution(s)
b. Against Financial Institution Customer(s)
z. Other (specify type of suspicious activity in space provided)
43. Were any of the following product type(s) involved in the
suspicious activity? Check all that apply:
a. Bonds/Notes
b. Commercial mortgage
c. Commercial paper
d. Credit card
e. Debit card
f. Forex transactions
g. Futures/Options on futures
h. Hedge fund
i. Home equity loan
j. Home equity line of credit
k. Insurance/Annuity products
l. Mutual fund
m. Options on securities
n. Microcap securities
o. Prepaid access
p. Residential mortgage
q. Security futures products
r. Stocks
s. Swap, hybrid or other derivative
z. Other (specify type in space provided)
44. Were any of the following instrument type(s)/payment
mechanism(s) involved in the suspicious activity? Check all that
apply:
a. Bank/cashier's check
b. Foreign currency
c. Funds transfer
d. Gaming instruments
e. Government payment
f. Money orders
g. Personal/Business check
h. Travelers checks
i. U.S. Currency
z. Other (specify type in space provided)
45. Commodity type (if applicable) (multiple entries allowed)
46. Product/Instrument description (if needed) (multiple entries
allowed)
47. Market where traded (list of codes will be provided--dropdown
menu for electronic filers) (multiple entries allowed)
48. IP Address (if available) (multiple entries allowed)
48a. Date (YYYYMMDD)
48b. Time Stamp(UTC) HH:MM:SS
49. Cyber-Event Indicators (multiple entries up to 99)
49a. Command and Control IP address
49a1 Event value text field (each entry of 49a must have a
corresponding event value text field).
49a2 Event value text field (Date associated with the value in
49a1).
49a3 Event value text field (Timestamp associated with the value
in 49a1).
49b. Command & Control URL/Domain
49b1 Event value text field (each entry of 49b must have a
corresponding event value text field).
49c. Malware MD5, Malware SHA-1, or Malware SHA-256.
49c1 Event value text field (each entry of 49c must have a
corresponding event value text field).
49d. Media Access control (MAC) Address
49d1 Event value text field (each entry of 49d must have a
corresponding event value text field).
49e. Port
49e1 Event value text field (each entry of 49e must have a
corresponding event value text field).
49f. Suspicious Email Address
49f1 Event value text field (each entry of 49f must have a
corresponding event value text field).
[[Page 9113]]
49g. Suspicious Filename
49g1 Event value text field (each entry of 49g must have a
corresponding event value text field).
49h. Suspicious IP Address
49h1 Event value text field (each entry of 49h must have a
corresponding event value text field).
49h2 Event value Date associated with the value in 49h1.
49h3 Event value Timestamp associated with the value in 49h1.
49i. Suspicious URL/Domain
49i1 Event value text field (each entry of 49i must have a
corresponding event value text field).
49j. Targeted System
49j1 Event value text field (each entry of 49j must have a
corresponding event value text field).
49z. Other
49z Text description of Other value
49z1 Event value text field (each entry of 49z must have a
corresponding event value text field).
50. CUSIP number (multiple entries allowed)
Part III Information About Financial Institution Where Activity
Occurred
* 51. Type of financial institution (check only one)
a. Casino/Card club
b. Depository institution
c. Insurance company
d. MSB
e. Securities/Futures
z. Other (specify type of institution in space provided)
* 52. Primary Federal Regulator (instructions specify banking
agencies, SEC, CFTC, IRS)
CFTC
Federal Reserve
FDIC
IRS
NCUA
OCC
SEC
Not Applicable
53. If item 51a is checked, indicate type of gaming institution
(check only one)
a. State licensed casino
b. Tribal authorized casino
c. Card club
z. Other (specify type of gaming institution in space provided)
54. If item 51e is checked, indicate type of Securities and Futures
institution or individual where activity occurred--check box(es) for
functions that apply to this report
a. Clearing broker--securities
b. Futures commission merchant
c. Holding company
d. Introducing broker--commodities
e. Introducing broker--securities
f. Investment adviser
g. Investment company
h. Retail foreign exchange dealer
i. Subsidiary of financial/bank holding company
z. Other (specify type of institution or individual in space
provided)
55. Filing institution identification number (Check one box to
indicate type)
a. Central Registration Depository (CRD) number
b. Investment Adviser Registration Depository (IARD) number
c. National Futures Association (NFA) number
d. Research, Statistics, Supervision, and Discount (RSSD) number
e. Securities and Exchange Commission (SEC) number
f. Identification number
56. Financial institution's role in transaction (if applicable)
a. (check if) Selling location
b. (check if) Paying location
c. (check if) Both a & b
* 57. Legal name of financial institution
a. (check if) unknown
58. Alternate name, e.g., AKA--individual or trade name, DBA--entity
* 59. TIN (enter number in space provided and check appropriate type
below)
a. (check if) unknown
60. TIN type (* if 59 is known)
a. EIN
b. SSN-ITIN
c. Foreign
* 61. Address
a. (check if) unknown
* 62. City
a. (check if) unknown
63. State
Note: FinCEN will derive State through third party data as
enhanced data if not provided and Country is US, Mexico or Canada
and ZIP/Postal Code is provided.
