[Title 28 CFR 5]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 28 - JUDICIAL ADMINISTRATION]
[Chapter I - DEPARTMENT OF JUSTICE]
[Part 5 - ADMINISTRATION AND ENFORCEMENT OF FOREIGN AGENTS REGISTRATION ACT OF 1938, AS AMENDED]
[From the U.S. Government Printing Office]
28JUDICIAL ADMINISTRATION12002-07-012002-07-01falseADMINISTRATION AND ENFORCEMENT OF FOREIGN AGENTS REGISTRATION ACT OF 1938, AS AMENDED5PART 5JUDICIAL ADMINISTRATIONDEPARTMENT OF JUSTICE
PART 5--ADMINISTRATION AND ENFORCEMENT OF FOREIGN AGENTS REGISTRATION ACT OF 1938, AS AMENDED--Table of Contents
Sec.
5.1 Administration and enforcement of the Act.
5.2 Inquiries concerning application of the Act.
5.3 Filing of a registration statement.
5.4 Computation of time.
5.5 Registration fees.
5.100 Definition of terms.
5.200 Registration.
5.201 Exhibits.
5.202 Short form registration statement.
5.203 Supplemental statement.
5.204 Amendments.
5.205 Termination of registration.
5.206 Language and wording of registration statement.
5.207 Incorporation by reference.
5.208 Disclosure of foreign principals.
5.209 Information relating to employees.
5.210 Amount of detail required in information relating to registrant's
activities and expenditures.
5.211 Sixty-day period to be covered in initial statement.
5.300 Burden of establishing availability of exemption.
5.301 Exemption under section 3(a) of the Act.
5.302 Exemptions under sections 3(b) and (c) of the Act.
5.303 Exemption available to persons accredited to international
organizations.
5.304 Exemptions under sections 3(d) and (e) of the Act.
5.305 Exemption under section 3(f) of the Act.
5.306 Exemption under section 3(g) of the Act.
5.400 Filing of political propaganda.
5.401 Dissemination report.
5.402 Labeling political propaganda.
5.500 Maintenance of books and records.
5.501 Inspection of books and records.
5.600 Public examination of records.
5.601 Copies of records and information available.
5.800 Ten-day filing requirement.
5.801 Activity beyond 10-day period.
5.1101 Copies of the Report of the Attorney General.
Authority: 28 U.S.C. 509, 510; Section 1, 56 Stat. 248, 257 (22
U.S.C. 620); title I, Pub. L. 102-395, 106 Stat. 1828, 1831 (22 U.S.C.
612 note).
Source: Order No. 376-67, 32 FR 6362, Apr. 22, 1967, unless
otherwise noted.
Sec. 5.1 Administration and enforcement of the Act.
(a) The administration and enforcement of the Foreign Agents
Registration Act of 1938, as amended (22 U.S.C. 611-621), is subject to
the general supervision and direction of the Attorney General, assigned
to, conducted, handled, and supervised by the Assistant Attorney General
in charge of the Criminal Division (Sec. 0.60(b) of this chapter).
(b) The Assistant Attorney General is authorized to prescribe such
forms, in addition to or in lieu of those specified in the regulations
in this part, as may be necessary to carry out the purposes of this
part.
(c) Copies of the Act, and of the rules, regulations, and forms
prescribed pursuant to the Act, and information concerning the foregoing
may be obtained upon request without charge from the Registration Unit,
Criminal Division, Department of Justice, Washington, DC 20530.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973; Order No. 568-74, 39 FR 18646, May
29, 1974]
Sec. 5.2 Inquiries concerning application of the Act.
(a) General. Any present or prospective agent of a foreign
principal, or the agent's attorney, may request from the Assistant
Attorney General a statement of the present enforcement intentions of
the Department of Justice under the Act with respect to any presently
contemplated activity, course of conduct, expenditure, receipt of money
or thing of value, or transaction, and specifically with respect to
whether the same requires registration and disclosure pursuant to the
Act, or is excluded from coverage or exempted from registration and
disclosure under any provision of the Act.
[[Page 209]]
(b) Anonymous, hypothetical, non-party and ex post facto review
requests excluded. The entire transaction which is the subject of the
review request must be an actual, as opposed to hypothetical,
transaction and involve disclosed, as opposed to anonymous, agents and
principals. Review requests must be submitted by a party to the
transaction or the party's attorney, and have no application to a party
that does not join in the request. A review request may not involve only
past conduct.
