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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 10:10:3.0.1.1.2.2.1.1 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.21 Purpose and scope. | DOE | (a) This subpart sets forth the procedures to be followed when a subpoena, order, or other demand (hereinafter referred to as a “demand”) of a court or other authority is issued for the production or disclosure of (1) any material contained in the files of the Department of Energy (DOE), (2) any information relating to material contained in the files of the DOE, or (3) any information or material acquired by any person while such person was an employee of the DOE as a part of the performance of his official duties or because of his official status. (b) For purposes of this subpart, the term “Employee of the DOE” includes all officers and employees of the United States appointed by, or subject to the supervision, jurisdiction, or control of, the Administrator of DOE. | ||||
| 10:10:3.0.1.1.2.2.1.2 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.22 Production or disclosure prohibited unless approved by appropriate DOE official. | DOE | No employee or former employee of the DOE shall, in response to a demand of a court or other authority, produce any material contained in the file of the DOE or disclose any information relating to material contained in the files of the DOE, or disclose any information or produce any material acquired as part of the performance of his official duties or because of his official status without prior approval of the General Counsel of DOE. | ||||
| 10:10:3.0.1.1.2.2.1.3 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.23 Procedure in the event of a demand for production or disclosure. | DOE | (a) Whenever a demand is made upon an employee or former employee of the DOE for the production of material or the disclosure of information described in § 202.21(a), he shall immediately notify the Regional Counsel for the region where the issuing authority is located. The Regional Counsel shall immediately request instructions from the General Counsel of DOE. (b) If oral testimony is sought by the demand, an affidavit, or, if that is not feasible, a statement by the party seeking the testimony or his attorney, setting forth a summary of the testimony desired, must be furnished for submission by the Regional Counsel to the General Counsel. | ||||
| 10:10:3.0.1.1.2.2.1.4 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.24 Final action by the appropriate DOE official. | DOE | If the General Counsel approves a demand for the production of material or disclosure of information, he shall so notify the Regional Counsel and such other persons as circumstances may warrant. | ||||
| 10:10:3.0.1.1.2.2.1.5 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.25 Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required. | DOE | If response to the demand is required before the instructions from the General Counsel are received, a U.S. attorney or DOE attorney designated for the purpose shall appear with the employee or former employee of the DOE upon whom the demand has been made, and shall furnish the court or other authority with a copy of the regulations contained in this subpart and inform the court or other authority that the demand has been, or is being, as the case may be, referred for the prompt consideration of the appropriate DOE official and shall respectfully request the court or authority to stay the demand pending receipt of the requested instructions. | ||||
| 10:10:3.0.1.1.2.2.1.6 | 10 | Energy | II | A | 202 | PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | B | Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities | § 202.26 Procedure in the event of an adverse ruling. | DOE | If the court or other authority declines to stay the effect of the demand in response to a request made in accordance with § 202.25 pending receipt of instructions, of if the court or other authority rules that the demand must be complied with irrespective of instructions not to produce the material or disclose the information sought, the employee or former employee upon whom the demand has been made shall respectfully decline to comply with the demand. “United States ex rel Touhy v. Ragen,” 340 U.S. 462. | ||||
| 17:17:3.0.1.1.3.0.17.1 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.1 General. | SEC | [25 FR 6736, July 15, 1960, as amended at 76 FR 71875, Nov. 21, 2011] | (a) The statutes administered by the Commission provide generally (1) for the filing with it of certain statements, such as registration statements, periodic and ownership reports, and proxy solicitation material, and for the filing of certain plans of reorganization, applications and declarations seeking Commission approvals; (2) for Commission determination through formal procedures of matters initiated by private parties or by the Commission; (3) for the investigation and examination of persons and records where necessary to carry out the purposes of the statutes and for enforcement of statutory provisions; and (4) for the adoption of rules and regulations where necessary to effectuate the purposes of the statutes. (b) In addition to the Commission's rules of practice set forth in part 201 of this chapter, the Commission has promulgated rules and regulations pursuant to the several statutes it administers (parts 230, 240, 260, 270 and 275 of this chapter). These parts contain substantive provisions and include as well numerous provisions detailing the procedure for meeting specific standards embodied in the statutes. The Commission's rules and regulations under each of the statutes are available in pamphlet form upon request to the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. (c) The statutes and the published rules, regulations and forms thereunder prescribe the course and method of formal procedures to be followed in Commission proceedings. These are supplemented where feasible by certain informal procedures designed to aid the public and facilitate the execution of the Commission's functions. There follows a brief description of procedures generally followed by the Commission which have not been formalized in rules. (d) The informal procedures of the Commission are largely concerned with the rendering of advice and assistance by the Commission's staff to members of the public dealing with the Commission. While opinions expressed by members of the staff do not consti… | ||||||
| 17:17:3.0.1.1.3.0.17.10 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.9 Small entity enforcement penalty reduction policy. | SEC | [62 FR 16079, Apr. 4, 1997, as amended at 76 FR 71875, Nov. 21, 2011] | The Commission's policy with respect to whether to reduce or assess civil money penalties against a small entity is: (a) The Commission will consider on a case-by-case basis whether to reduce or not assess civil money penalties against a small entity. In determining whether to reduce or not assess penalties against a specific small entity, the following considerations will apply: (1) Except as provided in paragraph (a)(3) of this section, penalty reduction will not be available for any small entity if: (i) The small entity was subject previously to an enforcement action; (ii) Any of the small entity's violations involved willful or criminal conduct; or (iii) The small entity did not make a good faith effort to comply with the law. (2) In considering whether the Commission will reduce or refrain from assessing a civil money penalty, the Commission may consider: (i) The egregiousness of the violations; (ii) The isolated or repeated nature of the violations; (iii) The violator's state of mind when committing the violations; (iv) The violator's history (if any) of legal or regulatory violations; (v) The extent to which the violator cooperated during the investigation; (vi) Whether the violator has engaged in subsequent remedial efforts to mitigate the effects of the violation and to prevent future violations; (vii) The degree to which a penalty will deter the violator or others from committing future violations; and (viii) Any other relevant fact. (3) The Commission also may consider whether to reduce or not assess a civil money penalty against a small entity, including a small entity otherwise excluded from this policy under paragraphs (a)(1) (i)-(iii) of this section, if the small entity can demonstrate to the Commission's satisfaction that it is financially unable to pay the penalty, immediately or over a reasonable period of time, in whole or in part. (4) For purposes of this policy, an entity qualifies as “small” if it is a small business or small organization as defined by Commission rules adopt… | ||||||
| 17:17:3.0.1.1.3.0.17.11 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.10 Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media. | SEC | [71 FR 20340, Apr. 20, 2006] | Freedom of the press is of vital importance to the mission of the Securities and Exchange Commission. Effective journalism complements the Commission's efforts to ensure that investors receive the full and fair disclosure that the law requires, and that they deserve. Diligent reporting is an essential means of bringing securities law violations to light and ultimately helps to deter illegal conduct. In this Policy Statement the Commission sets forth guidelines for the agency's professional staff to ensure that vigorous enforcement of the federal securities laws is conducted completely consistently with the principles of the First Amendment's guarantee of freedom of the press, and specifically to avoid the issuance of subpoenas to members of the media that might impair the news gathering and reporting functions. These guidelines shall be adhered to by all members of the staff in all cases: (a) In determining whether to issue a subpoena to a member of the news media, the approach in every case must be to strike the proper balance between the public's interest in the free dissemination of ideas and information and the public's interest in effective enforcement of the federal securities laws. (b) When the staff investigating a matter determines that a member of the news media may have information relevant to the investigation, the staff should: (1) Determine whether the information might be obtainable from alternative non-media sources. (2) Make all reasonable efforts to obtain that information from those alternative sources. Whether all reasonable efforts have been made will depend on the particular circumstances of the investigation, including whether there is an immediate need to preserve assets or protect investors from an ongoing fraud. (3) Determine whether the information is essential to successful completion of the investigation. (c) If the information cannot reasonably be obtained from alternative sources and the information is essential to the investigation, then the staff, after seeking approval fr… | ||||||