* 64. ZIP/Postal Code
a. (check if) unknown
Note: FinCEN will derive ZIP + 4 through third party data as
enhanced data if not provided or verified through third party data
if provided.
New Data Element of County--FinCEN will derive through third
party data as enhanced data.
* 65. Country (2 letter code--list provided)
a. (check if) unknown
66. Internal control/file number
67. Loss to financial institution (if applicable)
68. Branch's role in transaction (if applicable)
a. (check if) Selling location
b. (check if) Paying location
c. (check if) Both a & b
* 69. Address of branch or office where activity occurred
a. (if no branch activity involved, check box a)
70. Research, Statistics, Supervision, and Discount (RSSD) number
(of the Branch)
71. City
72. State
Note: FinCEN will derive State through third party data as
enhanced data if not provided and Country is US, Mexico or Canada
and ZIP/Postal Code is provided.
73. ZIP/Postal Code
Note: FinCEN will derive ZIP + 4 through third party data as
enhanced data if not provided or verified through third party data
if provided.
New Data Element of County--FinCEN will derive through third
party data as enhanced data.
New Data Elements for GEO Coding--FinCEN will derive through
third party data as enhanced data will be identified for the
financial institution and any branches provided.
New Data Element of HIFCA code--FinCEN will derive through third
party data as enhanced data will be identified for the financial
institution and any branches provided.
New Data Element of HIDTA code--FinCEN will derive through third
party data as enhanced data will be identified for the financial
institution and any branches provided.
74. Country (2 letter code--list provided) (multiple entries allowed
for items 68-74;)
Part III Information about Financial Institution Where Activity
Occurred can be repeated up to a total of 99 financial institutions.
Part IV Filing Institution Contact Information
* 75. Primary Federal Regulator (instructions specify banking
agencies, SEC, CFTC, IRS)
CFTC
Federal Reserve
FDIC
IRS
NCUA
OCC
SEC
Not Applicable
* 76. Filer name (Holding company, lead financial institution, or
agency, if applicable).
* 77. TIN (enter number in space provided and check appropriate type
below)
* 78. TIN type
a. EIN
b. SSN/ITIN
c. Foreign
* 79. Type of financial institution (check only one)
a. Casino/Card club
b. Depository institution
c. Insurance company
d. MSB
e. Securities/Futures
z. Other (specify type of institution in space provided)
80. Type of Securities and Futures institution or individual filing
this report--check box(es) for functions that apply to this report
a. Clearing broker--securities
b. CPO/CTA
c. Futures commission merchant
d. Holding company
e. Introducing broker--commodities
f. Introducing broker--securities
g. Investment adviser
h. Investment company
i. Retail foreign exchange dealer
j. SRO Futures
k. SRO Securities
l. Subsidiary of financial/bank holding company
z. Other (specify type of institution or individual in space
provided)
81. Filing institution identification number (Check one box to
indicate type)
a. Central Registration Depository (CRD) number
b. Investment Adviser Registration Depository (IARD) number
[[Page 9114]]
c. National Futures Association (NFA) number
d. Research, Statistics, Supervision, and Discount (RSSD) number
e. Securities and Exchange Commission (SEC) number
f. Identification number
* 82. Address
* 83. City
84. State
Note: FinCEN will derive State through third party data as
enhanced data if not provided and Country is US, Mexico or Canada
and ZIP/Postal Code is provided.
* 85. ZIP/Postal Code
Note: FinCEN will derive ZIP + 4 through third party data as
enhanced data if not provided or verified through third party data
if provided.
New Data Element of County--FinCEN will derive Derived through
third party data as enhanced data.
New Data Elements for GEO Coding--FinCEN will derive through
third party data as enhanced data.
* 86. Country (2 letter code--list provided)
87. Alternate name, e.g., AKA--individual or trade name, DBA--entity
88. Internal control/file number
89. LE contact agency
90. LE contact name
91. LE contact phone number
a. Extension (if any)
92. LE contact date
* 93. Designated contact office
* 94. Designated contact office phone number including area code
a. Extension, if any
* 95. Date filed
* Part V Suspicious Activity Information--Narrative
(text field 17,000 characters)
(one attachment permitted--comma separated value (.csv) file, 1 MB
maximum size)
[FR Doc. 2017-02235 Filed 2-1-17; 8:45 am]
BILLING CODE 4810-02-P