(c) Fee. All requests for statements of the Department's present
enforcement intentions must be accompanied by a non-refundable filing
fee submitted in accordance with Sec. 5.5.
(d) Address. A review request must be submitted in writing to the
Assistant Attorney General, Criminal Division, Attention: Chief,
Registration Unit. The mailing address is 1400 New York Avenue, NW.,
room 9300, Washington, DC 20530.
(e) Contents. A review request shall be specific and contain in
detail all relevant and material information bearing on the actual
activity, course of conduct, expenditure, receipt of money or thing of
value, or transaction for which review is requested. There is no
prescribed format for the request, but each request must include:
(1) The identity(ies) of the agent(s) and foreign principal(s)
involved;
(2) The nature of the agent's activities for or in the interest of
the foreign principal;
(3) A copy of the existing or proposed written contract with the
foreign principal or a full description of the terms and conditions of
each existing or proposed oral agreement; and
(4) The applicable statutory or regulatory basis for the exemption
or exclusion claimed.
(f) Certification. If the requesting party is an individual, the
review request must be signed by the prospective or current agent, or,
if the requesting party is not an individual, the review request must be
signed on behalf of each requesting party by an officer, a director, a
person performing the functions of an officer or a director of, or an
attorney for, the requesting party. Each such person signing the review
request must certify that the review request contains a true, correct
and complete disclosure with respect to the proposed conduct.
(g) Additional information. Each party shall provide any additional
information or documents the Criminal Division may thereafter request in
order to review a matter. Any information furnished orally shall be
confirmed promptly in writing, signed by the same person who signed the
initial review request and certified to be a true, correct and complete
disclosure of the requested information.
(h) Outcomes. After submission of a review request, the Criminal
Division, in its discretion, may state its present enforcement intention
under the Act with respect to the proposed conduct; may decline to state
its present enforcement intention; or, if circumstances warrant, may
take such other position or initiate such other action as it considers
appropriate. Any requesting party or parties may withdraw a review
request at any time. The Criminal Division remains free, however, to
submit such comments to the requesting party or parties as it deems
appropriate. Failure to take action after receipt of a review request,
documents or information, whether submitted pursuant to this procedure
or otherwise, shall not in any way limit or stop the Criminal Division
from taking any action at such time thereafter as it deems appropriate.
The Criminal Division reserves the right to retain any review request,
document or information submitted to it under this procedure or
otherwise and to use any such request, document or information for any
governmental purpose.
(i) Time for response. The Criminal Division shall respond to any
review request within 30 days after receipt of the review request and of
any requested additional information and documents.
(j) Written decisions only. The requesting party or parties may rely
only upon a written Foreign Agents Registration Act review letter signed
by the Assistant Attorney General or his delegate.
(k) Effect of review letter. Each review letter can be relied upon
by the requesting party or parties to the extent
[[Page 210]]
the disclosure was accurate and complete and to the extent the
disclosure continues accurately and completely to reflect circumstances
after the date of issuance of the review letter.
(l) Compliance. Neither the submission of a review request, nor its
pendency, shall in any way alter the responsibility of the party or
parties to comply with the Act.
(m) Confidentiality. Any written material submitted pursuant to a
request made under this section shall be treated as confidential and
shall be exempt from disclosure.
[Order No. 1757-93, 58 FR 37418, July 12, 1993]
Sec. 5.3 Filing of a registration statement.
All statements, exhibits, amendments, and other documents and papers
required to be filed under the Act or under this part shall be submitted
in triplicate to the Registration Unit. An original document and two
duplicates meeting the requirements of Rule 1001(4), Federal Rules of
Evidence (28 U.S.C. Appendix), shall be deemed to meet this requirement.
Filing of such documents may be made in person or by mail, and they
shall be deemed to be filed upon their receipt by the Registration Unit.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973; Order No. 1757-93, 58 FR 37419, July
12, 1993]
Sec. 5.4 Computation of time.
Sundays and holidays shall be counted in computing any period of
time prescribed in the Act or in the rules and regulations in this part.
Sec. 5.5 Registration fees.
