Federal Register / Vol. 78, No. 4 / Monday, January 7, 2013 / Notices 981 

1The Comptroller of the Currency, the Board of 

Governors of the Federal Reserve System, the 

Federal Deposit Insurance Corporation, and the 

National Credit Union Administration. 

By Order of the Maritime Administrator. 

Dated: December 18, 2012. 

Julie P. Agarwal, 

Secretary, Maritime Administration. 

[FR Doc. 2012–30932 Filed 1–4–13; 8:45 am] 

BILLING CODE 4910–81–P 

DEPARTMENT OF THE TREASURY 

Office of the Comptroller of the 

Currency 

Agency Information Collection 

Activities; Renewal of a Currently 

Approved Collection; and Comment 

Request for Reports of Suspicious 

Activity 

AGENCY: Office of the Comptroller of the 

Currency (OCC). 

ACTION: Notice and request for 

comments. 

SUMMARY: The OCC, as part of its 

continuing effort to reduce paperwork 

and respondent burden, invites the 

general public and other Federal 

agencies to take this opportunity to 

comment on information collections, as 

required by the Paperwork Reduction 

Act of 1995, Public Law 104–13 (44 

U.S.C. 3506(c)(2)(A)). The OCC is 

soliciting comments concerning the 

currently approved Minimum Security 

Devices and Procedures, Reports of 

Suspicious Activities, and Bank Secrecy 

Act Compliance Program information 

collection. The Minimum Security 

Devices and Procedures and Bank 

Secrecy Act Compliance Program 

portion of the information collection is 

being extended without change. The 

OCC is proposing to extend, with 

revision, the interagency suspicious 

activity report (SAR–DI) portion of the 

collection and is inviting comments on 

this revision. 

As the Bank Secrecy Act (BSA) 

administrator, the Financial Crimes 

Enforcement Network (FinCEN) in the 

U.S. Department of Treasury is changing 

from a system originally designed for 

collecting industry-specific paper forms 

to a modernized information technology 

environment centered on electronic 

reporting. Based on financial institution 

type, depository institutions, brokerdealers in securities, futures 

commission merchants and introducing 

brokers in commodities, insurance 

companies, mutual funds, money 

services businesses, and casinos file 

reports on four separate forms. FinCEN’s 

new approach is to have one 

electronically filed interactive BSA SAR 

that will be used by all filing 

institutions to report suspicious activity 

as of April 1, 2013. 

There are no proposed changes to the 

suspicious activity report regulation. 

National banks and federal savings 

associations supervised by the OCC will 

continue to follow the regulation, 

interagency guidance, and filing 

instructions to determine when a report 

should be filed and what information 

should be included in the report. 

The interactive BSA SAR has several 

new data fields and introduces data 

fields from the SARs of other industries. 

On March 29, 2012, FinCEN released 

guidance titled, ‘‘Filing FinCEN’s New 

Currency Transaction Report and 

Suspicious Activity Report’’ (FIN–2012– 

G002). The guidance notes that FinCEN 

is making available additional and more 

specific data elements (that is, 

characterizations of suspicious activity 

and types of financial services) as a 

more efficient way to bring information 

about suspicious activity to the 

attention of FinCEN and law 

enforcement. The guidance clarified the 

addition of new and expanded data 

elements does not create an expectation 

that financial institutions will revise 

internal programs, or develop new 

programs, to capture information that 

reflects the expanded data elements. 

Data elements designated as ‘‘critical 

fields (questions for which an answer 

must be provided) in the BSA SAR are 

identified by the asterisk preceding the 

data element number. 

DATES: Written comments should be 

received on or before April 8, 2013. 

ADDRESSES: Interested parties are 

invited to submit written comments to 

the OCC. All comments should refer to 

the Office of Management and Budget 

(OMB) control numbers. Direct all 

written comments as follows: 

Communications Division, Office of 

the Comptroller of the Currency, Public 

Information Room, Mailstop 6W–11, 

Attention: 1557–0180, Washington, DC 

20219. In addition, comments may be 

sent by electronic mail to 

regs.comments@occ.treas.gov. You may 

personally inspect and photocopy 

comments at the OCC’s Public 

Information Room, 400 7th Street SW., 

Washington, DC. For security reasons, 

the OCC requires that visitors make an 

appointment to inspect comments. You 

may do so by calling (202) 649–6700. 

Upon arrival, visitors will be required to 

present valid government-issued photo 

identification and submit to security 

screening in order to inspect and 

photocopy comments. 