| 17:17:3.0.1.1.3.0.17.12 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.12 Policy statement concerning cooperation by individuals in its investigations and related enforcement actions. | SEC | [75 FR 3123, Jan. 19, 2010] | Cooperation by individuals and entities in the Commission's investigations and related enforcement actions can contribute significantly to the success of the agency's mission. Cooperation can enhance the Commission's ability to detect violations of the federal securities laws, increase the effectiveness and efficiency of the Commission's investigations, and provide important evidence for the Commission's enforcement actions. There is a wide spectrum of tools available to the Commission and its staff for facilitating and rewarding cooperation by individuals, ranging from taking no enforcement action to pursuing reduced charges and sanctions in connection with enforcement actions. As with any cooperation program, there exists some tension between the objectives of holding individuals fully accountable for their misconduct and providing incentives for individuals to cooperate with law enforcement authorities. This policy statement sets forth the analytical framework employed by the Commission and its staff for resolving this tension in a manner that ensures that potential cooperation arrangements maximize the Commission's law enforcement interests. Although the evaluation of cooperation requires a case-by-case analysis of the specific circumstances presented, as described in greater detail below, the Commission's general approach is to determine whether, how much, and in what manner to credit cooperation by individuals by evaluating four considerations: the assistance provided by the cooperating individual in the Commission's investigation or related enforcement actions (“Investigation”); the importance of the underlying matter in which the individual cooperated; the societal interest in ensuring that the cooperating individual is held accountable for his or her misconduct; and the appropriateness of cooperation credit based upon the profile of the cooperating individual. In the end, the goal of the Commission's analysis is to protect the investing public by determining whether the public interest in facilitating an… | ||||||
| 17:17:3.0.1.1.3.0.17.13 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.13 Informal procedure with respect to applications under the Investment Company Act of 1940. | SEC | [85 FR 57107, Sept. 15, 2020] | (a) On any application subject to 17 CFR 270.0-5, other than an application eligible for and proceeding under expedited review as provided for by 17 CFR 270.0-5(d), (e), and (f), the Division should take action within 90 days of the initial filing and each of the first three amendments thereto, and within 60 days of any subsequent amendment. Such 90- or 60-day period will stop running upon any irregular closure of the Commission's Washington, DC office to the public for normal business, including, but not limited to, closure due to a lapse in Federal appropriations, national emergency, inclement weather, or ad hoc Federal holiday, and will resume upon the reopening of the Commission's Washington, DC office to the public for normal business. The Division may grant 60-day extensions and the applicant should be notified of any such extension. (b) Action on the application or any amendment thereto shall consist of: (1) Issuing a notice; (2) Providing the applicant with requests for clarification or modification of the application; or (3) Informing applicant that the application will be forwarded to the Commission, in which case the application is no longer subject to the provisions set forth in paragraph (a) of this section. (c) The provisions of this section, including the timeframes provided for in this section, are not intended to create enforceable rights by any interested parties and shall not be deemed to do so. Rather, this section provides informal non-binding guidelines and procedures that the Commission anticipates the Division following. | ||||||
| 17:17:3.0.1.1.3.0.17.14 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.14 Policy statement concerning agency referrals for potential criminal enforcement. | SEC | [90 FR 26204, June 20, 2025] | (a) Subject to appropriate exceptions and to the extent consistent with law, in considering whether to refer potential violations, including of criminal regulatory offenses, to the Department of Justice, the staff of the Commission should consider, among other factors: (1) The harm or risk of harm, pecuniary or otherwise, caused by the potential offense, including whether the putative defendant's conduct harmed or risked harming many victims; (2) The potential gain to the putative defendant that could result from the offense; (3) Whether the putative defendant held specialized knowledge, expertise, or was licensed in an industry related to the rule or regulation at issue; (4) Whether the putative defendant knew the conduct would cause harm or that it violated the law; (5) Whether the putative defendant is a recidivist or has otherwise engaged in a pattern of misconduct; and (6) Whether the involvement of the Department of Justice will provide additional meaningful protection to investors. (b) This general policy is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. | ||||||
| 17:17:3.0.1.1.3.0.17.2 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.2 Pre-filing assistance and interpretative advice. | SEC | [25 FR 6736, July 15, 1960, as amended at 59 FR 5945, Feb. 9, 1994; 73 FR 32227, June 5, 2008; 76 FR 71875, Nov. 21, 2011] | The staff of the Commission renders interpretative and advisory assistance to members of the general public, prospective registrants, applicants and declarants. For example, persons having a question regarding the availability of an exemption may secure informal administrative interpretations of the applicable statute or rule as they relate to the particular facts and circumstances presented. Similarly, persons contemplating filings with the Commission may receive advice of a general nature as to the preparation thereof, including information as to the forms to be used and the scope of the items contained in the forms. Inquiries may be directed to an appropriate officer of the Commission's staff. In addition, informal discussions with members of the staff may be arranged whenever feasible, at the Commission's central office or, except in connection with certain matters under the Investment Company Act of 1940, at one of its regional offices. | ||||||
| 17:17:3.0.1.1.3.0.17.3 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.3 Processing of filings. | SEC | [41 FR 44699, Oct. 12, 1976, as amended at 44 FR 21567, Apr. 10, 1979; 49 FR 12686, Mar. 30, 1984; 57 FR 18216, Apr. 29, 1992; 58 FR 15004, Mar. 18, 1993; 59 FR 5945, Feb. 9, 1994; 63 FR 70916, Dec. 22, 1998; 64 FR 19451, Apr. 21, 1999; 66 FR 43741, Aug. 20, 2001; 76 FR 71875, Nov. 21, 2011; 90 FR 7359, Jan. 21, 2025] | (a) Registration statements, proxy statements, letters of notification, periodic reports, applications for qualification of indentures, and similar documents filed with the Commission under the Securities Act of 1933 and the Trust Indenture Act of 1939, and certain filings under the Securities Exchange Act of 1934 are routed to the Division of Corporation Finance, which passes initially on the adequacy of disclosure and recommends the initial action to be taken. If the filing appears to afford inadequate disclosure, as for example through omission of material information or through violation of accepted accounting principles and practices, the usual practice is to bring the deficiency to the attention of the person who filed the document by letter from the Assistant Director assigned supervision over the particular filing, and to afford a reasonable opportunity to discuss the matter and make the necessary corrections. This informal procedure is not generally employed when the deficiencies appear to stem from careless disregard of the statutes and rules or a deliberate attempt to conceal or mislead or where the Commission deems formal proceedings necessary in the public interest. If an electronic filing is not prepared in accordance with the requirements of the current EDGAR Filer Manual, the filing may be suspended and the filer so notified. Reasonable opportunity will be afforded the filer to make the necessary corrections or resubmit the filing as needed. Where it appears that the filing affords adequate disclosure, acceleration of its effectiveness when appropriate normally will be granted. A similar procedure is followed with respect to filings under the Investment Company Act of 1940 and certain filings relating to investment companies under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939, which are routed to the Division of Investment Management. A similar procedure is also followed in the Commission's Regional Offices with respect to registration stateme… | ||||||