(a) A registrant shall pay a registration fee with each initial
registration statement filed under Sec. 5.200 and each supplemental
registration statement under Sec. 5.203 at the time such registration
statement is filed. The registration fee may be paid by cash or by check
or money order made payable to ``FARA Registration Unit''. The
Registration Unit, in its discretion, may require that the fee be paid
by a certified or cashier's check or by a United States Postal money
order.
(b) Payment of fees shall accompany any order for copies or request
for information, and all applicable fees shall be collected before
copies or information will be made available. Payment may be made by
cash or by check or money order made payable to ``FARA Registration
Unit''. The Registration Unit, in its discretion, may require that the
fee be paid by a certified or cashier's check or by a United States
Postal money order.
(c) Registration fees shall be waived in whole or in part, as
appropriate, in the case of any individual person required to register
under the Act who has demonstrated to the satisfaction of the
Registration Unit that he or she is financially unable to pay the fees
in their entirety. An individual seeking to avail himself or herself of
this provision shall file with the registration statement a declaration
made in compliance with section 1746 of title 28, United States Code,
setting forth the information required by Form 4, Federal Rules of
Appellate Procedure (28 U.S.C. appendix).
(d) The fees shall be as follows:
(1) For initial registration statements (including an exhibit A for
one foreign principal) under Sec. 5.200: $305.00;
(2) For supplemental registration statements under Sec. 5.203:
$305.00 per foreign principal;
(3) For exhibit A under Sec. 5.201(a)(1): $305.00 per foreign
principal not currently reported under Sec. 5.200 or Sec. 5.203;
(4) For exhibit B under Sec. 5.201(a)(2): no fee;
(5) For exhibits C and D (no forms) under Sec. 5.201: no fee;
(6) For short-form registration statements under Sec. 5.202: no fee;
(7) For amendments under Sec. 5.204; no fee;
(8) For statements of present enforcement intentions under Sec. 5.2:
$96.00 per review request;
(9) For each quarter hour of search time under Sec. 5.601: $4.00;
(10) For copies of registration statements and supplements,
amendments, exhibits thereto, dissemination reports, and copies of
political propaganda and other materials contained in the public files,
under Sec. 5.601: fifty cents ($.50) per copy of each page of the
material requested;
[[Page 211]]
(11) For copies of registration statements and supplements,
amendments, exhibits thereto, dissemination reports, and copies of
political propaganda and other materials contained in the public files,
produced by computer, such as tapes or printouts, under Sec. 5.601:
actual direct cost of producing the copy, including the apportionable
salary costs; and
(12) For computer searches of records through the use of existing
programming: Direct actual costs, including the cost of operating a
central processing unit for that portion of operating time that is
directly attributable to searching for records responsive to a request
and the salary costs apportionable to the search.
(e) The cost of delivery of any document by the Registration Unit by
any means other than ordinary mail shall be charged to the requester at
a rate sufficient to cover the expense to the Registration Unit.
(f) The Assistant Attorney General is hereby authorized to adjust
the fees established by this section from time to time to reflect and
recover the costs of the administration of the Registration Unit under
the Act.
(g) Fees collected under this provision shall be available for the
support of the Registration Unit.
(h) Notwithstanding Sec. 5.3, no document required to be filed under
the Act shall be deemed to have been filed unless it is accompanied by
the applicable fee except as provided by paragraph (c) of this section.
[Order No. 1757-93, 58 FR 37419, July 12, 1993]
Sec. 5.100 Definition of terms.
(a) As used in this part:
(1) The term Act means the Foreign Agents Registration Act of 1938,
as amended (22 U.S.C. 611-621).
(2) The term Attorney General means the Attorney General of the
United States.
(3) The term Assistant Attorney General means the Assistant Attorney
General in charge of the Criminal Division, Department of Justice,
Washington, DC 20530.
(4) The term Secretary of State means the Secretary of State of the
United States.
(5) The term Registration Unit means the Registration Unit, Internal
Security Section, Criminal Division, Department of Justice, Washington,
DC 20530.
(6) The term rules and regulations includes the regulations in this
part and all other rules and regulations prescribed by the Attorney
General pursuant to the Act and all registration forms and instructions
thereon which may be prescribed by the regulations in this part or by
the Assistant Attorney General.
(7) The term registrant means any person who has filed a
registration statement with the Registration Unit, pursuant to section
2(a) of the Act and Sec. 5.3.
(8) Unless otherwise specified, the term agent of a foreign
principal means an agent of a foreign principal required to register
under the Act.