Additionally, you should send a copy 

of your comments to OCC Desk Officer, 

1557–0180, by mail to U.S. Office of 

Management and Budget, 725 17th 

Street NW., #10235, Washington, DC 

20503, or by email to 

oira_submission@omb.eop.gov. 

FOR FURTHER INFORMATION CONTACT: You 

can request additional information or a 

copy of the collection from Johnny 

Vilela or Mary H. Gottlieb, OCC 

Clearance Officers, (202) 649–7265 or 

(202) 649–6301, Office of the 

Comptroller of the Currency, 

Washington, DC 20219. 

SUPPLEMENTARY INFORMATION:

The OCC is soliciting comments 

concerning the currently approved 

collections covered under the 

information collection titled ‘‘Minimum 

Security Devices and Procedures, 

Reports of Suspicious Activities, and 

Bank Secrecy Act Compliance.’’ The 

Minimum Security Devices and 

Procedures and Bank Secrecy Act 

Compliance Program information 

collection is being extended without 

change. The OCC is proposing to 

extend, with revision, the suspicious 

activity report (SAR–DI) portion of the 

collection and is inviting comments on 

the interactive BSA SAR that will be 

used to report suspicious activity as of 

April 1, 2013. 

Title: Minimum Security Devices and 

Procedures, Reports of Suspicious 

Activities, and Bank Secrecy Act 

Compliance program. 

OMB Control No.: 1557–0180. 

Form Numbers: 8010–1/8010–9. 

Abstract: In 1985, the bank 

supervisory agencies (Agencies),1 issued 

procedures to be used by banks and 

certain other financial institutions 

operating in the United States to report 

known or suspected criminal activities 

to the appropriate law enforcement and 

banking supervisory agencies. 

Beginning in 1994, the Agencies and 

FinCEN redesigned the reporting 

process and developed the suspicious 

activity report, which became effective 

in April 1996. The report is authorized 

by the following regulations: 31 CFR 

103.18 (FinCEN); 12 CFR 21.11 and 12 

CFR 163.180 (OCC); 12 CFR 208.62(c), 

211.5(k), 211.24(f), and 225.4(f) (Board); 

12 CFR 353.3 (FDIC); 12 CFR 748.1 

(NCUA). The regulations were issued 

under the authority contained in the 

following statutes: 31 U.S.C. 5318(g) 

(FinCEN); 12 U.S.C. 93a, 1463, 1464, 

1818, 1881–84, 3401–22, 31 U.S.C. 5318 

(OCC); 12 U.S.C. 248(a)(1), 625, 1818, 

1844(c), 3105(c)(2) and 3106(a) (Board); 

12 U.S.C1818–1820 (FDIC); 12 U.S.C. 

1766(a), 1789(a) (NCUA). 

Prior to the suspicious activity report 

effective date of April 1996, the OCC, 


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2http://www.fincen.gov/statutes_regs/frn/pdf/ 

sar_fr_notice.pdf 

3http://www.reginfo.gov/public/do/ 

PRAViewICR?ref_nbr=201104-1506-002. 

the other agencies, and FinCEN each 

issued new and nearly identical rules 

mandating the use of the interagency 

SAR–DI for reporting suspicious 

activities. In separate actions, FinCEN 

also enacted regulations requiring other 

types of financial institutions, such as 

brokers or dealers in securities and 

futures, money services businesses 

(money transmitters, issuers and sellers 

of money orders and travelers’ checks, 

check cashers, and dealers in foreign 

exchange), casinos and card clubs, and 

insurance companies to file reports on 

suspicious activities. 

In January 2003, check boxes were 

added to Part III of the SAR–DI to note 

terrorist financing and identity theft as 

suspicious activities and the safe harbor 

language in the instructions was 

updated to reflect changes made by the 

Uniting and Strengthening America by 

Providing Appropriate Tools Required 

to Intercept and Obstruct Terrorism 

(USA PATRIOT) Act of 2001. In 2006, 

the SAR–DI form was revised to support 

a new joint filing initiative aimed at 

reducing the total number of duplicate 

reports filed for a single suspicious 

transaction. On May 1, 2007, FinCEN 

published a Federal Register notice (72 

FR 23891) 2 announcing the delayed 

implementation of these revisions, 

which ultimately were never 

implemented. 