| 17:17:3.0.1.1.3.0.17.4 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.3a Instructions for filing fees. | SEC | [73 FR 6013, Feb. 1, 2008, as amended at 76 FR 28890, May 19, 2011; 86 FR 70197, Dec. 9, 2021] | (a) General instructions for remittance of filing fees. Payment of filing fees specified by the following sections shall be made according to the directions listed in this section: §§ 230.111, 240.0-9, and 270.0-8 of this chapter. All such fees are to be paid through the U.S. Treasury designated lockbox depository or system and may be paid by wire transfer, debit card, or credit card or via the Automated Clearing House Network (“ACH”) pursuant to the specific instructions set forth in paragraph (b) of this section. Checks will not be accepted for payment of fees. To ensure proper posting, all filers must include their Commission-assigned Central Index Key (CIK) number (also known as the Commission-assigned registrant or payor account number) on fee payments. If a third party submits a fee payment, the fee payment must specify the account number to which the fee is to be applied. (b) Instructions for payment of filing fees. Except as provided in paragraph (c) of this section, these instructions provide direction for remitting fees specified in paragraph (a) of this section. You may contact the Filing Fees Branch in the Office of Financial Management at (202) 551-8900 or go to https://www.sec.gov/paymentoptions for additional information if you have questions. (1) Instructions for payment of fees by wire transfer (FEDWIRE). U.S. Bank, N.A. in St. Louis, Missouri, is the U.S. Treasury designated financial agent for Commission filing fee payments. The hours of operation at U.S. Bank for wire transfers are each day, except Saturdays, Sundays, and Federal holidays, 8:30 a.m. to 6:30 p.m. Eastern Standard Time or Eastern Daylight Savings Time, whichever is currently in effect. Any bank or wire transfer service may initiate wire transfers of filing fee payments through the FEDWIRE system to U.S. Bank. A filing entity does not need to establish an account at U.S. Bank in order to remit filing fee payments. (i) To ensure proper credit and prompt filing acceptance, in all wire transfers of filing fees to the Comm… | ||||||
| 17:17:3.0.1.1.3.0.17.5 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.4 Facilitating administrative hearings. | SEC | (a) Applications, declarations, and other requests involving formal Commission action after opportunity for hearing are scrutinized by the appropriate division for conformance with applicable statutory standards and Commission rules and generally the filing party is advised of deficiencies. Prior to passing upon applications and declarations the Commission receives the views of all interested persons at public hearings whenever appropriate; hence, any applicant or declarant seeking Commission approval of proposed transactions by a particular time should file his application or declaration in time to allow for the presentation and consideration of such views. (b) After the staff has had an opportunity to study an application or declaration, interested persons may informally discuss the problems therein raised to the extent that time and the nature of the case permit (e.g., consideration is usually given to whether the proceeding is contested and if so to the nature of the contest). In such event, the staff will, to the extent feasible, advise as to the nature of the issues raised by the filing, the necessity for any amendments to the documents filed, the type of evidence it believes should be presented at the hearing and, in some instances, the nature, form, and contents of documents to be submitted as formal exhibits. The staff will, in addition, generally advise as to Commission policy in past cases which dealt with the same subject matter as the filing under consideration. (c) During the course of the hearings, the staff is generally available for informal discussions to reconcile bona fide divergent views not only between itself and other persons interested in the proceedings, but among all interested persons; and, when circumstances permit, an attempt is made to narrow, if possible, the issues to be considered at the formal hearing. (d) In some instances the Commission in the order accompanying its findings and opinion reserves jurisdiction over certain matters relating to the proceeding, such as payment o… | |||||||
| 17:17:3.0.1.1.3.0.17.6 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.5 Enforcement activities. | SEC | [25 FR 6736, July 15, 1960, as amended at 37 FR 23829, Nov. 9, 1972; 37 FR 25224, Nov. 29, 1972; 44 FR 50835, Aug. 30, 1979; 46 FR 47532, Sept. 29, 1981; 47 FR 26822, June 22, 1982; 54 FR 24332, June 7, 1989; 59 FR 5945, Feb. 9, 1994; 73 FR 32227, June 5, 2008] | (a) Where, from complaints received from members of the public, communications from Federal or State agencies, examination of filings made with the Commission, or otherwise, it appears that there may be violation of the acts administered by the Commission or the rules or regulations thereunder, a preliminary investigation is generally made. In such preliminary investigation no process is issued or testimony compelled. The Commission may, in its discretion, make such formal investigations and authorize the use of process as it deems necessary to determine whether any person has violated, is violating, or is about to violate any provision of the federal securities laws or the rules of a self-regulatory organization of which the person is a member or participant. Unless otherwise ordered by the Commission, the investigation or examination is non-public and the reports thereon are for staff and Commission use only. (b) After investigation or otherwise the Commission may in its discretion take one or more of the following actions: Institution of administrative proceedings looking to the imposition of remedial sanctions, initiation of injunctive proceedings in the courts, and, in the case of a willful violation, reference of the matter to the Department of Justice for criminal prosecution. The Commission may also, on some occasions, refer the matter to, or grant requests for access to its files made by, domestic and foreign governmental authorities or foreign securities authorities, self-regulatory organizations such as stock exchanges or the National Association of Securities Dealers, Inc., and other persons or entities. (c) Persons who become involved in preliminary or formal investigations may, on their own initiative, submit a written statement to the Commission setting forth their interests and position in regard to the subject matter of the investigation. Upon request, the staff, in its discretion, may advise such persons of the general nature of the investigation, including the indicated violations as they per… | ||||||
| 17:17:3.0.1.1.3.0.17.7 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.6 Adoption, revision, and rescission of rules and regulations of general application. | SEC | [25 FR 6736, July 15, 1960, as amended at 44 FR 35208, June 19, 1979; 76 FR 71875, Nov. 21, 2011] | (a) The procedure followed by the Commission in connection with the adoption, revision, and rescission of rules of general application necessarily varies in accordance with the nature of the rule, the extent of public interest therein, and the necessity for speed in its adoption. Rules relating to Commission organization, procedure and management, for example, are generally adopted by the Commission without affording public discussion thereof. On the other hand, in the adoption of substantive rules materially affecting an industry or a segment of the public, such as accounting rules, every feasible effort is made in advance of adoption to receive the views of persons to be affected. In such cases, proposals for the adoption, revision, or rescission of rules are initiated either by the Commission or by members of the public, and to the extent practicable, the practices set forth in paragraph (b) of this section are observed. (b) After preliminary consideration by the Commission a draft of the proposed rule is published in the Federal Register and mailed to interested persons (e.g., other interested regulatory bodies, principal registrants or persons to be affected, stock exchanges, professional societies and leading authorities on the subject concerned and other persons requesting such draft) for comments. Unless accorded confidential treatment pursuant to statute or rule of the Commission, written comments filed with the Commission on or before the closing date for comments become a part of the public record upon the proposed rule. The Commission, in its discretion, may accept and include in the public record written comments received by the Commission after the closing date. (c) Following analysis of comments received, the rule may be adopted in the form published or in a revised form in the light of such comments. In some cases, a revised draft is prepared and published and, where appropriate, an oral hearing may be held before final action upon the proposal. Any interested person may appear at the hearing … | ||||||
| 17:17:3.0.1.1.3.0.17.8 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.7 Submittals. | SEC | [41 FR 44699, Oct. 12, 1976, as amended at 58 FR 14659, Mar. 18, 1993; 59 FR 5945, Feb. 9, 1994; 73 FR 32227, June 5, 2008] | (a) All required statements, reports, applications, etc. must be filed with the principal office of the Commission unless otherwise specified in the Commission's rules, schedules and forms. Reports by exchange members, brokers and dealers required by § 240.17a-5 of this chapter under the Securities Exchange Act of 1934 must be filed with the appropriate regional office as provided in § 230.255(a) of this chapter under the Securities Act of 1933, and with the principal office of the Commission and the appropriate regional office as provided under § 240.17a-5(a) et seq. of this chapter under the Securities Exchange Act of 1934. (b) Electronic filings. All documents required to be filed in electronic format with the Commission pursuant to the federal securities laws or the rules and regulations thereunder shall be filed at the principal office in Washington, DC via EDGAR by delivery to the Commission of a magnetic tape or diskette, or by direct transmission. | ||||||
