(a) Each request for an administrative
ruling must be in writing and contain the following information:
(1) A complete description of the situation
for which the ruling is requested,
(2) A complete statement of all material
facts related to the subject transaction,
(3) A concise and unambiguous question
to be answered,
(4)
A statement certifying, to the best of the requestor’s knowledge and
belief, that the question to be answered is not applicable to any
ongoing state or Federal investigation, litigation, grand jury proceeding,
or proceeding before any other governmental body involving either
the requestor, any other party to the subject transaction, or any
other party with whom the requestor has an agency relationship,
(5) A statement identifying
any information in the request that the requestor considers to be
exempt from disclosure under the Freedom of Information Act, 5 U.S.C.
552, and the reason therefor,
(6) If the subject situation is hypothetical,
a statement justifying why the particular situation described warrants
the issuance of a ruling,
(7) The signature of the person making the request, or
(8) If an agent makes the
request, the signature of the agent and a statement certifying the
authority under which the request is made.
3-1706.11
(b) A request filed by a corporation shall be signed
by a corporate officer and a request filed by a partnership shall
be signed by a partner.
(c) A request may advocate
a particular proposed interpretation and may set forth the legal and
factual basis for that interpretation.
(d) Requests
shall be addressed to: Director, Financial Crimes Enforcement Network,
P.O. Box 39, Vienna, VA 22183.
(e) The requester
shall advise the Director, FinCEN, immediately in writing of any subsequent
change in any material fact or statement submitted with a ruling request
in conformity with paragraph (a) of this section.