(9) The term foreign principal includes a person any of whose
activities are directed or indirectly supervised, directed, controlled,
financed, or subsidized in whole or in major part by a foreign principal
as that term is defined in section 1(b) of the Act.
(10) The term initial statement means the statement required to be
filed with the Attorney General under section 2(a) of the Act.
(11) The term supplemental statement means the supplement required
to be filed with the Attorney General under section 2(b) of the Act at
intervals of 6 months following the filing of the initial statement.
(12) The term final statement means the statement required to be
filed with the Attorney General following the termination of the
registrant's obligation to register.
(13) The term short form registration statement means the
registration statement required to be filed by certain partners,
officers, directors, associates, employees, and agents of a registrant.
(b) As used in the Act, the term control or any of its variants
shall be deemed to include the possession or the exercise of the power,
directly or indirectly, to determine the policies or the activities of a
person, whether through the ownership of voting rights, by contract, or
otherwise.
[[Page 212]]
(c) The term agency as used in sections 1(c), 1(o), 1(q), 3(g), and
4(e) of the Act shall be deemed to refer to every unit in the executive
and legislative branches of the Government of the United States,
including committees of both Houses of Congress.
(d) The term official as used in sections 1(c), 1(o), 1(q), 3(g),
and 4(e) of the Act shall be deemed to include Members and officers of
both Houses of Congress as well as officials in the executive branch of
the Government of the United States.
(e) The terms formulating, adopting, or changing, as used in section
1(o) of the Act, shall be deemed to include any activity which seeks to
maintain any existing domestic or foreign policy of the United States.
They do not include making a routine inquiry of a Government official or
employee concerning a current policy or seeking administrative action in
a matter where such policy is not in question.
(f) The term domestic or foreign policies of the United States, as
used in sections 1 (o) and (p) of the Act, shall be deemed to relate to
existing and proposed legislation, or legislative action generally;
treaties; executive agreements, proclamations, and orders; decisions
relating to or affecting departmental or agency policy, and the like.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973]
Sec. 5.200 Registration.
(a) Registration under the Act is accomplished by the filing of an
initial statement together with all the exhibits required by Sec. 5.201
and the filing of a supplemental statement at intervals of 6 months for
the duration of the principal-agent relationship requiring registration.
(b) The initial statement shall be filed on Form OBD-63.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
960-81, 46 FR 52355, Oct. 27, 1981]
Sec. 5.201 Exhibits.
(a) The following described exhibits are required to be filed for
each foreign principal of the registrant:
(1) Exhibit A. This exhibit, which shall be filed on Form OBD-67,
shall set forth the information required to be disclosed concerning each
foreign principal.
(2) Exhibit B. This exhibit, which shall be filed on Form OBD-65,
shall set forth the agreement or understanding between the registrant
and each of his foreign principals as well as the nature and method of
performance of such agreement or understanding and the existing or
proposed activities engaged in or to be engaged in, including political
activities, by the registrant for the foreign principal.
(b) Any change in the information furnished in exhibit A or B shall
be reported to the Registration Unit within 10 days of such change. The
filing of a new exhibit may then be required by the Assistant Attorney
General.
(c) Whenever the registrant is an association, corporation,
organization, or any other combination of individuals, the following
documents shall be filed as exhibit C:
(1) A copy of the registrant's charter, articles of incorporation or
association, or constitution, and a copy of its bylaws, and amendments
thereto;
(2) A copy of every other instrument or document, and a statement of
the terms and conditions of every oral agreement, relating to the
organization, powers and purposes of the registrant.
(d) The requirement to file any of the documents described in
paragraphs (c) (1) and (2) of this section may be wholly or partially
waived upon written application by the registrant to the Assistant
Attorney General setting forth fully the reasons why such waiver should
be granted.
(e) Whenever a registrant, within the United States, receives or
collects contributions, loans, money, or other things of value, as part
of a fund-raising campaign, for or in the interests of his foreign
principal, he shall file as exhibit D a statement so captioned setting
forth the amount of money or the value of the thing received or
collected, the names and addresses of the persons from whom such money
or thing of value was received or collected, and the amount of money or
a
[[Page 213]]
description of the thing of value transmitted to the foreign principal
as well as the manner and time of such transmission.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973; Order No. 960-81, 46 FR 52355, Oct.