| 17:17:3.0.1.1.3.0.17.9 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | § 202.8 Small entity compliance guides. | SEC | [62 FR 4105, Jan. 28, 1997] | The following small entity compliance guides are available to the public from the Commission's Publications Room and regional offices: (a) Q & A: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission Web site on the Internet, http://www.sec.gov. (b) The Work of the SEC. 1 (c) Broker-Dealer Registration Package. (d) Investment Adviser Registration Package. (e) Investment Company Registration Package. (f) Examination Information for Broker-Dealers, Transfer Agents, Investment Advisers and Investment Companies. | ||||||
| 17:17:3.0.1.1.3.1.17.1 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | A | Subpart A—Public Company Accounting Oversight Board (Regulation P) | § 202.140 Interim Commission review of PCAOB inspection reports. | SEC | [75 FR 47449, Aug. 6, 2010] | (a) Definitions. (1) Board or PCAOB means the Public Company Accounting Oversight Board. (2) Registered public accounting firm or Firm shall have the meaning set forth in 15 U.S.C. 7201(a)(12). (3) Associated person means a person associated with the registered public accounting firm as defined in 15 U.S.C. 7201(a)(9). (b) Reviewable matters. A registered public accounting firm may request interim Commission review of an assessment or determination by the PCAOB contained in an inspection report prepared under 15 U.S.C. 7214 and relating to that firm, if the firm: (1) Has provided the PCAOB with a response, pursuant to the rules of the PCAOB, to the substance of particular items in a draft inspection report and disagrees with the assessments relating to those items contained in any final inspection report prepared by the PCAOB following such response; (2) Disagrees with an assessment contained in any final inspection report that was not contained in the draft inspection report provided to the firm under 15 U.S.C. 7214(f) or the rules of the PCAOB; or (3) Disagrees with the determination of the PCAOB that criticisms or defects in the quality control systems of the firm that were identified in an inspection report, but not disclosed to the public, have not been addressed to the satisfaction of the PCAOB within 12 months after the date of that inspection report. (c) Procedures for requesting interim Commission review. (1) A request for interim Commission review with respect to matters described in paragraph (b) of this section must be submitted to the Commission's Office of the Secretary within 30 calendar days of the following: (i) The date the firm is provided a copy of the final inspection report described in paragraph (b)(1) or (b)(2) of this section; or (ii) The date the firm receives notice of the PCAOB's determination described in paragraph (b)(3) of this section. (2) The PCAOB shall not make publicly available the final inspection report or criticisms or defects in the quality contro… | ||||
| 17:17:3.0.1.1.3.1.17.2 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | A | Subpart A—Public Company Accounting Oversight Board (Regulation P) | § 202.150 Commission approval of appointment or removal from office of Public Company Accounting Oversight Board hearing officers. | SEC | [84 FR 12908, Apr. 3, 2019] | The Commission shall approve both the appointment and removal from office of any hearing officer employed by the Public Company Accounting Oversight Board. No action by the Board proposing to appoint or remove from office a hearing officer shall be final absent Commission approval. | ||||
| 17:17:3.0.1.1.3.1.17.3 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | A | Subpart A—Public Company Accounting Oversight Board (Regulation P) | § 202.170 Initiation of disapproval proceedings for PCAOB proposed rules. | SEC | [76 FR 4072, Jan. 24, 2011] | Initiation of disapproval proceedings for proposed rules of the Public Company Accounting Oversight Board as defined by section 107 of the Sarbanes-Oxley Act of 2002 are subject to the provisions of §§ 201.700 and 201.701 of this chapter as fully as if it were a registered securities association, except that: (a) Demonstration of consistency with the Sarbanes-Oxley Act of 2002. For purposes of proposed rules of the Public Company Accounting Oversight Board, apply this paragraph in lieu of paragraph (b)(3) of § 201.700 of this chapter. The burden to demonstrate that a proposed rule is consistent with the requirements of title I of the Sarbanes-Oxley Act of 2002, and the rules and regulations issued thereunder, or as necessary or appropriate in the public interest or for the protection of investors, is on the Public Company Accounting Oversight Board. In its filing the Public Company Accounting Oversight Board must explain in a clear and comprehensible manner why the proposed rule change is consistent with the requirements of title I of the Sarbanes-Oxley Act of 2002 and the rules and regulations thereunder, or as necessary or appropriate in the public interest or for the protection of investors. A mere assertion that the proposed rule change is consistent with those requirements is not sufficient. Instead, the description of the proposed rule, its purpose and operation, its effect, and a legal analysis of its consistency with applicable requirements must all be sufficiently detailed and specific to support an affirmative Commission finding. Any failure by the Public Company Accounting Oversight Board in its proposed rule filing with the Commission may result in the Commission not having a sufficient basis to make an affirmative finding that a proposed rule change is consistent with the title I of the Sarbanes-Oxley Act of 2002, and the rules and regulations issued thereunder, or as necessary or appropriate in the public interest or for the protection of investors. (b) For each reference to “the Exchange Act … | ||||
| 17:17:3.0.1.1.3.1.17.4 | 17 | Commodity and Securities Exchanges | II | 202 | PART 202—INFORMAL AND OTHER PROCEDURES | A | Subpart A—Public Company Accounting Oversight Board (Regulation P) | § 202.190 Public Company Accounting Oversight Board budget approval process. | SEC | [71 FR 42001, July 24, 2006. Redesignated at 75 FR 47451, Aug. 6, 2010] | (a) Purpose. These procedures are established in connection with consideration and approval of the budget and the accounting support fee for the Public Company Accounting Oversight Board (PCAOB). Actions attributed to the PCAOB in this section shall be performed as authorized by the Sarbanes-Oxley Act of 2002 and the PCAOB's bylaws. (b) Definitions. For the purposes of this section, the following definitions shall apply: (1) Budget category means a grouping of similar expenditures within the PCAOB's budget. Budget categories shall include, among others: personnel, training, recruiting and relocation expenses, information technology, consulting and professional fees, travel, administrative expenses, lease costs and related expenses, and capital improvements of facilities. (2) Budget justification means the justification for each annual budget, prepared in concise and specific terms, covering all of the PCAOB's programs and activities, and including, among other things as may be requested by the Commission: (i) A performance budget for the budget year; (ii) An analysis of the PCAOB's budget, including a tabular presentation that identifies the budgetary resources required for each program area (with a breakout of resources by budget category); a description of the budgetary resources identified in the budget in the context of the PCAOB's programs and activities; and an explanation of the analysis used to determine the resources needed to accomplish each program and strategic goal that demonstrates that reasonable opportunities for making more efficient and effective use of resources have been explored; (iii) A description of the relationship between the results or outcomes the PCAOB expects to achieve (as discussed in the PCAOB's strategic plan) and the resources requested in the budget; (iv) Assumptions underlying the calculation of the working capital reserve as permitted in paragraph (d)(3) of this section and assumptions underlying PCAOB estimates, including work years, program outputs, base comp… | ||||
| 20:20:1.0.2.8.3.0.155.1 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.1 Statutory provisions. | SSA | [4 FR 1478, Apr. 7, 1939, as amended by Board Order 41-526, 7 FR 96, Jan. 6, 1942] | The term “employer” means any carrier (as defined in subsection 1(m) of this section), and any company which is directly or indirectly owned or controlled by one or more such carriers or under common control therewith, and which operates any equipment or facility or performs any service (except trucking service, casual service, and the casual operation of equipment or facilities) in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, and any receiver, trustee, or other individual or body, judicial or otherwise, when in the possession of the property or operating all or any part of the business of any such employer: Provided, however, That the term “employer” shall not include any street, interurban, or suburban electric railway, unless such railway is operating as a part of a general steam-railroad system of transportation, but shall not exclude any part of the general steam-railroad system now or hereafter operated by any other motive power. The Interstate Commerce Commission is hereby authorized and directed upon request of the Board, or upon complaint of any party interested, to determine after hearing whether any line operated by electric power falls within the terms of this proviso. The term “employer” shall also include railroad associations, traffic associations, tariff bureaus, demurrage bureaus, weighing and inspection bureaus, collection agencies and other associations, bureaus, agencies, or organizations controlled and maintained wholly or principally by two or more employers as hereinbefore defined and engaged in the performance of services in connection with or incidental to railroad transportation; and railway labor organizations, national in scope, which have been or may be organized in accordance with the provisions of the Railway Labor Act, as amended, and their State and National legislative committees and their general committees and… | |||||
