Federal Register / Vol. 75, No. 199 / Friday, October 15, 2010 / Notices 63545 

1The SAR requirements are currently covered 

under the following OMB control numbers: 1506– 

0001 (SAR–DI), 1506–0006 (SAR–C), 1506–0015 

(SAR–MSB), 1506–0019 (SAR–SF which includes 

broker-dealers, FCMs, IB–Cs, and Mutual Funds), 

and 1506–0029 (SAR–IC). 

2Language 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. 

3Treasury Department 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 

the SAR System was most recently published at 73 

FR 42405, 42407–9 (July 21, 2008). 

4BSA E-Filing is a free service provided by 

FinCEN. More information on the filing methods 

may be accessed at http:// 

bsaefiling.fincen.treas.gov/main.html. 

5A series of predetermined questions will be 

used to establish the type of institution and filing 

in much the same manner as used in widely 

accepted income tax filing software. 

Approved: October 8, 2010. 

Allan Hopkins, 

Tax Analyst. 

[FR Doc. 2010–25948 Filed 10–14–10; 8:45 am] 

BILLING CODE 4830–01–P 

DEPARTMENT OF THE TREASURY 

Financial Crimes Enforcement Network 

Proposed Collection; Comment 

Request; Bank Secrecy Act Suspicious 

Activity Report Database Proposed 

Data Fields 

AGENCY: Financial Crimes Enforcement 

Network (FinCEN), Treasury. 

ACTION: Notice and request for 

comments. 

SUMMARY: FinCEN has begun the design 

of a new Bank Secrecy Act (BSA) 

database (the Database) and invites 

comment on the list of proposed data 

fields within the Database that will 

support Suspicious Activity Report 

(SAR) filings by financial institutions 

required to file such reports under the 

BSA. This notice does not propose any 

new regulatory requirements nor 

changes to the requirements related to 

suspicious activity reporting, but rather 

seeks input on technical matters as we 

transition from a system originally 

designed for collecting paper forms to a 

modernized IT environment for 

electronic reporting. The list of 

proposed data fields for the ‘‘BSA 

Suspicious Activity Report (BSA–SAR)’’ 

appears at the end of this notice. The 

proposed data fields reflect the filing 

requirement for all filers of SARs under 

the BSA. The SAR will be an e-filed 

dynamic and interactive report used by 

all BSA filing institutions to report 

suspicious activity to the Department of 

the Treasury. This request for comments 

covers 31 CFR 103.15, 31 CFR 103.16, 

31 CFR 103.17, 31 CFR 103.18, 31 CFR 

103.19, 31 CFR 103.20, and 31 CFR 

103.21. This request for comments is 

being made pursuant to the Paperwork 

Reduction Act 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 

December 14, 2010. 

ADDRESSES: Written comments should 

be submitted to: Regulatory Policy and 

Programs Division, Financial Crimes 

Enforcement Network, Department of 

the Treasury, P.O. Box 39, Vienna, 

Virginia 22183, Attention: PRA 

Comments—BSA–SAR Database. BSA– 

SAR Comments also may be submitted 

by electronic mail to the following 

Internet address: 

regcomments@fincen.treas.gov, with the 

caption, ‘‘Attention: BSA–SAR 

Database,’’ in the body of the text. 

Inspection of comments. Comments 

may be inspected, between 10 a.m. and 

4 p.m., in the FinCEN reading room in 

Vienna, VA. Persons wishing to inspect 

the comments submitted must request 

an appointment with the Disclosure 

Officer by telephoning (703) 905–5034 

(not a toll-free call). 

FOR FURTHER INFORMATION CONTACT: The 

FinCEN Regulatory Helpline at 800– 

949–2732, select option 7. 

SUPPLEMENTARY INFORMATION: 

Title: BSA Suspicious Activity Report 

by Financial Institutions, (See 31 CFR 

103.15, 31 CFR 103.16, 31 CFR 103.17, 

31 CFR 103.18, 31 CFR 103.19, 31 CFR 

103.20, and 31 CFR 103.21). 