On October 15, 2010, FinCEN issued 

a 60-day notice titled ‘‘Proposed 

Collection; Comment Request; Bank 

Secrecy Act Suspicious Activity Report 

Database Proposed Data Fields.’’ The 

notice sought input on technical matters 

as FinCEN transitions from a system 

originally designed for collecting paper 

forms to a modernized information 

technology environment for electronic 

reporting. Thereafter, a notice was 

issued on May 6, 2011 by the Treasury 

Department’s Office of Information 

Management advising the public of a 

new collection by FinCEN and stating 

that FinCEN was submitting the BSA 

SAR comments to OMB for review. The 

notice stated, ‘‘FinCEN is fielding a new 

system of record to support the 

collection and dissemination of BSA 

data to law enforcement and other 

regulatory agencies. The BSA SAR is a 

new dynamic information collection 

tool that will serve as the principle [sic] 

collection instrument to be used by 

financial institutions to record and 

report suspicious activity.’’ On July 15, 

2011, FinCEN received final approval of 

the BSA–SAR3 from the Office of 

Management and Budget, which 

concluded FinCEN’s October 15, 2010, 

request for comment. 

On May 11, 2012, the OCC published 

a final Federal Register notice (77 FR 

27858) announcing the extension for 

three years, without revision, of the 

‘‘Reports of Suspicious Activities’’ data 

collection. OCC renewal was necessary 

because the current SAR–DI form is 

expiring and will continue to be 

accepted by FinCEN until March 31, 

2013. The OCC is now seeking industry 

comment on the interactive BSA SAR 

that will be used to report suspicious 

activity as of April 1, 2013. Comments 

will be summarized and/or included in 

the request for Office of Management 

and Budget approval. 

Proposed Revisions 

The revised BSA SAR would integrate 

four institution-specific SARs into one 

universal data collection. The previous 

five parts of the SAR–DI remain with 

changes to their titles and placement in 

order of completion. 

The proposed BSA–SAR is described 

below by form part. Fields from other 

industry SARs that may be new to 

depository institutions as well as 

specific data fields that are new to all 

types of industry filers have been 

identified. In the description provided 

below, questions for which answers 

must be provided (referred to as 

‘‘critical fields’’) are identified with the 

* symbol in front of the data element 

number. 

Type of Filing 

Field 1 is the Type of Filing and 

requires the filer to designate the 

category that best describes the filing 

from a set of choices: 

*1. Check all that apply—a. Initial 

report; b. Correct/amend prior report; 

c. Continuing activity report; d. Joint 

report; e. Prior report document 

control/file number if 1b or 1c are 

checked. 

On the current SAR–DI there is only 

one choice in data field 1 for those 

reports that corrected a prior report. 

Part I: Subject Information 

Part I is titled ‘‘Subject Information’’ 

and it requires the filer to provide 

information for each subject involved in 

the suspicious activity. Subject 

Information is titled ‘‘Suspect 

Information’’ on the current SAR–DI. As 

with the current SAR–DI, multiple 

subjects may be included in Part I. 

Each of the critical fields (*) in this 

part has a new check box that may be 

used if the information is unknown. If 

that box is checked, the filer would not 

need to enter any information in that 

field. 

In Part I, with the exception of the 

check box to indicate if the requested 

information is unknown, these data 

fields remain the same, with no 

additions or changes from the SAR–DI: 

*3. Individual’s last name or entity’s 

legal name—a. (check if) unknown 

*4. First name—a. (check if) unknown 

5. Middle initial (middle name for 

electronic filers) 

7. Occupation or type of business 

*8. Address—a. (check if) unknown 

*9. City—a. (check if) unknown 

*10. State—a. (check if) unknown 

*11. ZIP/Postal Code—a. (check if) 

unknown 

*12. Country Code—a. (check if) 

unknown 

*13. TIN—a. (check if) unknown 

*16. Date of birth mm/dd/yyyy—a. 

(check if) unknown 

Listed below are the remaining data 

fields in Part I that would be considered 

new data fields or data fields that would 

be modified. 

2. Check—a. If entity; b. If all critical (*) 

subject information is unavailable (If 

2b is checked this part may be left 

blank) 

5a. Gender—b. (Check if) Male; c. 