| 20:20:1.0.2.8.3.0.155.10 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.10 Commencement of employer status of receiver or trustee, etc. | SSA | A receiver, trustee, or other individual or body, judicial or otherwise, in the possession of the property or operating all or any part of the business of a carrier, or of a company or person owned or controlled by or under common control with such a carrier, which operates any equipment or facility or performs any service in connection with the transportation of passengers or property by railroad, shall be deemed to be an employer beginning as of whichever of the following three dates is the earliest: (a) The date that it takes possession of such property; or (b) The first date on which it has authority to operate all or any part of the business of such a carrier, company or person; or (c) The date that it begins operating without appointment or authorization all or any part of the business of such a carrier, company or person; Provided, however, That the receiver, trustee, or other individual or body, judicial or otherwise, shall be an employer only with respect to such individuals as would be employees if the preceding employer had continued in the possession of the property or the operation of the business. | ||||||
| 20:20:1.0.2.8.3.0.155.11 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.11 Termination of employer status. | SSA | [Board Order 41-85, 6 FR 1210, Mar. 1, 1941] | The employer status of any company or person shall terminate whenever such company or person loses any of the characteristics essential to the existence of an employer status. | |||||
| 20:20:1.0.2.8.3.0.155.12 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.12 Evidence of termination of employer status. | SSA | [Board Order 41-85, 6 FR 1210, Mar. 1, 1941] | (a) In determining whether a cessation of an essential characteristic, such as control or service in connection with railroad transportation, has occurred, consideration will be given only to those events or actions which evidence a final or complete cessation. Mere temporary periods of inactivity or failure to exercise functions or to operate equipment or facilities will not necessarily result in a loss of employer status. (b) The actual date of cessation of employer status shall be the date upon which final or complete cessation of an essential employer characteristic occurs. The following indicate but do not delimit the type of evidence that will be considered in determining the actual date of cessation of an employer status: stoppage of business or operations; the cancellation of tariffs, concurrences, or powers of attorney filed with the Interstate Commerce Commission; the effective date of a certificate permitting abandonment; the effective date of a pertinent judicial action such as the discharge of a receiver, trustee, or other judicial officer, or an order approving sale of equipment or machinery; the sale, transfer, or lease of property, equipment, or machinery essential to the continuance of an employer function or to control by a carrier employer; public or private notices of contemplated or scheduled abandonment or cessation of operations; termination of contract; discharge of last employee; date upon which the right of a railway labor organization to participate in the selection of labor members of the National Railroad Adjustment Board ceases or is denied; and date on which an employer, if a labor organization, ceases to represent or is denied the right to represent crafts or classes of employees in the railroad industry, or to promote the interests of employees in the railroad industry. (c) In the absence of evidence to the contrary the employer status of an existing company or person shall be presumed to continue, and in accordance with § 250.1(b) of this chapter it is the duty of each employer… | |||||
| 20:20:1.0.2.8.3.0.155.13 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.13 Electric railways. | SSA | [4 FR 1478, Apr. 7, 1939, as amended at 48 FR 51448, Nov. 9, 1983] | (a) The Deputy General Counsel will require the submission of information pertaining to the history and operations of an electric railway with a view to determining whether it is an employer and will inquire into and make his recommendations upon the following considerations: (1) Whether the electric railway is more than a street, suburban or interurban electric railway; or (2) Whether it is operating as a part of a general steam-railroad system of transportation; or (3) Whether it is part of the national transportation system. (b) If in the opinion of the Deputy General Counsel an electric railway has the characteristic set forth in either paragraphs (a)(1), (2), or (a)(3) of this section, he will conclude that it is an employer under the act and if the operator concurs in such opinion, the decision will be made final by the Board. If the operator does not concur in the conclusion reached the question will be submitted to the Interstate Commerce Commission for determination. | |||||
| 20:20:1.0.2.8.3.0.155.14 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.14 Service incidental to railroad transportation. | SSA | An organization, association, bureau or agency is performing a service in connection with or incidental to railroad transportation whenever it is engaged in the performance of functions which would normally be performed by the constituent employers in the absence of such organization, association, bureau, or agency. | ||||||
| 20:20:1.0.2.8.3.0.155.15 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.15 Railway labor organizations. | SSA | Railway labor organizations, national in scope, which have been or may be organized in accordance with the provisions of the Railway Labor Act, as amended, and their State and National legislative committees and their general committees and their insurance departments and their local lodges and divisions, established pursuant to the constitution and bylaws of such organizations, shall be employers within the meaning of the act. (a) An organization doing business on or after June 21, 1934, which establishes, in accordance with paragraph (a)(1), (2), or (3) of this section a right, under section 3 “First” (a) of the Railway Labor Act, as amended (48 Stat. 1189; 45 U.S.C. 153 “First” (a)), to participate in the selection of labor members of the National Railroad Adjustment Board, will be presumed, in the absence of clear and convincing evidence to the contrary, to be, from and after the date on which such right is thus established, a labor organization, national in scope and organized in accordance with the provisions of the Railway Labor Act, as amended. Such an organization can establish that it is an employer by establishing, in accordance with paragraph (b) of this section, that, as a labor organization, national in scope and organized in accordance with the provisions of the Railway Labor Act, as amended, it is a “railway” organization. An organization, doing business on or after June 21, 1934, which has not established such a right of participation, will be presumed not to be a labor organization, national in scope and organized in accordance with the provisions of the Railway Labor Act, as amended, and such presumption can be rebutted only by clear and convincing evidence satisfactory to the Board showing that the reasons for the organization's failure to establish such a right have no relation to its being a labor organization, national in scope and organized in accordance with the provisions of the Railway Labor Act, as amended. Only after such presumption has thus been rebutted will further evidence as to… | ||||||
| 20:20:1.0.2.8.3.0.155.2 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.2 Company or person principally engaged in carrier business. | SSA | Any company or person principally engaged in carrier business is an employer. | ||||||
| 20:20:1.0.2.8.3.0.155.3 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.3 Company or person principally engaged in non-carrier business. | SSA | (a) With respect to any company or person principally engaged in business other than carrier business, but which, in addition to such principal business, engages in some carrier business, the Board will require submission of information pertaining to the history and all operations of such company or person with a view to determining whether some identifiable and separable enterprise conducted by the person or company is to be considered to be the employer. The determination will be made in the light of considerations such as the following: (1) The primary purpose of the company or person on and since the date it was established; (2) The functional dominance or subservience of its carrier business in relation to its non-carrier business; (3) The amount of its carrier business and the ratio of such business to its entire business; (4) Whether its carrier business is a separate and distinct enterprise. (b) In the event that the employer is found to be an aggregate of persons or legal entities or less than the whole of a legal entity or a person operating in only one of several capacities, then the unit or units competent to assume legal obligations shall be responsible for the discharge of the duties of the employer. | ||||||
| 20:20:1.0.2.8.3.0.155.4 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.4 Control. | SSA | A company or person is controlled by one or more carriers, whenever there exists in one or more such carriers the right or power by any means, method or circumstance, irrespective of stock ownership to direct, either directly or indirectly, the policies and business of such a company or person and in any case in which a carrier is in fact exercising direction of the policies and business of such a company or person. | ||||||
