Guidance for financial institutions on identifying terrorist activity and suspicious activity (SEC)

Kyle Broderick filed this request with the Securities and Exchange Commission of the United States of America.

It is a clone of this request.

Tracking # 15-02113-FOIA
Due May 6, 2015
Est. Completion None
Status
Awaiting Response

Communications

From: Taylor Amarel

To Whom It May Concern:

This is a request under the Freedom of Information Act. I hereby request the following records:

-Any and all guidance material provided by your agency since today to financial institutions meant to supplement or replace partially or entirely any forms of previous AML guidance, standards, or procedures, such similar too but not to be limited by documents similar to FINCEN's guidance procedures and non-binding "Guidance for Financial Institutions in Detecting Terrorist Financing" or meant to otherwise help financial institutions identify potential transactions or other activity by terrorist groups. This should include any presentations your agency has given to employees of financial institutions.

-Blank copies of any forms – be they physical or electronic – that financial institutions are required or asked to submit to your agency when they identify potential financial activity by suspicious or terrorist groups. If financial institutions submit information on potential financial activity through an online form or series of forms please provide screenshots of every page of the submission process.

-Any and all lists maintained by your agency – other than that provided in Executive Order 13224 -- of individuals or groups designated for special attention or increased scrutiny by financial institutions. I understand that the names of some individuals may have to be redacted from such lists.

-Any similar documents guidance of procedures that may be similar to "Detecting Terrorist Financing" but may not raise to he level of seriousness that Terrorist Financing inherently does. Including but not limited to AML documents, guidance, or procedures designed to detect any suspicious activity that may or may not be of terrorist origins.

I would like to make it clear that I am requesting classification as a member of the news media and the subsequent fee category for myself as an individual journalist and not for blanket fee waiver of any kind.

The requested documents will be made available to the general public free of charge as part of the public information service at MuckRock.com, and is not being made for commercial usage.

In the event that fees cannot be waived, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.

Sincerely,

Taylor Amarel

From: Schultz, Natasha


None

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 27, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-02113-FOIA.

Thank you for your help.

From: foiapa

Dear Felecia,

The FOIA Office has received the below email from Mr. Taylor Amarel. We are forwarding this email to your office for direct assistance. A courtesy copy of this email will also be sent to the originator.

Thank You,
Office of FOIA Services

From: Taylor, Felecia

Mr. Amarel,

We are still consulting with other staff regarding the existence and accessibility of any records responsive to your request. As soon as we complete our consultation, you will be notified immediately.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2736
(202) 551-8349 - telephone number
(202) 772-9337 - fax number

From: Taylor Amarel

Thank you.

RE: Request No. 15-02113-FOIA

I look forward to receiving a response as soon as possible.

Sincerely Yours,
Taylor Amarel

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 27, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-02113-FOIA.

Thank you for your help.

From: Taylor, Felecia

Please be advised that the FOIA Office responded to your request via e-mail on April 16, 2015. For your convenience, I am attaching another copy of the response and releasable records.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2465
(202) 551-8349 - telephone number
(202) 772-9337 - fax number

From: Taylor Amarel

RE: Request No. 15-02113-FOIA

To whom this may concern,

In response to your recent communication, I am kindly requesting a 60 day extension to provide an appropriate response to address the issues, as well as other items. Specifically, an appeal of the withheld records.

Thus, I am kindly requesting the deadline be extended by 60 days. It is my currently belief that 60 days should be sufficient to draft an appropriate response. In any case, this request is of important and will be continued to be pursued.

Should the deadline be missed, I will surely submit the same request again.

Sincerely Yours,
Taylor Scott Amarel

From: Taylor, Felecia

Mr. Amarel,

Please refer to the appeal rights provided in our April 16, 2015 initial determination to seek further remedies. Note, we did not withhold any records in response to your request.

Thank you,
Felecia Taylor

From: Taylor Amarel

I will be appealing. I know factually that more records exist.

From: Taylor Amarel

To Whom It May Concern:

This is a request under the Freedom of Information Act. I hereby request the following records:

-Any and all guidance material provided by your agency since today to financial institutions meant to supplement or replace partially or entirely any forms of previous AML guidance, standards, or procedures, such similar too but not to be limited by documents similar to FINCEN's guidance procedures and non-binding "Guidance for Financial Institutions in Detecting Terrorist Financing" or meant to otherwise help financial institutions identify potential transactions or other activity by terrorist groups. This should include any presentations your agency has given to employees of financial institutions.