OMB Number: 1506–XXXX.1

Form Number: FinCEN Form 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 counter-money laundering 

programs and compliance procedures.2

Regulations implementing Title II of the 

Bank Secrecy Act appear at 31 CFR Part 

103. The authority of the Secretary to 

administer the Bank Secrecy Act has 

been delegated to the Director of 

FinCEN. 

The Secretary of the Treasury was 

granted authority in 1992, with the 

enactment of 31 U.S.C. 5318(g), to 

require financial institutions to report 

suspicious transactions. 

The information collected on the 

‘‘report’’ is required to be provided 

pursuant to 31 U.S.C. 5318(g), as 

implemented by FinCEN regulations 

found at 31 CFR 103.15–21. 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 

SARs.3

Current Action: FinCEN is in the 

process of designing the Database to 

accept modernized electronic BSA 

reporting. The Database will accept 

XML-based dynamic, state-of-the-art 

reports. Batch and computer-tocomputer filing processes will remain 

unchanged, although the file format will 

change to match the Database. Discrete 

filings will be based on Adobe LiveCycle 

Designer ES dynamic forms. All filings 

(discrete, batch, and computed-tocomputer) will be accessed through the 

BSA E-Filing system 4 using current 

registration and log-in procedures. 

During log-in of the discrete filing 

option, filers will be prompted through 

a series of questions 5 (see BSA–SAR 

Comprehensive Summary of Proposed 

Data Fields, item 1 and Part III, at the 

end of this notice) to provide 

information that will identify the type of 

financial institution filing the SAR 

(depository institution, broker/dealer, 

casino, etc.). After log-in, the financial 

institution filing SARs through the 

discrete function will answer another 

set of questions consisting of a subset of 

the data field appropriate to the filer’s 

specific type of filing institution. Batch 

and computer-to-computer filers will 

file reports based on an electronic file 

specification that will be finalized after 

reviewing public comments received in 

response to this notice. 

Dynamic forms are documents with a 

hierarchical structure that can be 

converted into XML. This structure can 

include structure from XML Schema 

and example XML files. Dynamic forms 

can be saved as PDF files or XDP files. 

XDP files are used by the Adobe 

LiveCycle Form Server to render files to 

PDF or HTML as needed. The report for 

the Database will be designed to be both 

dynamic (changing layout in response to 

data propagated from other sources) and 

interactive (capable of accepting user 

input). Currently, e-filed discrete forms 

are based on Designer 8.2.1. The 

dynamic features of these PDF forms 

can be manipulated by the Adobe Form 

Server during the rendering process, or 

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63546 Federal Register / Vol. 75, No. 199 / Friday, October 15, 2010 / Notices 

6Adobe Acrobat Reader is free and can be 

downloaded from the Adobe Web site http:// 

www.adobe.com/reader. 

7See item 1 of the BSA–SAR Comprehensive 

Summary of Proposed Data Fields at the end of this 

notice. 

8See Part III of the BSA–SAR Comprehensive 

Summary of Proposed Data Fields at the end of this 

notice. 

9The complete list of proposed data fields 

appears at the end of this notice. 

10The stated PRA burden is for a single 

institution filing. If the BSA–SAR report is filed 

jointly, an additional 30 minutes reporting time per 

joint filer is added to record the joint filer provided 

information and identification. 

11 Id. 

12While the number of joint filers may increase 

from current levels due to the relative ease with 

which the Database can accommodate joint filing, 

this number is probably still a significant 

overestimate. 

by the Adobe Acrobat/Acrobat Reader 6

client during viewing. Dynamic forms 

allow JavaScript to be embedded, 

thereby enabling programmatic changes 

to the form layout as well as 

communication with various data 

sources (SOAP, OLEDB). Besides 

JavaScript, Adobe dynamic forms 

includes a proprietary scripting 

language called FormCalc, designed to 

be a simple language for users familiar 

with spreadsheet calculations. 