| 20:20:1.0.2.8.3.0.155.5 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.5 Company or person under common control. | SSA | A company or person is under common control with a carrier, whenever the control (as the term is used in § 202.4) of such company or person is in the same person, persons, or company as that by which such carrier is controlled. | ||||||
| 20:20:1.0.2.8.3.0.155.6 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.6 Casual service and the casual operation of equipment or facilities. | SSA | The service rendered or the operation of equipment or facilities by a controlled company or person in connection with the transportation of passengers or property by railroad is “casual” whenever such service or operation is so irregular or infrequent as to afford no substantial basis for an inference that such service or operation will be repeated, or whenever such service or operation is insubstantial. | ||||||
| 20:20:1.0.2.8.3.0.155.7 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.7 Service or operation in connection with railroad transportation. | SSA | The service rendered or the operation of equipment or facilities by persons or companies owned or controlled by or under common control with a carrier is in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, if such service or operation is reasonably directly related, functionally or economically, to the performance of obligations which a company or person or companies or persons have undertaken as a common carrier by railroad, or to the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad. | ||||||
| 20:20:1.0.2.8.3.0.155.8 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.8 Controlled company or person principally engaged in service or operation in connection with railroad transportation. | SSA | Any company or person owned or controlled by one or more carriers or under common control therewith, whose principal business is the operation of equipment or facilities or the performance of service (other than trucking service) in connection with the transportation of passengers or property by railroad, shall be an employer. | ||||||
| 20:20:1.0.2.8.3.0.155.9 | 20 | Employees' Benefits | II | B | 202 | PART 202—EMPLOYERS UNDER THE ACT | § 202.9 Controlled company or person not principally engaged in service or operation in connection with railroad transportation. | SSA | (a) With respect to any company or person owned or controlled by one or more carriers or under common control therewith, performing a service or operating equipment in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, but which is principally engaged in some other business, the Board will require the submission of information pertaining to the history and all operations of such company or person with a view to determining whether it is an employer or whether some identifiable and separable enterprise conducted by the person or company is to be considered to be the employer, and will make a determination in the light of considerations such as the following: (1) The primary purpose of the company or person on and since the date it was established; (2) The functional dominance or subservience of its business which constitutes a service or operation of equipment or facilities in connection with the transportation of passengers or property by railroad in relation to its other business; (3) The amount of its business which constitutes a service or operation of equipment or facilities in connection with the transportation of passengers or property by railroad and the ratio of such business to its entire business; (4) Whether such service or operation is a separate and distinct enterprise; (5) Whether such service or operation is more than casual, as that term is defined in § 202.6. (b) In the event that the employer is found to be an aggregate of persons or legal entities or less than the whole of a legal entity or a person operating in only one of several capacities, then the unit or units competent to assume legal obligations shall be responsible for the discharge of the duties of the employer. | ||||||
| 21:21:4.0.1.1.3.0.1.1 | 21 | Food and Drugs | I | C | 202 | PART 202—PRESCRIPTION DRUG ADVERTISING | § 202.1 Prescription-drug advertisements. | FDA | [40 FR 14016, Mar. 27, 1975, as amended at 40 FR 58799, Dec. 18, 1975; 41 FR 48266, Nov. 2, 1976; 42 FR 15674, Mar. 22, 1977; 60 FR 38480, July 27, 1995; 72 FR 69119, Dec. 6, 2007; 88 FR 80983, Nov. 21, 2023] | Prescription drug as used in this section means any drug defined in section 503(b)(1) of the Federal Food, Drug, and Cosmetic Act or § 201.105 of this chapter, applicable to drugs intended for use by humans and to veterinary drugs, respectively. (a)(1) The ingredient information required by section 502(n) of the Federal Food, Drug, and Cosmetic Act shall appear together, without any intervening written, printed, or graphic matter, except the proprietary names of ingredients, which may be included with the listing of established names. (2) The order of listing of ingredients in the advertisement shall be the same as the order of listing of ingredients on the label of the product, and the information presented in the advertisement concerning the quantity of each such ingredient shall be the same as the corresponding information on the label of the product. (3) The advertisement shall not employ a fanciful proprietary name for the drug or any ingredient in such a manner as to imply that the drug or ingredient has some unique effectiveness or composition, when, in fact, the drug or ingredient is a common substance, the limitations of which are readily recognized when the drug or ingredient is listed by its established name. (4) The advertisement shall not feature inert or inactive ingredients in a manner that creates an impression of value greater than their true functional role in the formulation. (5) The advertisement shall not designate a drug or ingredient by a proprietary name that, because of similarity in spelling or pronunciation, may be confused with the proprietary name or the established name of a different drug or ingredient. (b)(1) If an advertisement for a prescription drug bears a proprietary name or designation for the drug or any ingredient thereof, the established name, if such there be, corresponding to such proprietary name or designation shall accompany such proprietary name or designation each time it is featured in the advertisement for the drug; but, except as provided below in this sub… | |||||
| 24:24:2.1.1.2.3.1.37.1 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | A | Subpart A—General Requirements | § 202.1 Purpose. | HUD | This part establishes minimum standards and requirements for approval by the Secretary of lenders and mortgagees to participate in the Title I and Title II programs. | ||||
| 24:24:2.1.1.2.3.1.37.2 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | A | Subpart A—General Requirements | § 202.2 Definitions. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 62 FR 65181, Dec. 10, 1997; 75 FR 20731, Apr. 20, 2010] | Act means the National Housing Act (12 U.S.C. 1702 et seq. ). Claim means a single family insured mortgage for which the Secretary pays an insurance claim within 24 months after the mortgage is insured. Default means a single family insured mortgage in default for 90 or more days within 24 months after the mortgage is insured. Lender or Title I lender means a financial institution that: (a) Holds a valid Title I Contract of Insurance and is approved by the Secretary under this part as a supervised lender under § 202.6, a nonsupervised lender under § 202.7, an investing lender under § 202.9, or a governmental or similar institution under § 202.10; or (b) Is under suspension or held a Title I contract that has been terminated but remains responsible for servicing or selling Title I loans that it holds and is authorized to file insurance claims on such loans. Loan or Title I loan means a loan authorized for insurance under Title I of the Act. Mortgage, Title II mortgage or insured mortgage means a mortgage or loan insured under Title II or Title XI of the Act. Mortgagee or Title II mortgagee means a mortgage lender that is approved to participate in the Title II programs as a supervised mortgagee under § 202.6, a nonsupervised mortgagee under § 202.7, an investing mortgagee under § 202.9, or a governmental or similar institution under 202.10. Multifamily mortgagee means a mortgagee approved to participate only in multifamily Title II programs, except that for purposes of § 202.8(b)(1) the term also means a mortgagee approved to participate in both single family and multifamily Title II programs. Normal rate means the rate of defaults and claims on insured mortgages for the geographic area served by a HUD field office, or other area designated by the Secretary, in which a mortgagee originates mortgages. Origination approval agreement means the Secretary's agreement that a mortgagee is approved to originate single family insured mortgages. Title I program(s) means an insurance program or … | |||
| 24:24:2.1.1.2.3.1.37.3 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | A | Subpart A—General Requirements | § 202.3 Approval status for lenders and mortgagees. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 62 FR 30225, June 2, 1997; 62 FR 65181, Dec. 10, 1997; 69 FR 75807, Dec. 17, 2004; 75 FR 20731, Apr. 20, 2010; 78 FR 57060, Sept. 17, 2013] | (a) Initial approval. A lender or mortgagee may be approved for participation in the Title I or Title II programs upon filing a request for approval on a form prescribed by the Secretary and signed by the applicant. The approval form shall be accompanied by such documentation as may be prescribed by the Secretary. (1) Approval is signified by: (i) The Secretary's agreement that the lender or mortgagee is considered approved under the Title I or Title II programs, except as otherwise ordered by the Mortgagee Review Board or an officer or subdivision of the Department to which the Mortgagee Review Board has delegated its power, unless the lender or mortgagee voluntarily relinquishes its approval; (ii) Consent by the lender or mortgagee to comply at all times with the general approval requirements of § 202.5, and with additional requirements governing the particular class of lender or mortgagee for which it was approved as described under subpart B at §§ 202.6 through 202.10; and (iii) Under the Title I program, the issuance of a Contract of Insurance constitutes an agreement between the Secretary and the lender and which governs participation in the Title I program. (2) Limitations on approval: (i) Separate approval as lender or mortgagee is required for participation in the Title I or Title II programs, respectively. Application must be made, and approval will be granted, on the basis of one or both categories of programs, as is appropriate. (ii) Separate approval as mortgagee is required for the Single Family Mortgage Insurance Programs and for the Multifamily Mortgage Insurance Programs. Application must be made, and approval will be granted, on the basis of either or both categories, as is appropriate. (iii) In addition to the requirements for approval as a Title II mortgagee, the Secretary may from time to time issue eligibility requirements for participation in specific programs, such as the Direct Endorsement program. (iv) A Title II mortgagee may be approved to operate either on a nationwide basi… | |||