(Check if) Female; d. (Check if) 

Unknown 

6. Alternate name, e.g. AKA for an 

Individual or DBA for an Entity 

7a. NAICS Code (North American 

Industry Classification system code 

that corresponds to 7) 

14. TIN type (* if 13 is completed)—a. 

EIN; b. SSN–ITIN; c. Foreign 

*15. Form of identification for subject— 

a. (check if) unknown (or not 

obtained); 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 

17. Phone number type—a. (check if) 

Home; b. (check if) Work; c. (check if) 

Mobile; d. (check if) Fax 

18. Phone number—a. Extension (if any) 

19. Email address (if available) 

19 a.Web site (URL) address (if 

available) 

20. Corroborative statement to filer?—a. 

(check if) Yes; b. (check if) No (This 

was Admission/Confession on the 

SAR–DI) 

21. Relationship of the subject to the 

filing institution (check all that 

apply)—a. Institution TIN; b. 

Accountant; c. Agent; d. Appraiser; e. 

Attorney; f. Borrower; g. Customer; h. 

Director; i. Employee; j. No 

relationship to institution; k. Officer; 

l. Owner or Controlling Shareholder; 

z. Other 


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22. If item 21h, 21i, 21j, or 21k is 

checked, indicate status of 

relationship—a. (check if) 

Relationship continues; b. (check if) 

Terminated; c. (check if) Suspended/ 

barred; d. (check if) Resigned 

23. Action date if 22 b, c, or d is checked 

*24. Financial Institution EIN 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; 

25. Subject’s role in suspicious activity 

(if applicable); a. (check if) Purchaser/ 

Sender; b. (check if) Payee/Receiver; 

c. (check if) Both a and b 

Part II—Suspicious Activity 

Information 

Part II, ‘‘Suspicious Activity 

Information,’’ would require the filer to 

describe the suspicious activity that 

occurred. 

Part II items would cover all filer 

institution types so all filers would see 

field options that may not pertain to 

their report (such as casino activities). 

Filers would only be required to 

complete those items that apply to their 

institution and pertain to the report 

being filed. 

In Part II, with the exception of the 

‘‘unknown check box’’ these data fields 

would remain the same as the current 

SAR–DI: 

*27. Date or date range of suspicious 

activity for this report—a. From: mm/ 

dd/yyyy; b. To: mm/dd/yyyy 

The remaining data fields in this Part, 

specifically the characterizations of 

suspicious activity, would be modified 

and expanded when compared to the 

current SAR–DI. There are now 10 

general categories and each category 

would be further broken down to 

specific types of suspicious activity. 

*26. Amount involved in this report— 

a. (check if) Amount unknown; b. 

(check if) No amount involved. 

28. Cumulative amount only if box 1c 

(continuing activity report) is checked 

29. Structuring—a. Alters transaction to 

avoid BSA recordkeeping 

requirement; b. Alters transactions to 

avoid CTR requirement; c. Customer 

cancels transaction to avoid BSA 

reporting and recordkeeping 

requirements; d. Multiple transactions 

below BSA recordkeeping threshold; 

e. Multiple transactions below CTR 

threshold; f. Suspicious inquiry by 

customer regarding BSA reporting or 

recordkeeping requirements; z. Other 

(specify type of suspicious activity in 

space provided) 

30. Terrorist Financing—a. Known or 

suspected terrorist/terrorist 

organization; z. Other (specify type of 

suspicious activity in space provided) 

31. Fraud (Type)—a. ACH; b. Business 

loan; c. Check; d. Consumer loan; e. 

Credit/Debit card; f. Healthcare; g. 

Mail; h. Mass-marketing; i. Pyramid 

scheme; j. Wire; z. Other (specify type 

of suspicious activity in space 

provided) 

32. Casinos—a. Inquiry about end of 

business day; b. Minimal gaming with 

large transactions; c. Suspicious intracasino funds transfers; d. Suspicious 

use of counter checks or markers; z. 

Other (specify type of suspicious 

activity in space provided) 

33. Money laundering—a. Exchanges 

small bills for large bills or vice versa; 

b. Suspicion concerning the physical 

condition of funds; c. Suspicion 

concerning the source of funds; d. 

Suspicious designation of 

beneficiaries, assignees or joint 

owners; e. Suspicious EFT/wire 

transfers; f. Suspicious exchange of 

currencies; g. Suspicious receipt of 

government payments/benefits; h. 

Suspicious use of multiple accounts; 

i. Suspicious use of noncash monetary 

instruments; j. Suspicious use of 

third-party transactors (straw-man); k. 