The filing of the dynamic report will 

begin with the filer identifying the type 

of filing,7 followed by answering several 

questions about the filers’ institution 

such as institution type (depository 

institution, broker-dealer, MSB, 

insurance, etc.), name of the institution, 

the institution’s RSSD/EIN, and 

address.8 Responses to these questions 

will enable or ‘‘auto populate’’ certain 

data elements of the report with 

information obtained from third-party 

data sources, completing most of the 

filing institution’s identifying 

information. The institution will then 

complete specific information on the 

subject(s) and nature of the suspicious 

activity, using the data elements 

appropriate to the type of financial 

institution filing. In case of a joint filed 

report, all data elements will be 

available for selection. In the event that 

a single filer requires access to 

additional elements not typical for the 

filer’s type of financial institution, a 

‘‘select all’’ feature will be available to 

enable all data elements for selection. 

General Review of the BSA–SAR 

Comprehensive Summary of Proposed 

Data Fields9

Note: The following general comments 

apply to all filings, discrete, batch, and 

computer-to-computer. Critical fields are 

marked with an asterisk (*) and must be 

completed, if appropriate, by checking the 

‘‘unknown’’ box. 

• All filing institutions will complete 

item 1, ‘‘Type of Filing,’’ once for each 

report. 

• All filing institutions will complete 

Part I, ‘‘Subject Information,’’ for each 

subject. Part I may be repeated as many 

times as necessary to cover all subjects. 

If item 2b is checked this Part may be 

left blank. Within Part I, subject contact 

information, subject identification 

information, financial institution 

relationship information, and subject 

account information may be repeated as 

many times as necessary. 

• All filing institutions must 

complete a Part II. Note that Part II items 

cover all filers. Filers are only required 

to complete those items that pertain to 

the report being made that apply to their 

institution. If a filer has additional 

information that would add value to the 

report, a ‘‘select all’’ feature will be 

available. Generally there will be one 

Part II per report. Unlimited entries in 

the ‘‘z other’’ sub category of instrument/ 

product information, unlimited entries 

for instrument/product IDs and 

unlimited entries in the ‘‘z other’’ sub 

category of suspicious activity category 

and type will be available to electronic 

filers if needed. 

• A Part III ‘‘Information Concerning 

Financial Institution Where Activity 

Occurred’’ is required for all reports. 

Part III may be repeated as many times 

as necessary to report an unlimited 

number of financial institutions and/or 

branches of financial institutions if 

necessary. 

• A single Part IV ‘‘Filing Institution 

Contact Information’’ is required for 

each report. 

• Part V ‘‘Suspicious Activity 

Information Narrative’’ is a text file that 

is limited to 17,000 characters 

(approximately six pages). Institutions 

filing electronically may, but are not 

required to, attach a MS Excelcompatible 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: Initial review of the 

proposed data elements of the Database 

in support of the electronic filing of a 

dynamic BSA–SAR. 

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.10 (The 

reporting burden of the regulations 31 

CFR 103.15, 31 CFR 103.16, 31 CFR 

103.17, 31 CFR 103.18, 31 CFR 103.19, 

31 CFR 103.20, and 31 CFR 103.21 is 

reflected in the burden for the form.) 

Estimated Recordkeeping and 

Reporting Burden for 31 CFR 103.15, 31 

CFR 103.16, 31 CFR 103.17, 31 CFR 

103.18, 31 CFR 103.19, 31 CFR 103.20, 

and 31 CFR 103.21: 2 hours.11

Estimated number of respondents = 

83,455. 

This includes depository institutions 

(27,262), broker-dealers (5,200), future 

commission merchants (143), insurance 

companies (1,200), introducing brokers 

in commodities (1602), money services 

businesses (37,977), and mutual funds 

(10,071). This number is equal to the 

total number of entities that are subject 

to filing SARs in fiscal year 2010. Given 

that the current proposal does not 

change the SAR filing requirement 

itself, FinCEN does not anticipate that 

the current proposal will change the 

number of entities subject to filing 

SARs. 

