Trading Records Review

To Whom It May Concern:

Pursuant to the Freedom of Information Act, I hereby request the following records:

FinCEN records related to SEC trading review dated May 15, 2002, including any records related to Sept. 11, 2001 securities trading reviews for suspicious activity :

SAR review issue 5 dated Feb 2003 notes:

Page 38:
FinCEN's staff conducted an analysis of
all SARs submitted by depository institutions, affiliates of depository institutions,
and those voluntarily filed by broker-dealers, MSBs or gaming businesses from
the years 1996 through 2002. These SARs were identified by searching the
narrative section for key words related to the securities industry (e.g., investment
companies, mutual funds, hedge funds, private investment trusts, venture capital
funds, investment advisers). This analysis was not conducted to assess the money
laundering risks associated with securities sector; rather, it was done to provide a
snapshot of what SAR filers were reporting related to the securities industry.

Page 41:

• Five SARs were filed relating to September 11th activity and the OFAC
list of "specially designated global terrorists" — organizations and
individuals engaged in international terrorism. Two SARs identified
activity of investment companies on the OFAC list. Three SARs described
activity of individuals or entities on the OFAC list that included
transactions involving investment companies.

https://www.fincen.gov/sites/default/files/sar_report/sar_tti_05.pdf

Please review page 17 and 24 in SAR review issue 4 dated August 2002 for any possible relevant records:

https://www.fincen.gov/sites/default/files/sar_report/sar_tti_04.pdf

Please review MFR03011148 dated 11/07/03 for possible relevant FinCEN records to the request:

https://www.scribd.com/doc/79611715/t4-b12-Mfr-Fincen-Knez-Judith-2003-11-05

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, 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,

Alan