Trade Based Money Laundering/Black 

Market Peso Exchange; l. Transaction 

out of pattern for customer(s); z. Other 

(specify type of suspicious activity in 

space provided) 

34. Identification/Documentation—a. 

Changes spelling or arrangement of 

name; b. Multiple individuals with 

same or similar identities; c. Provided 

questionable or false documentation; 

d. Refused or avoided request for 

documentation; e. Single individual 

with multiple identities; z. Other 

35. 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. Identity theft; h. 

Little or no concern for product 

performance penalties, fees, or tax 

consequences; i. Misuse of ‘‘free 

look’’/cooling off/right of rescission; 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. Two or more individuals 

working together; q. Unauthorized 

electronic intrusion; r. Unlicensed or 

unregistered MSB; z. Other (specify 

type of suspicious activity in space 

provided) 

36. Insurance—a. Excessive insurance; 

b. Excessive or unusual cash 

borrowing against policy/annuity; c. 

Proceeds sent to or received 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) 

37. Securities/Futures/Options—a. 

Insider trading; b. Market 

manipulation/wash trading; c. 

Misappropriation; d. Unauthorized 

pooling; z. Other (specify type of 

suspicious activity in space provided) 

38. Mortgage fraud—a. Appraisal fraud; 

b. Foreclosure fraud; c. Loan 

modification fraud; d. Reverse 

mortgage fraud; z. Other 

39. Were any of the following 

instrument/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. Penny stocks/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) 

40. 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 

check; i. U.S. Currency; z. Other 

(specify type in space provided) 

41. Commodity type (if applicable) 

42. Product/Instrument description (if 

needed) 

43. Market where traded (list of codes 

will be provided—dropdown menu 

for electronic filers) 

44. IP Address (if available) (multiple 

entries allowed for electronic filers) 

45. CUSIP number (multiple entries 

allowed for electronic filers) 

46. CUSIP number (multiple entries 

allowed for electronic filers) 

Part III—Information About Financial 

Institution Where Activity Occurred 

Part III information would be about 

the financial institution(s) where the 

suspicious activity occurred. A separate 

Part III record would be completed on 

each financial institution involved in 


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the suspicious activity. The data fields 

in Part III would be modified and 

expanded when compared to the current 

SAR–DI. 

*47. 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) 

*48. Primary Federal Regulator—A = 

Commodities Futures Trading 

Commission (CFTC); B = Federal 

Reserve Board (FRB); C = Federal 

Deposit Insurance Corporation (FDIC); 

D = Internal Revenue Service (IRS); E 

= National Credit Union 

Administration (NCUA); F = Office of 

the Comptroller of the Currency 

(OCC); G = Securities and Exchange 

Commission (SEC); Z = Not 

Applicable 

49. If item 47a is checked indicate type 

(Check only one)—a. State licensed 

casino; b. Tribal authorized casino; c. 

Card club; d. Other (specify) 

50. If item 47e 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 brokercommodities; e. Introducing brokersecurities; f. Investment Advisor; 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) 

51. Financial institution identification 

number (Check one box to indicate 

type)—a. (check if) CRD number; b. 

(check if) IARD number; c. (check if) 

NFA number; d. (check if) RSSD 

number; e. (check if) SEC number; f. 

Identification number 

52. Financial institution’s role in 

transaction (if applicable)—a. (check 

if) Selling location; b. (check if) 

Paying location; (check if) Both a & b 

*53. Legal name of financial 

institution—a. (check if) unknown 

54. Alternate name, e.g., AKA— 

individual or trade name, DBA— 

entity 

*55. TIN—a. (check if) unknown 

56. TIN type (* if 55 is completed)—a. 

EIN; b. SSN–ITIN; c. Foreign 

*57. Address—a. (check if) unknown 

*58. City—a. (check if) unknown 

59. State 

*60 ZIP/Postal Code—a. (check if) 

unknown 

*61. Country 

62. Internal control/file number 

63. Loss to financial institution (if 

applicable) 

64. Branch’s role in transaction (if 

applicable)—a. (check if) Selling 

location; b. (check if) Paying location; 

c. (check if) Both a and b 

*65. Address of branch or office where 

activity occurred—a. (if no branch 

activity involved, check box a) 

66. RSSD number (of the branch) 

67. City 

68. State 

69. ZIP/Postal Code 

70. Country (2 letter code—list 

provided) 

Part IV—Filing Institution Contact 

Information 

Part IV information would be about 

the lead financial institution or holding 

company that is filing the BSA SAR. 

There would be only one Part IV record 

for each filing. Part IV would take fields 

previously contained in Part I, Part III, 

and Part IV on the SAR–DI as well as 

added new fields. 