Estimated Total Annual Responses = 

1,281,225. 

This number is equal to the total 

number of SARs filed by all filers in 

fiscal year 2010. Given that the current 

proposal does not change the SAR filing 

requirement itself, FinCEN does not 

anticipate that the current proposal will 

change the number of SARs being filed. 

Estimated Total Annual Reporting 

and Recordkeeping Burden for Single 

Filer: 2,562,450 hours. 

Joint filing: 

In 2006, FinCEN expanded the brokerdealer (B–D), Future Commission 

Merchant (FCM), and Introducing 

Broker in Commodities (IB–C) filer 

option to file jointly to all filing entities. 

The intent of joint filing was the 

reduction of the number of actual 

reports filed. Due to significant database 

limitations and issues this expanded 

option was never formally put into 

practice. The advent of the FinCEN IT 

Modernization, the new database and 

the use of dynamic information 

collection tools as described above will 

now fully support joint filing by all BSA 

filers. In developing this concept, 

FinCEN is listing below a separate joint 

filing burden for review and comment. 

The numbers presented assume that the 

FY10 filings, as listed above, were all 

joint with one other filer which would 

result in a reduction of the number of 

reports filed by 50%. FinCEN realizes 

this reduced number to be overstated 

but elected to use it to establish a 

baseline for review.12

Estimated number of respondents = 

83,455 (Note: no change from single filer 

option). 

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Federal Register / Vol. 75, No. 199 / Friday, October 15, 2010 / Notices 63547 

Estimated number of responses = 

640,612 (See joint filing discussion 

above). 

Estimated Total Annual Reporting 

and Recordkeeping Burden for Joint 

Filer: 1,601,530 hours 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection of information 

displays a valid OMB control number. 

Records required to be retained under 

the Bank Secrecy Act must be retained 

for five years. 

Request for Comments: 

Comments submitted in response to 

this notice will be summarized and/or 

included in the request for OMB 

approval. All comments will become a 

matter of public record. Comments are 

invited on: (a) Whether the collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

(b) the accuracy of the agency’s estimate 

of the burden of the collection of 

information; (c) ways to enhance the 

quality, utility, and clarity of the 

information to be collected; (d) ways to 

minimize the burden of the collection of 

information on respondents, including 

through the use of automated collection 

techniques or other forms of information 

technology; and (e) estimates of capital 

or start-up costs and costs of operation, 

maintenance and purchase of services to 

provide information. 

Dated: October 8, 2010. 

Charles M. Steele, 

Deputy Director, Financial Crimes 

Enforcement Network. 

BSA–SAR Comprehensive Summary of 

Proposed Data Fields 

NOTE: Questions for which an answer 

must be provided (‘‘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 

f. Prior report internal control/file 

number if items 1b or 1c are 

checked 

g. DCN (electronic view only) 

Part I: Subject Information 

2. Check: 

a. If entity 

b. If all critical* subject information is 

unavailable 

*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) 

Suffix (electronic view only) 

5a. Gender 

b. (Check if) Male 

c. (Check if) Female 

d. (Check if) Unknown 

6. Alternate name, e.g. AKA—Individual 

or DBA—Entity 

(multiple entries allowed for 

electronic filers) 

7. Occupation or type of business 

a. NAICS Code 

*8. Address 

a. (check if) unknown 

*9. City 

a. (check if) unknown 

*10. State 

a. (check if) unknown 

State should be derived through third 

party data as enhanced data if not 

provided and Country is US, Mexico or 

Canada and ZIP/Postal Code is provided 

*11. ZIP/Postal Code 

a. (check if) unknown 

ZIP + 4 should be derived through third 

party data as enhanced data if not 

provided or verified through third party 

data if provided 

New Data Element of County—Derived 

through third party data as enhanced 

data 

New Data Elements for GEO Coding— 

Derived through third party data as 

enhanced data 

New Data Element of HIFCA code— 

Derived through third party data as 

enhanced data 

New Data Element of HIDTA code— 

Derived through third party data as 

enhanced data 

*12. Country Code 

a. (check if) unknown 

*13. TIN (enter number in space 

provided and check appropriate 

type below) 

a. (check if) unknown 

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. Country 

z. (check if) Other (and specify type 

in space provided) 

