Suspicious Activity Report by Securities and Futures Industries and 31 CFR 103 17(d) and 103.19(d)

ICR 200902-1506-001 · OMB 1506-0019 · Historical Active

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 1506-0019 can be found here:

Forms and Documents

Document	Type	Status	Availability
Form FinCEN 101 Suspicious Activity Report by Securities and Futures Industries and 31 CFR 103 17(d) and 103.19(d)	Form and Instruction	Modified	Available
SAR-SF 30 Day PRA 83Isupp09[1].doc	Supporting Statement A	Uploaded 2009-02-12	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
39059	Suspicious Activity Report by Securities and Futures Industries and 31 CFR 103 17(d) and 103.19(d)	Form and Instruction	Modified

ICR Details

OMB Control No: 1506-0019	ICR Reference No: 200902-1506-001
Status: Historical Active	Previous ICR Reference No: 200605-1506-009
Agency/Subagency: TREAS/FINCEN	Agency Tracking No:
Title: Suspicious Activity Report by Securities and Futures Industries and 31 CFR 103 17(d) and 103.19(d)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/20/2009
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/20/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2012	36 Months From Approved	04/30/2009
Responses	12,002	0	8,000
Time Burden (Hours)	36,006	0	28,800
Cost Burden (Dollars)	0	0	0

Abstract: Treasury is requiring certain securities broker-dealers, futures commission merchants and introducing brokers in commodities to file suspicious activity reports

Authorizing Statute(s): US Code: 31 USC 5311-5330 Name of Law: Money and Finance

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 74230	12/05/2008
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 7741	02/19/2009
Did the Agency receive public comments on this ICR? Yes

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Suspicious Activity Report by Securities and Futures Industries and 31 CFR 103 17(d) and 103.19(d)	FinCEN 101	Suspicious Activity Report Securities and Futures Industries

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	12,002	8,000	4,002
Annual Time Burden (Hours)	36,006	28,800	7,206
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Improved financial institution reporting

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Russell Stephenson 202 354-6012

Common Form ICR: No