27, 1981]
Sec. 5.202 Short form registration statement.
(a) Except as provided in paragraphs (b), (c), and (d) of this
section, each partner, officer, director, associate, employee, and agent
of a registrant is required to file a registration statement under the
Act. Unless the Assistant Attorney General specifically directs
otherwise, this obligation may be satisfied by the filing of a short
form registration statement.
(b) A partner, officer, director, associate, employee, or agent of a
registrant who does not engage directly in activity in furtherance of
the interests of the foreign principal is not required to file a short
form registration statement.
(c) An employee or agent of a registrant whose services in
furtherance of the interests of the foreign principal are rendered in a
clerical, secretarial, or in a related or similar capacity, is not
required to file a short form registration statement.
(d) Whenever the agent of a registrant is a partnership,
association, corporation, or other combination of individuals, and such
agent is not within the exemption of paragraph (b) of this section, only
those partners, officers, directors, associates, and employees who
engage directly in activity in furtherance of the interests of the
registrant's foreign principal are required to file a short form
registration statement.
(e) The short form registration statement shall be filed on Form
OBD-66. Any change affecting the information furnished with respect to
the nature of the services rendered by the person filing the statement,
or the compensation he receives, shall require the filing of a new short
form registration statement within 10 days after the occurrence of such
change. There is no requirement to file exhibits or supplemental
statements to a short form registration statement.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
960-81, 46 FR 52355, Oct. 27, 1981]
Sec. 5.203 Supplemental statement.
(a) Supplemental statements shall be filed on Form OBD-64.
(b) The obligation to file a supplemental statement at 6-month
intervals during the agency relationship shall continue even though the
registrant has not engaged during the period in any activity in the
interests of his foreign principal.
(c) The time within which to file a supplemental statement may be
extended for sufficient cause shown in a written application to the
Assistant Attorney General.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
960-81, 46 FR 52355, Oct. 27, 1981]
Sec. 5.204 Amendments.
(a) An initial, supplemental, or final statement which is deemed
deficient by the Assistant Attorney General must be amended upon his
request. Such amendment shall be filed upon Form OBD-68 and shall
identify the item of the statement to be amended.
(b) A change in the information furnished in an initial or
supplemental statement under clauses (3), (4), (6), and (9) of section
2(a) of the Act shall be by amendment, unless the notice which is
required to be given of such change under section 2(b) is deemed
sufficient by the Assistant Attorney General.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
960-81, 46 FR 52355, Oct. 27, 1981]
Sec. 5.205 Termination of registration.
(a) A registrant shall, within 30 days after the termination of his
obligation to register, file a final statement on Form OBD-64 with the
Registration Unit for the final period of the agency relationship not
covered by any previous statement.
[[Page 214]]
(b) Registration under the Act shall be terminated upon the filing
of a final statement, if the registrant has fully discharged all his
obligations under the Act.
(c) A registrant whose activities on behalf of each of his foreign
principals become confined to those for which an exemption under section
3 of the Act is available may file a final statement notwithstanding the
continuance of the agency relationship with the foreign principals.
(d) Registration under the Act may be terminated upon a finding that
the registrant is unable to file the appropriate forms to terminate the
registration as a result of the death, disability, or dissolution of the
registrant or where the requirements of the Act cannot be fulfilled by a
continuation of the registration.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973; Order No. 960-81, 46 FR 52355, Oct.
27, 1981; Order No. 1757-93, 58 FR 37419, July 12, 1993]
Sec. 5.206 Language and wording of registration statement.
(a) Except as provided in the next sentence, each statement,
amendment, exhibit, or notice required to be filed under the Act shall
be submitted in the English language. An exhibit may be filed even
though it is in a foreign language if it is accompanied by an English
translation certified under oath by the translator before a notary
public, or other person authorized by law to administer oaths for
general purposes, as a true and accurate translation.
(b) A statement, amendment, exhibit, or notice required to be filed
under the Act should be typewritten, but will be accepted for filing if
it is written legibly in ink.
(c) Copies of any document made by any of the duplicating processes
may be filed pursuant to the Act if they are clear and legible.
(d) A response shall be made to every item on each pertinent form,
unless a registrant is specifically instructed otherwise in the form.
Whenever the item is inapplicable or the appropriate response to an item
is ``none,'' an express statement to that effect shall be made.
Sec. 5.207 Incorporation by reference.