*16. Date of birth mm/dd/yyyy 

a. (check if) unknown 

17. Phone number—type (multiple 

entries allowed for electronic filers) 

a. (check if) Home 

b. (check if) Work 

c. (check if) Mobile 

d. (check if) Fax 

18. Phone number (multiple entries 

allowed for electronic filers) 

a. Extension (if any) 

19. E-mail address (if available) 

(multiple entries allowed for 

electronic filers) 

19a. Web site (URL) address (if 

available) (multiple entries allowed 

for electronic filers) 

20. Corroborative statement to filer? 

a. (check if) Yes 

b. (check if) No 

21. Relationship of the subject to the 

filing institution (check all that 

apply) 

a. Institution EIN (multiple related 

institution entries allowed for 

electronic filers) 

b. Accountant 

c. Agent 

d. Appraiser 

e. Attorney 

f. Borrower 

g. Customer 

h. Director 

i. Employee 

j. Officer 

k. Owner/Shareholder 

l. No relationship to institution 

z. Other (and specify type in space 

provided) 

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. EIN 

d. account number 

e. (check if) closed 

f. account number 

g. (check if) closed 

h. EIN 

i. account number 

j. (check if) closed 

k. account number 

l. (check if) closed 

(paper filers have space to enter a 

second financial institution EIN and two 

more associated account numbers— 

items 24h through l; multiple financial 

institution and account number entries 

allowed for electronic filers) 

25. Subject’s role in suspicious 

activity (if applicable) 

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a. (check if) Purchaser/Sender 

b. (check if) Payee/Receiver 

c. (check if) Both a & b 

Part II Suspicious Activity Information 

* 26. Amount involved in this report 

a. (check if) unknown 

* 27. Date or date range of suspicious 

activity for this report 

a. From: mm/dd/yyyy 

b. To: mm/dd/yyyy 

28. Cumulative amount only if box 1c 

(continuing activity report) is 

checked 

29. Were any of the following 

instrument/product type(s) 

involved in the suspicious activity? 

Check all that apply: 

a. Bank/cashier’s check 

b. Bonds/Notes 

c. Commercial paper 

d. Credit card 

e. Debit card 

f. Foreign currency 

g. Forex transactions 

h. Funds transfer 

i. Futures/Options on futures 

j. Gaming instruments 

k. Government checks or EFT 

l. Hedge fund 

m. Insurance/annuity products 

n. Money orders 

o. Mortgage/Deed of Trust 

p. Mutual fund 

q. Options on securities 

r. Penny stocks/microcap securities 

s. Personal/Business check 

t. Prepaid access 

u. Security futures products 

v. Stocks 

w. Swap, hybrid or other derivative 

x. Travelers checks 

y. U.S. Currency 

z. Other (specify type in space 

provided) (multiple entries 

allowed) 

30. Commodity type (if applicable) 

31. Instrument description (if needed) 

32. Market where traded (list of codes 

will be provided—dropdown menu 

for electronic filers) 

33. IP Address (if available) (multiple 

entries allowed for electronic filers) 

34–35. CUSIP number (multiple entries 

allowed for electronic filers) 

* (36–44: specific type of suspicious 

activity) (check all that apply) 

36. 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) 

37. Casinos 

a. Minimal gaming with large 

transactions 

b. Suspicious intra-casino funds 

transfers 

c. Suspicious use of counter checks or 

markers 

z. Other (specify type of suspicious 

activity in space provided) 

