SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs

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

15-02096

Due March 26, 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:

I am requesting documents relating to the SEC's investigations, policies, regulatory actions, memos, as well as internal communication relating to AML controls and reporting requirements. Indeed, the requested information is of great importance and has been reiterated by the Securities and Exchange Commission Enforcement Chief Andrew Ceresney.

For the purpose of this request, I am requesting all of the following:
1.) Copies and links to all SEC enforcement action relating to AML within the past 2 years.
2.) Emails to and from Chief Andrew Ceresney that contain the following keywords: "scottrade", "AML", "SAR", "Bank Secrecy Act", "BSA", "hacked", "account takover"
3.) Documents that aggregately show the number of SAR reports filed within a year, information on various reporting strategies or advice to firms on meeting their BSA obligations.
4.) Any documents related to the Enforcement Division's Broker-Dealer Task Force various "broker-dealer initiatives that can be implemented Division-wide" as well as the divisions plans to now also pursue 'standalone BSA violations to send a clear message to the industry about the need for compliance.'
5.) Discussions, emails, and proposals between FinCEN and the SEC to draft a regulatory proposal on AML programs and suspicious activity reporting for investment advisors and broker-dealers.
6.) Any documents or past enforcement activity detailing Scottrade's AML programs.

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: Fulton, Charlotte


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. 26, 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 #15-02096.

Thank you for your help.

From: foiapa

Dear Ms. Burrows,

The FOIA Office has received the below email from Mr. Aamrel. 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: Burrows, Indria N.

Good morning Mr. Amarel,

I am writing in reference to the status of 15-02096-FOIA. We are still consulting with several offices to provide the appropriate response. Nevertheless, I will go back to the offices today for status.

Indria Burrows,
FOIA Research Specialist
Office of Support Operations
Securities and Exchange Commission
100 F Street, NE
Washington DC 20549
burrowsi@sec.gov

From: Taylor, Felecia

Please see attached response.

From: Burrows, Indria

Good afternoon,
Please see the attached correspondence regarding your FOIA request.
Thank you.
Indria Burrows
FOIA Research Specialist

From: Taylor Amarel

Thank you.

RE 15-02096-FOIA.

I intend to follow up on appeal to obtain additional documents.

Thank you for your assistance.

From: Burrows, Indria N.

Good morning,

This is request (15-02096-FOIA/AML control and reporting requirements) is still in progress. Nevertheless, you may send your appeal to the Office of General Counsel.

Sincerely,

Indria Burrows

From: Taylor Amarel

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 26, 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 #15-02096.

Thank you for your help.

From: Burrows, Indria N.

Good morning,

Your request is being partially reviewed and we are also still conferring with other offices for more information. No further clarification is needed.

Sincerely,

Indria Burrows

From: Taylor Amarel

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 26, 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 #15-02096.

Thank you for your help.

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. 26, 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 #15-02096.

Thank you for your help.

From: Ovall, Jeffery

Good morning, Mr. Amarel.  Please see the attached correspondence in response to a FOIA request you submitted to the SEC on February 26, 2015.
Sincerely,
Jeff Ovall
FOIA Branch Chief
FOIA/Privacy Act Office
Securities and Exchange Commission
100 F Street, NE
Room 2738, Station Place 2
Washington, DC  20549 Phone  (202) 551-6376 Ovallj@sec.gov

From: Taylor Amarel

Thank you. This information is most valuable. I will be following up on a number of matters disclosed herein via separate FOIA requests.

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. The percentage of tips, complaints, and referrals that are designated as a "matter under investigation" from July 1, 2013 ­ June 30, 2015.

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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