(a) Each initial, supplemental, and final statement shall be
complete in and of itself. Incorporation of information by reference to
statements previously filed is not permissible.
(b) Whenever insufficient space is provided for response to any item
in a form, reference shall be made in such space to a full insert page
or pages on which the item number and inquiry shall be restated and a
complete answer given. Inserts and riders of less than full page size
should not be used.
Sec. 5.208 Disclosure of foreign principals.
A registrant who represents more than one foreign principal is
required to list in the statements he files under the Act only those
foreign principals for whom he is not entitled to claim exemption under
section 3 of the Act.
Sec. 5.209 Information relating to employees.
A registrant shall list in the statements he files under the Act
only those employees whose duties require them to engage directly in
activities in furtherance of the interests of the foreign principal.
Sec. 5.210 Amount of detail required in information relating to registrant's activities and expenditures.
A statement is ``detailed'' within the meaning of clauses 6 and 8 of
section 2 (a) of the Act when it has that degree of specificity
necessary to permit meaningful public evaluation of each of the
significant steps taken by a registrant to achieve the purposes of the
agency relation.
Sec. 5.211 Sixty-day period to be covered in initial statement.
The 60-day period referred to in clauses 5, 7, and 8 of section 2(a)
of the Act shall be measured from the time that a registrant has
incurred an obligation to register and not from the time that he files
his initial statement.
[[Page 215]]
Sec. 5.300 Burden of establishing availability of exemption.
The burden of establishing the availability of an exemption from
registration under the Act shall rest upon the person for whose benefit
the exemption is claimed.
Sec. 5.301 Exemption under section 3(a) of the Act.
(a) A consular officer of a foreign government shall be considered
duly accredited under section 3(a) of the Act whenever he has received
formal recognition as such, whether provisionally or by exequatur, from
the Secretary of State.
(b) The exemption provided by section 3(a) of the Act to a duly
accredited diplomatic or consular officer is personal and does not
include within its scope an office, bureau, or other entity.
Sec. 5.302 Exemptions under sections 3(b) and (c) of the Act.
The exemptions provided by sections 3(b) and (c) of the Act shall
not be available to any person described therein unless he has filed
with the Secretary of State a fully executed Notification of Status with
a Foreign Government (Form D.S. 394).
Sec. 5.303 Exemption available to persons accredited to international organizations.
Persons designated by foreign governments as their representatives
in or to an international organization, other than nationals of the
United States, are exempt from registration under the Act in accordance
with the provisions of the International Organizations Immunities Act,
if they have been duly notified to and accepted by the Secretary of
State as such representatives, officers, or employees, and if they
engage exclusively in activities which are recognized as being within
the scope of their official functions.
Sec. 5.304 Exemptions under sections 3(d) and (e) of the Act.
(a) As used in section 3(d), the term trade or commerce shall
include the exchange, transfer, purchase, or sale of commodities,
services, or property of any kind.
(b) For the purpose of section 3(d) of the Act, activities of an
agent of a foreign principal as defined in section 1(c) of the Act, in
furtherance of the bona fide trade or commerce of such foreign
principal, shall be considered ``private,'' even though the foreign
principal is owned or controlled by a foreign government, so long as the
activities do not directly promote the public or political interests of
the foreign government.
(c) For the purpose of section 3(d) of the Act, the disclosure of
the identity of the foreign person that is required under section 1(q)
of the Act shall be made to each official of the U.S. Government with
whom the activities are conducted. This disclosure shall be made to the
Government official prior to his taking any action upon the business
transacted. The burden of establishing that the required disclosure was
made shall lie upon the person claiming the exemption.
(d) The exemption provided by section 3(e) of the Act shall not be
available to any person described therein if he engages in political
activities as defined in section 1(o) of the Act for or in the interests
of his foreign principal.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
463-71, 36 FR 12212, June 29, 1971]
Sec. 5.305 Exemption under section 3(f) of the Act.
The exemption provided by section 3(f) of the Act shall not be
available unless the President has, by publication in the Federal
Register, designated for the purpose of this section the country the
defense of which he deems vital to the defense of the United States.
Sec. 5.306 Exemption under section 3(g) of the Act.