38. Fraud 

a. Check 

b. Commercial loan 

c. Commercial mortgage loan 

d. Consumer loan 

e. Credit/Debit card 

f. Elder financial abuse 

g. Healthcare 

h. Mail 

i. Mass-marketing 

j. Pyramid scheme 

k. Residential mortgage loan 

l. Wire 

z. Other (specify type of suspicious 

activity in space provided) 

39. Identification 

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 (specify type of suspicious 

activity in space provided) 

40. Insurance 

a. Excessive insurance 

b. Excessive or unusual cash 

borrowing against policy/annuity 

c. Little or no concern for product 

performance, penalties, fees, or tax 

consequences 

d. Proceeds sent to unrelated third 

party 

e. Suspicious life settlement sales (e.g. 

STOLI’s, Viaticals) 

f. Suspicious termination of policy or 

contract 

g. Unclear or no insurance interest 

z. Other (specify type of suspicious 

activity in space provided) 

41. 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) 

42. Terrorist Financing 

a. Known or suspected terrorist/ 

terrorist organization 

z. Other (specify type of suspicious 

activity in space provided) 

43. Money laundering 

a. Exchanges small bills for large bills 

or vice versa 

b. Suspicion concerning the source or 

physical condition of funds 

c. Suspicious currency exchanges 

d. Suspicious designation of 

beneficiaries, assignees or joint 

owners 

e. Suspicious EFT/Wire transfers 

f. Suspicious receipt of government 

payments/benefits 

g. Suspicious use of multiple accounts 

h. Suspicious use of noncash 

monetary instruments 

i. Suspicious use of third-party 

transactors (straw-man) 

j. TBML/BMPE 

k. Transaction with no apparent 

economic, business, or lawful 

purpose. 

l. Transaction out of pattern for 

customer(s) 

z. Other (specify type of suspicious 

activity in space provided) 

44. Other suspicious activities 

a. Bribery or gratuity 

b. Counterfeit checks 

c. Embezzlement/theft/disappearance 

of funds 

d. Forgeries 

e. Identity theft 

f. Misuse of position or self-dealing 

g. Suspected public/private 

corruption (domestic) 

h. Suspected public/private 

corruption (foreign) 

i. Suspicious use of informal value 

transfer system 

j. Suspicious use of multiple locations 

k. Two or more individuals working 

together 

l. Unauthorized electronic intrusion 

m. Unlicensed or unregistered MSB 

z. Other (specify type of suspicious 

activity in space provided) 

Part III Information Concerning 

Financial Institution Where Activity 

Occurred 

* 45. 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) 

* 46. Primary Federal Regulator 

(instructions specify banking 

agencies, CFTC, SEC) 

CFTC 

Federal Reserve 

FDIC 

FinCEN (Including where IRS or 

another FinCEN delegate examines 

for compliance) 

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NCUA 

OCC 

OTS 

SEC 

Not Applicable 

47. Filing institution identification 

number (Check one box to indicate 

type) 

a. CRD number 

b. IARD number 

c. NFA number 

d. SEC ID number 

e. RSSD number 

f. Identification number 

48. If item 45a is checked, indicate type 

of gaming institution 

a. State licensed casino 

b. Tribal authorized casino 

c. Card club 

z. Other (specify type of gaming 

institution in space provided) 

49. If item 45e 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 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) 

* 50. Legal name of financial institution 

51. Alternate name, e.g., AKA— 

individual or trade name, DBA— 

entity 

* 52. TIN (enter number in space 

provided and check appropriate 

type below) 

a. (check if) unknown 

53. TIN type (* if 52 is completed) 

a. EIN 

b. SSN–ITIN 

c. Foreign 

* 54. Address 

a. (check if) unknown 

* 55. City 

a. (check if) unknown 

56. State 

State should be derived through third 

party data as enhanced data if not 

provided and Country is US, Mexico or 

Canada and ZIP/Postal Code is provided 

* 57. ZIP/Postal Code 

a. (check if) unknown 

ZIP + 4 should be derived through third 

party data as enhanced data if not 

provided or verified through third party 

data if provided 

New Data Element of County—Derived 

through third party data as enhanced 

data 

* 58. Country (2 letter code—list 

provided) 