| 24:24:2.1.1.2.3.1.37.4 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | A | Subpart A—General Requirements | § 202.4 Request for determination of compliance. | HUD | Pursuant to section 539(a) of the Act, any person may file a request that the Secretary determine whether a lender or mortgagee is in compliance with § 202.12(a) or with provisions of this chapter implementing sections 223(a)(7) and 535 of the Act such as §§ 201.10(g), 203.18d and 203.43(c)(5) of this chapter (only section 535 applies to lenders). The request for determination shall be made to the following address: Department of Housing and Urban Development, Office of Lender Activities and Program Compliance, 451 Seventh Street SW., Washington, DC, 20410. The Secretary shall inform the requestor of the disposition of the request. The Secretary shall publish in the Federal Register the disposition of any case referred by the Secretary to the Mortgagee Review Board. | ||||
| 24:24:2.1.1.2.3.1.37.5 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | A | Subpart A—General Requirements | § 202.5 General approval standards. | HUD | [75 FR 20732, Apr. 20, 2010; 75 FR 23582, May 4, 2010; 77 FR 51468, Aug. 24, 2012; 78 FR 57060, Sept. 17, 2013; 89 FR 7277, Feb. 2, 2024; 89 FR 30276, Apr. 23, 2024] | To be approved for participation in the Title I or Title II programs, and to maintain approval, a lender or mortgagee shall meet and continue to meet the general requirements of paragraphs (a) through (n) of this section (except as provided in § 202.10(b)) and the requirements for one of the eligible classes of lenders or mortgagees in §§ 202.6 through 202.10. (a) Business form. (1) The lender or mortgagee shall be a corporation or other chartered institution, a permanent organization having succession, or a partnership. A partnership must meet the requirements of paragraphs (a)(1)(i) through (iv) of this section. (i) Each general partner must be a corporation or other chartered institution consisting of two or more persons. (ii) One general partner must be designated as the managing general partner. The managing general partner shall comply with the requirements of paragraphs (b), (c), and (f) of this section. The managing general partner must have as its principal activity the management of one or more partnerships, all of which are mortgage lenders or property improvement or manufactured home lenders, and must have exclusive authority to deal directly with the Secretary on behalf of each partnership. Newly admitted partners must agree to the management of the partnership by the designated managing general partner. If the managing general partner withdraws or is removed from the partnership for any reason, a new managing general partner shall be substituted, and the Secretary shall be immediately notified of the substitution. (iii) The partnership agreement shall specify that the partnership shall exist for the minimum term of years required by the Secretary. All insured mortgages and Title I loans held by the partnership shall be transferred to a lender or mortgagee approved under this part prior to the termination of the partnership. The partnership shall be specifically authorized to continue its existence if a partner withdraws. (iv) The Secretary must be notified immediately of any amendments to the… | |||
| 24:24:2.1.1.2.3.2.37.1 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | B | Subpart B—Classes of Lenders and Mortgagees | § 202.6 Supervised lenders and mortgagees. | HUD | [75 FR 20734, Apr. 20, 2010, as amended by 78 FR 57060, Sept. 17, 2013] | (a) Definition. A supervised lender or mortgagee is a financial institution that is a member of the Federal Reserve System or an institution whose accounts are insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration. A supervised mortgagee may submit applications for mortgage insurance. A supervised lender or mortgagee may originate, purchase, hold, service or sell loans or insured mortgages, respectively. (b) Additional requirements. In addition to the general approval requirements in § 202.5, a supervised lender or mortgagee shall meet the following requirements: (1) Net worth. The net worth requirements appear in § 202.5(n). (2) Notification. A lender or mortgagee shall promptly notify the Secretary in the event of termination of its supervision by its supervising agency. (3) Fidelity bond. A Title II mortgagee shall have fidelity bond coverage and errors and omissions insurance acceptable to the Secretary and in an amount required by the Secretary, or have alternative insurance coverage, approved by the Secretary, that assures the faithful performance of the responsibilities of the mortgagee. (4) Audit report. Except as provided in paragraph (c) of this section, a lender or mortgagee must: (i) Comply with the financial reporting requirements in 24 CFR part 5, subpart H. Audit reports shall be based on audits performed by a certified public accountant, or by an independent public accountant licensed by a regulatory authority of a State or other political subdivision of the United States on or before December 31, 1970, and shall include: (A) Financial statements in a form acceptable to the Secretary, including a balance sheet and a statement of operations and retained earnings, a statement of cash flows, an analysis of the lender's or mortgagee's net worth adjusted to reflect only assets acceptable to the Secretary, and an analysis of escrow funds; and (B) Such other financial information as the Secretary may require to determine the accuracy and vali… | |||
| 24:24:2.1.1.2.3.2.37.2 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | B | Subpart B—Classes of Lenders and Mortgagees | § 202.7 Nonsupervised lenders and mortgagees. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 62 FR 65182, Dec. 10, 1997; 63 FR 9742, Feb. 26, 1998; 63 FR 44361, Aug. 18, 1998; 67 FR 53451, Aug. 15, 2002; 77 FR 51468, Aug. 24, 2012] | (a) Definition. A nonsupervised lender or mortgagee is a lending institution which has as its principal activity the lending or investing of funds in real estate mortgages, consumer installment notes, or similar advances of credit, or the purchase of consumer installment contracts, and which is not approved under any other section of this part. A nonsupervised mortgagee may submit applications for mortgage insurance. A nonsupervised lender or mortgagee may originate, purchase, hold, service or sell insured loans or mortgages, respectively. (b) Additional requirements. In addition to the general approval requirements in § 202.5, a nonsupervised lender or mortgagee shall meet the following requirements: (1) Net worth and liquid assets. The net worth and liquidity requirements appear in § 202.5(n). (2) Credit source —(i) Title I. A lender shall have and maintain a reliable warehouse line of credit or other funding program acceptable to the Secretary of not less than $500,000 for use in originating or purchasing Title I loans. (ii) Title II. Except for multifamily mortgagees, a mortgagee shall have a warehouse line of credit or other mortgage funding program acceptable to the Secretary which is adequate to fund the mortgagee's average 60 day origination operations, but in no event shall the warehouse line of credit or funding program be less than $1,000,000. (3) Audit report. (i) A lender or mortgagee must comply with the financial reporting requirements in 24 CFR part 5, subpart H. Audit reports shall be based on audits performed by a certified public accountant, or by an independent public accountant licensed by a regulatory authority of a State or other political subdivision of the United States on or before December 31, 1970, and shall include: (A) A financial statement in a form acceptable to the Secretary, including a balance sheet and a statement of operations and retained earnings, a statement of cash flows, an analysis of the mortgagee's net worth adjusted to reflect only assets acceptable… | |||