For the purpose of section 3(g) of the Act--
(a) Attempts to influence or persuade agency personnel or officials
other than in the course of established agency proceedings, whether
formal or informal, shall include only such attempts to influence or
persuade with reference to formulating, adopting, or
[[Page 216]]
changing the domestic or foreign policies of the United States or with
reference to the political or public interests, policies, or relations
of a government of a foreign country or a foreign political party; and
(b) If an attorney engaged in legal representation of a foreign
principal before an agency of the U.S. Government is not otherwise
required to disclose the identity of his principal as a matter of
established agency procedure, he must make such disclosure, in
conformity with this section of the Act, to each of the agency's
personnel or officials before whom and at the time his legal
representation is undertaken. The burden of establishing that the
required disclosure was made shall like upon the person claiming the
exemption.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
463-71, 36 FR 12212, June 29, 1971]
Sec. 5.400 Filing of political propaganda.
(a) The two copies of each item of political propaganda required to
be filed with the Attorney General under section 4(a) of the Act shall
be filed with the Registration Unit.
(b) Whenever two copies of an item of political propaganda have been
filed pursuant to section 4(a) of the Act, an agent of a foreign
principal shall not be required, in the event of further dissemination
of the same material, to forward additional copies thereof to the
Registration Unit.
(c) Unless specifically directed to do so by the Assistant Attorney
General, a registrant is not required to file two copies of a motion
picture containing political propaganda which he disseminates on behalf
of his foreign principal, so long as he files monthly reports on its
dissemination. In each such case this registrant shall submit to the
Registration Unit either a film strip showing the label required by
section 4(b) of the Act or an affidavit certifying that the required
label has been made a part of the film.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973; Order No. 568-74, 39 FR 18646, May
29, 1974]
Sec. 5.401 Dissemination report.
(a) A Dissemination Report shall be filed with the Registration Unit
for each item of political propaganda that is transmitted, or caused to
be transmitted, in the U.S. mails, or by any means or instrumentality of
interstate or foreign commerce, by an agent of a foreign principal for
or in the interests of any of his foreign principals.
(b) The Dissemination Report shall be filed on Form OBD-69.
(c) Except as provided in paragraph (d) of this section, a
Dissemination Report shall be filed no later than 48 hours after the
beginning of the transmittal of the political propaganda.
(d) Whenever transmittals of the same political propaganda are made
over a period of time, a Dissemination Report may be filed monthly for
as long as such transmittals continue.
(e) A Dissemination Report shall be complete in and of itself.
Incorporation of information by reference to reports previously filed is
not permissible.
(28 U.S.C. 509 and 510; 5 U.S.C. 301)
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
568-74, 39 FR 18646, May 29, 1974; Order No. 960-81, 46 FR 52355, Oct.
27, 1981]
Sec. 5.402 Labeling political propaganda.
(a) Within the meaning of this part, political propaganda shall be
deemed labeled whenever it has been marked or stamped conspicuously at
its beginning with a statement setting forth such information as is
required under section 4(b) of the Act.
(b) An item of political propaganda which is required to be labeled
under section 4(b) of the Act and which is in the form of prints shall
be marked or stamped conspicuously at the beginning of such item with a
statement in the language or languages used therein, setting forth such
information as is required under section 4(b) of the Act.
(c) An item of political propaganda which is required to be labeled
under section 4(b) of the Act but which is not in the form of prints
shall be accompanied by a statement setting forth such information as is
required under section 4(b) of the Act.
[[Page 217]]
(d) Political propaganda as defined in section 1(j) of the Act which
is televised or broadcast, or which is caused to be televised or
broadcast, by an agent of a foreign principal, shall be introduced by a
statement which is reasonably adapted to convey to the viewers or
listeners thereof such information as is required under section 4(b) of
the Act.
(e) An agent of a foreign principal who transmits or causes to be
transmitted in the U.S. mails or by any means or instrumentality of
interstate or foreign commerce a still or motion picture film which
contains political propaganda as defined in section 1(j) of the Act
shall insert at the beginning of such film a statement which is
reasonably adapted to convey to the viewers thereof such information as
is required under section 4(b) of the Act.
(f) For the purpose of section 4(e) of the Act, the statement that
must preface or accompany political propaganda or a request for
information shall be in writing.
Sec. 5.500 Maintenance of books and records.
(a) A registrant shall keep and preserve in accordance with the
provisions of section 5 of the Act the following books and records:
(1) All correspondence, memoranda, cables, telegrams, teletype
messages, and other written communications to and from all foreign
principals and all other persons, relating to the registrant's
activities on behalf of, or in the interest of any of his foreign
principals.