59. Internal control/file number 

60. Loss to financial institution (if 

applicable) 

61. Financial institution’s role in 

transaction (if applicable) 

a. (check if) Selling location 

b. (check if) Paying location 

c. (check if) Both a & b 

* 62. Address of branch or office where 

activity occurred 

(if no branch activity involved, check 

box a) 

63. RSSD number (of the Branch) 

64. City 

65. State 

State should be derived through third 

party data as enhanced data if not 

provided and Country is US, Mexico or 

Canada and ZIP/Postal Code is provided 

66. ZIP/Postal Code 

ZIP + 4 should be derived through third 

party data as enhanced data if not 

provided or verified through third party 

data if provided 

New Data Element of County—Derived 

through third party data as enhanced 

data 

New Data Elements for GEO Coding— 

Derived through third party data as 

enhanced data will be identified for the 

financial institution and any branches 

provided. 

New Data Element of HIFCA code— 

Derived through third party data as 

enhanced data will be identified for the 

financial institution and any branches 

provided. 

New Data Element of HIDTA code— 

Derived through third party data as 

enhanced data will be identified for the 

financial institution and any branches 

provided. 

67. Country (2 letter code—list 

provided) 

68. Branch’s role in transaction (if 

applicable) 

a. (check if) Selling location 

b. (check if) Paying location 

c. (check if) Both a & b 

(paper filers have space to enter 2 

branches—items 69–75; electronic filers 

can enter multiple branches) 

Part IV Filing Institution Contact 

Information 

* 76. Primary Federal Regulator 

(instructions specify banking 

agencies, SEC, CFTC,) CFTC 

Federal Reserve 

FDIC 

FinCEN (Including where IRS or 

another FinCEN delegate examines 

for compliance) 

NCUA 

OCC 

OTS 

SEC 

Not Applicable 

* 77. Filer name 

* 78. TIN (enter number in space 

provided and check appropriate 

type below) 

* 79. TIN type 

a. EIN 

b. SSN/ITIN 

c. Foreign 

*80. 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) 

81. 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 advisor 

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) 

82. Filing institution identification 

number (Check one box to indicate 

type) 

a. CRD number 

b. IARD number 

c. NFA number 

d. SEC ID number 

e. RSSD number 

f. Identification number 

* 83. Address 

* 84. City 

85. State 

State should be derived through third 

party data as enhanced data if not 

provided and 

Country is US, Mexico or Canada and 

ZIP/Postal Code is provided 

* 86. ZIP/Postal Code 

ZIP + 4 should be derived through third 

party data as enhanced data if not 

provided or verified through third party 

data if provided 

New Data Element of County—Derived 

through third party data as enhanced 

data 

* 87. Country (2 letter code—list 

provided) 

88. Alternate name, e.g., AKA— 

individual or trade name, DBA— 

entity 

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63550 Federal Register / Vol. 75, No. 199 / Friday, October 15, 2010 / Notices 

* 89. Internal control/file number 

90. LE contact agency 

91. LE contact name 

92. LE contact phone number 

a. Extension (if any) 

93. LE contact date 

* 94. Designated contact office 

* 95. Designated contact office phone 

number including area code 

a. Extension, if any 

* 96. Designated office e-mail address 

* 97. Date filed 

* Part V Suspicious Activity 

Information—Narrative 

(text field 17,000 characters) 

(for electronic filers one attachment 

permitted—Excel-compatible file, 1 MB 

maximum size) 

[FR Doc. 2010–26038 Filed 10–14–10; 8:45 am] 

BILLING CODE 4810–02–P 

mstockstill on DSKH9S0YB1PROD with NOTICES