*78. Primary Federal Regulator—A = 

Commodities Futures Trading 

Commission (CFTC); B = Federal 

Reserve Board (FRB); C = Federal 

Deposit Insurance Corporation (FDIC); 

D = Internal Revenue Service (IRS); E 

= National Credit Union 

Administration (NCUA); F = Office of 

the Comptroller of the Currency 

(OCC); G = Securities and Exchange 

Commission (SEC); Z = Not 

Applicable 

*79. Filer name (Holding company, lead 

financial institution) 

*80. TIN 

*81. TIN type—a. EIN; b. SSN/ITIN; c. 

Foreign 

*82. 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) 

83. Type of Securities and Futures 

institution or individual filing this 

report-check box(es) for function(s) 

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) 

84. Filing institution identification 

number (Check one box to indicate 

type)—a. (check if) CRD number; b. 

(check if) IARD number; c. (check if) 

NFA number; d. (check if) RSSD 

number; e. (check if) SEC number; f. 

Identification number 

*85. Address 

*86. City 

87. State 

*88. ZIP/Postal Code 

*89. Country 

90. Alternate name, e.g., AKA— 

individual or trade name, DBA— 

entity 

91. Internal control/file number 

92. LE contact agency 

93. LE contact name 

94. LE contact phone number—a. 

Extension (if any) 

95. LE contact date 

*96. Designated contact office 

*97. Designated contact office phone 

number including area code—a. 

Extension (if any) 

*98. Date filed 

Part V—Suspicious Activity 

Information Explanation/Description 

Part V would require the filer to 

provide a chronological and complete 

narrative account of the activity, 

including what is unusual, irregular, or 

suspicious about the activity. In the 

BSA–SAR this part would be a text file 

that is limited to 17,000 characters 

(approximately six pages). Institutions 

may, but are not required to, attach an 

MS Excel-compatible file (no larger than 

1 MB) providing details in tabular form 

of transactions subject to the suspicious 

activity discussed in the text file. 

Type of Review: Regular. 

Affected Public: Business, for-profit 

institutions, and non-profit institutions. 

Estimated Number of Respondents: 

2,021. 

Estimated Total Annual Responses: 

424,410. 

Estimated Burden per Response: 2.5 

hours (includes 1.5 hours burden per 

response and one hour recordkeeping). 

Estimated Total Annual Burden: 

1,061,025 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 Office of Management 

and Budget control number. Records 

required to be retained under the Bank 

Secrecy Act and these regulations 

issued by the Banking Supervisory 

Agencies must be retained for five years. 

Generally, information collected 

pursuant to the Bank Secrecy Act is 

confidential, but may be shared as 

provided by law with regulatory and 

law enforcement authorities. 

Comments submitted in response to 

this notice will be summarized and/or 

included in the request for Office of 

Management and Budget approval. All 

comments will become a matter of 

public record. Comments are invited on: 


wreier-aviles on DSK7SPTVN1PROD with 
Federal Register / Vol. 78, No. 4 / Monday, January 7, 2013 / Notices 985 

(a) Whether the collection of 

information is necessary for the proper 

performance of the functions of the 

OCC, including whether the information 

shall have practical utility; 

(b) The accuracy of the OCC’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: January 2, 2013. 

Michele Meyer, 

Assistant Director, Legislative and Regulatory 

Activities Division. 

[FR Doc. 2013–00043 Filed 1–4–13; 8:45 am] 

BILLING CODE 4810–33–P 

DEPARTMENT OF THE TREASURY 

Bureau of the Public Debt 

Submission for OMB Review; 

Comment Request 

ACTION: Notice; correction. 

SUMMARY: The Department of the 

Treasury published a document in the 

Federal Register on January 2, 2013, 

inviting the general public and other 

Federal agencies to comment on 

continuing information collections to 

reduce paperwork and respondent 

burden. This document contained 

incorrect references. 

Correction: In the Federal Register of 

January 2, 2013, in FR Doc. 2012–31534, 

make the following corrections: 

• Page 149, in the second column, 

replace OMB Number: ‘‘1535–0089’’ 

with OMB Number: ‘‘1535–0114’’. 

Dated: January 2, 2013. 

Bruce A. Sharp, 

Bureau Clearance Officer. 

[FR Doc. 2013–00005 Filed 1–4–13; 8:45 am] 

BILLING CODE 4810–39–P 


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