-Blank copies of any forms – be they physical or electronic – that financial institutions are required or asked to submit to your agency when they identify potential financial activity by suspicious or terrorist groups. If financial institutions submit information on potential financial activity through an online form or series of forms please provide screenshots of every page of the submission process.

-Any and all lists maintained by your agency – other than that provided in Executive Order 13224 -- of individuals or groups designated for special attention or increased scrutiny by financial institutions. I understand that the names of some individuals may have to be redacted from such lists.

-Any similar documents guidance of procedures that may be similar to "Detecting Terrorist Financing" but may not raise to he level of seriousness that Terrorist Financing inherently does. Including but not limited to AML documents, guidance, or procedures designed to detect any suspicious activity that may or may not be of terrorist origins.

I would like to make it clear that I am requesting classification as a member of the news media and the subsequent fee category for myself as an individual journalist and not for blanket fee waiver of any kind.

The requested documents will be made available to the general public free of charge as part of the public information service at MuckRock.com, and is not being made for commercial usage.

In the event that fees cannot be waived, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.

Sincerely,

Taylor Amarel

From: Taylor, Felecia

Mr. Amarel,

The request below appears to be identical to the request you submitted to this office on February 27, 2015. As you know, we responded to this request on April 16, 2015 (copy attached). Please advise if you are re-submitting the request to the FOIA Office. If so, please submit your request to foiapa@sec.gov<mailto:foiapa@sec.gov>.

If you have any questions or concerns, please do not hesitate to contact me.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2465
(202) 551-8349 - telephone number
(202) 772-9337 - fax number

From: Taylor, Felecia

Mr. Amarel,

The request below appears to be identical to the request you submitted to this office on February 27, 2015. As you know, we responded to this request on April 16, 2015 (copy attached). Please advise if you are re-submitting the request to the FOIA Office. If so, please submit your request to foiapa@sec.gov<mailto:foiapa@sec.gov>.

If you have any questions or concerns, please do not hesitate to contact me.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2465
(202) 551-8349 - telephone number
(202) 772-9337 - fax number

From: Taylor Amarel

To whom this may concern,

RE: 15-02113-FOIA - Request_Description[1] and 15-02113-FOIA - Response of 4-16-2015

Upon analysis of the attachments provided in your 07/10/2015 and 07/10/2015 emails, I unfortunately do not believe I received the additional "64 pages" "With respect to items 1 and 4, access is granted".

I apologize for any confusion or inconvenience but I believe the attachment of the 64 pages may have failed.

I kindly request that the 64 pages of disclosure be provided to me.

All rights reserved.

From: Taylor, Felecia

Mr. Amarel,

Please find attached another copy of the e-mail I sent to you on May 4, 2015, which contains a copy of our outgoing letter dated April 16, 2015 and the releasable records.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2465
(202) 551-8349 - telephone number
(202) 772-9337 - fax number

From: Taylor Amarel

thank you. the documents have been received

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 27, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-02113-FOIA.

Thanks for your help, and let me know if further clarification is needed.

From: Taylor, Felecia

Mr. Amarel,

Please see attachments. Note, your e-mail of August 22, 2015 states that you received copies of the records pertaining to this request.

Thank you,
Felecia Taylor

From: Taylor Amarel

apologies.

thank you.

From: Taylor Amarel

TO:
United States Securities And Exchange Commission 100 F Street, NE
Washington, D.C. 20549
Office of Freedom of Information Act (FOIA) Services ATTN: FOIA Records Officer
FOIA Office: (202) 551­7900
Freedom Of Information Act Request

For the immediate attention and review of a FOIA Records Officer:

To whom this may concern,

Pursuant to the Freedom Of Information Act, I am hereby requesting copies of the following documents, as described immediately below:

1. I would like to obtain all training manuals that are utilized within the Office Of The Whistleblower.

Further, pursuant to the Freedom of Information Act and United States Securities And Exchange Commission rules and regulations, as well as legal precedence, I am requesting the following:

1. A complete response be provided to me within 20 days of receipt of this letter.
2. Provide me with the documents and responses in electronic format to
this email to avoid copying or document reproduction costs.
3. According to SEC Agency/Docket Numbers: Release No. 34­75388 and File No.
S7­07­14, please do not bill me for any request where “where the costs of collecting and processing the fee are likely to equal or exceed the amount of the fee or where the requester has met the requirements for a statutory fee waiver.”
4. If the FOIA request is likely to exceed $80, please provide me with an estimate of the fees and give me the opportunity to reduce the scope of my request.

Sincerely Yours

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