(2) All correspondence, memoranda, cables, telegrams, teletype
messages, and other written communications to and from all persons,
other than foreign principals, relating to the registrant's political
activity, or relating to political activity on the part of any of the
registrant's foreign principals.
(3) Original copies of all written contracts between the registrant
and any of his foreign principals.
(4) Records containing the names and addresses of persons to whom
political propaganda has been transmitted.
(5) All bookkeeping and other financial records relating to the
registrant's activities on behalf of any of his foreign principals,
including canceled checks, bank statements, and records of income and
disbursements, showing names and addresses of all persons who paid
moneys to, or received moneys from, the registrant, the specific amounts
so paid or received, and the date on which each item was paid or
received.
(6) If the registrant is a corporation, partnership, association, or
other combination of individuals, all minute books.
(7) Such books or records as will disclose the names and addresses
of all employees and agents of the registrant, including persons no
longer acting as such employees or agents.
(8) Such other books, records, and documents as are necessary
properly to reflect the activities for which registration is required.
(b) The books and records listed in paragraph (a) of this section
shall be kept and preserved in such manner as to render them readily
accessible for inspection pursuant to section 5 of the Act.
(c) A registrant shall keep and preserve the books and records
listed in paragraph (a) of this section for a period of 3 years
following the termination of his registration under Sec. 5.205.
(d) Upon good and sufficient cause shown in writing to the Assistant
Attorney General, a registrant may be permitted to destroy books and
records in support of the information furnished in an initial or
supplemental statement which he filed 5 or more years prior to the date
of his application to destroy.
Sec. 5.501 Inspection of books and records.
Officials of the Criminal Division and the Federal Bureau of
Investigation are authorized under section 5 of the Act to inspect the
books and records listed in Sec. 5.500(a).
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973]
Sec. 5.600 Public examination of records.
Registration statements, Dissemination Reports, and copies of
political propaganda filed under section 4(a) of the Act, shall be
available for public examination at the Registration Unit
[[Page 218]]
on official business days, from 10 a.m. to 4 p.m.
Sec. 5.601 Copies of records and information available.
(a) Copies of registration statements and supplements, amendments,
exhibits thereto, dissemination reports, and copies of political
propaganda and other materials contained in the public files, may be
obtained from the Registration Unit upon payment of a fee as prescribed
in Sec. 5.5.
(b) Information as to the fee to be charged for copies of
registration statements and supplements, amendments, exhibits thereto,
dissemination reports, and copies of political propaganda and other
materials contained in the public files, or research into and
information therefrom, and the time required for the preparation of such
documents or information may be obtained upon request to the
Registration Unit. Fee rates are established in Sec. 5.5.
(c) The Registration Unit may, in its discretion, conduct computer
searches of records through the use of existing programming upon written
request. Information as to the fee for the conduct of such computer
searches, and the time required to conduct such computer searches, may
be obtained upon request to the Registration Unit. A written request for
computer searches of records shall include a deposit in the amount
specified by the Registration Unit, which shall be the Registration
Unit's estimate of the actual fees. The Registration Unit is not
required to alter or develop programming to conduct a search. Fee rates
are established in Sec. 5.5.
[Order No. 1757-93, 58 FR 37420, July 12, 1993]
Sec. 5.800 Ten-day filing requirement.
The 10-day filing requirement provided by section 8(g) of the Act
shall be deemed satisfied if the amendment to the registration statement
is deposited in the U.S. mails no later than the 10th day of the period.
Sec. 5.801 Activity beyond 10-day period.
A registrant who has within the 10-day period filed an amendment to
his registration statement pursuant to a Notice of Deficiency given
under section 8(g) of the Act may continue to act as an agent of a
foreign principal beyond this period unless he receives a Notice of
Noncompliance from the Registration Unit.
[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No.
523-73, 38 FR 18235, July 9, 1973]
Sec. 5.1101 Copies of the Report of the Attorney General.
Copies of the Report of the Attorney General to the Congress on the
Administration of the Foreign Agents Registration Act of 1938, as
amended, shall be sold to the public by the Registration Unit, as
available, at a charge not less than the actual cost of production and
distribution.
[Order No. 1757-93, 58 FR 37420, July 12, 1993]