| 24:24:2.1.1.2.3.2.37.3 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | B | Subpart B—Classes of Lenders and Mortgagees | § 202.8 Sponsored third-party originators. | HUD | [75 FR 20734, Apr. 20, 2010, as amended at 77 FR 51468, Aug. 24, 2012] | (a) Definitions — Sponsor. (1) With respect to Title I programs, a sponsor is a lender that holds a valid Title I Contract of Insurance and meets the net worth requirement for the class of lender to which it belongs. (2) With respect to Title II programs, a sponsor is a mortgagee that holds a valid origination approval agreement, is approved to participate in the Direct Endorsement program, and meets the net worth requirement for the class of mortgagee to which it belongs. (3) Each sponsor shall be responsible to the Secretary for the actions of its sponsored third-party originators or mortgagees in originating loans or mortgages, unless applicable law or regulation requires specific knowledge on the part of the party to be held responsible. If specific knowledge is required, the Secretary will presume that a sponsor has knowledge of the actions of its sponsored third-party originators or mortgagees in originating loans or mortgages and the sponsor is responsible for those actions unless it can rebut the presumption with affirmative evidence. Sponsored third-party originator. A sponsored third-party originator may hold a Title I Contract of Insurance or Title II Origination Approval Agreement if it is an FHA-approved lender or mortgagee. If the sponsored third-party originator is not an FHA-approved lender or mortgagee, then the sponsored third-party originator may not hold a Title I Contract of Insurance or Title II Origination Approval Agreement. A sponsored third-party originator is authorized to originate Title I direct loans or Title II mortgage loans for sale or transfer to a sponsor or sponsors, as defined in this section, that holds a valid Title I Contract of Insurance or Title II Origination Approval Agreement and is not under suspension, subject to the sponsor determining that the third-party originator has met the eligibility criteria of paragraph (b) of this section. (b) Eligibility to originate loans to be insured by FHA. A sponsored third-party originator may originate loans to be insured … | |||
| 24:24:2.1.1.2.3.2.37.4 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | B | Subpart B—Classes of Lenders and Mortgagees | § 202.9 Investing lenders and investing mortgagees. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 63 FR 9742, Feb. 26, 1998; 75 FR 20734, Apr. 20, 2010; 89 FR 30277, Apr. 23, 2024] | (a) Definition. An investing lender or investing mortgagee is an organization that is not approved as a supervised lender or mortgagee under § 202.6, a nonsupervised lender or mortgagee under § 202.7, or a governmental or similar institution under § 202.10. An investing lender or investing mortgagee may purchase, hold, or sell Title I loans or Title II mortgages, respectively, but may not originate Title I loans or Title II mortgages in its own name or submit applications for the insurance of mortgages. An investing lender or investing mortgagee may not service Title I loans or Title II mortgages without prior approval of the Secretary. (b) Additional requirements. In addition to the general approval requirements in § 202.5, an investing lender or investing mortgagee shall meet the following requirements: (1) Funding arrangements. An investing lender or investing mortgagee shall have, or have made arrangements for, funds sufficient to support a projected investment of at least $1,000,000 in property improvement, manufactured home or real estate loans or mortgages. (2) Officers and staff. In lieu of the staffing and facilities requirements in § 202.5(b), an investing lender or investing mortgagee shall have officers or employees who are capable of managing its activities in purchasing, holding, and selling Title I loans or Title II mortgages. (3) Fidelity bond. An investing lender or investing mortgagee shall maintain fidelity bond coverage and errors and omissions insurance acceptable to the Secretary and in an amount required by the Secretary, or alternative insurance coverage approved by the Secretary, that assures the faithful performance of the responsibilities of the mortgagee. (4) Audit report. An investing lender or mortgagee must comply with the financial reporting requirements in24 CFR part 5, subpart H. Audit reports shall be based on audits performed by a certified public accountant, or by an independent public accountant licensed by a regulatory authority of a State or other political… | |||
| 24:24:2.1.1.2.3.2.37.5 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | B | Subpart B—Classes of Lenders and Mortgagees | § 202.10 Governmental institutions, Government-sponsored enterprises, public housing agencies and State housing agencies. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 80 FR 75936, Dec. 7, 2015; 89 FR 30277, Apr. 23, 2024] | (a) Federal, state, and municipal governmental agencies and Federal Reserve Banks. A Federal, State, or municipal government agency or a Federal Reserve Bank may be an approved lender or mortgagee. A mortgagee approved under this paragraph (a) may submit applications for Title II mortgage insurance. A lender or mortgagee approved under this paragraph (a) may originate, purchase, service, or sell Title I loans and insured mortgages, respectively. A mortgagee or lender approved under this paragraph (a) is not required to meet a net worth requirement. A lender or mortgagee shall maintain fidelity bond coverage and errors and omissions insurance acceptable to the Secretary and in an amount required by the Secretary, or alternative insurance coverage approved by the Secretary, that assures the faithful performance of the responsibilities of the mortgagee. There are no additional requirements beyond the general approval requirements in § 202.5 or as provided under paragraph (c) of this section. (b) Government-Sponsored Enterprises. The Government-Sponsored Enterprises are the Federal Home Loan Banks, Federal Home Loan Mortgage Corporation, and Federal National Mortgage Association. A Government-Sponsored Enterprise may be an approved lender or mortgagee. A lender or mortgagee approved under this paragraph (b) may purchase, service, or sell Title I loans and insured mortgages, respectively. A mortgagee or lender approved under this paragraph (b) is not required to meet a net worth requirement. There are no additional requirements beyond the general approval requirements in § 202.5. (c) Public housing agencies and State housing agencies. Under such terms and conditions as the Secretary may prescribe and notwithstanding the general requirements of § 202.5 or the requirements of paragraph (a) of this section, a public housing agency or its instrumentality or a State housing agency may be approved as a mortgagee for the purpose of originating and holding multifamily mortgages funded by issuance of tax exempt obligat… | |||
| 24:24:2.1.1.2.3.3.37.1 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | C | Subpart C—Title I and Title II Specific Requirements | § 202.11 Title I. | HUD | [75 FR 20734, Apr. 20, 2010] | (a) Types of administrative action. In addition to termination of the Contract of Insurance, certain sanctions may be imposed under the Title I program. The administrative actions that may be applied are set forth in 24 CFR part 25. Civil money penalties may be imposed against Title I lenders and mortgagees pursuant to 24 CFR part 30. (b) Grounds for action. Administrative actions shall be based upon both the grounds set forth in 24 CFR part 25 and as follows: (1) Failure to properly supervise and monitor dealers under the provisions of part 201 of this title; (2) Exhaustion of the general insurance reserve established under part 201 of this title; (3) Maintenance of a Title I claims/loan ratio representing an unacceptable risk to the Department; or (4) Transfer of a Title I loan to a party that does not have a valid Title I Contract of Insurance. | |||
| 24:24:2.1.1.2.3.3.37.2 | 24 | Housing and Urban Development | II | B | 202 | PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES | C | Subpart C—Title I and Title II Specific Requirements | § 202.12 Title II. | HUD | [62 FR 20082, Apr. 24, 1997, as amended at 75 FR 20734, Apr. 20, 2010; 77 FR 51469, Aug. 24, 2012] | (a) Tiered pricing —(1) General requirements —(i) Prohibition against excess variation. The customary lending practices of a mortgagee for its single family insured mortgages shall not provide for a variation in mortgage charge rates that exceed 2 percentage points. A variation is determined as provided in paragraph (a)(6) of this section. (ii) Customary lending practices. The customary lending practices of a mortgagee include all single family insured mortgages originated by the mortgagee, including mortgages that were originated by the mortgagee's sponsored third-party originator(s). (iii) Basis for permissible variations. Any variations in the mortgage charge rate up to two percentage points under the mortgagee's customary lending practices must be based on actual variations in fees or cost to the mortgagee to make the mortgage loan, which shall be determined after accounting for the value of servicing rights generated by making the loan and other income to the mortgagee related to the loan. Fees or costs must be fully documented for each specific loan. (2) Area. For purposes of this section, an area is: (i) An area used by HUD for purposes of § 203.18(a) of this chapter to determine the median 1-family house price for an area; or (ii) The area served by a HUD field office but excluding any area included in paragraph (a)(2)(i) of this section. (3) Mortgage charges. Mortgage charges include any charges under the mortgagee's control and not collected for the benefit of third parties. Examples are interest, discount points and origination fees. (4) Interest rate. Whenever a mortgagee offers a particular interest rate for a mortgage type in an area, it may not restrict the availability of the rate in the area on the basis of the principal amount of the mortgage. A mortgagee may not direct mortgage applicants to any specific interest rate category on the basis of mortgage size. (5) Mortgage charge rate. The mortgage charge rate is defined as the amount of mortgage charges for a mortgage expr… | |||
| 28:28:2.0.1.1.49.1.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.101 Scope. | DOJ | (a) Executive Order 14117 of February 28, 2024 (Preventing Access to Americans' Bulk Sensitive Personal Data and United States Government-Related Data by Countries of Concern) (“the Order”), directs the Attorney General to issue regulations that prohibit or otherwise restrict United States persons from engaging in any acquisition, holding, use, transfer, transportation, or exportation of, or dealing in, any property in which a foreign country or national thereof has any interest (“transaction”), where the transaction: involves United States Government-related data (“government-related data”) or bulk U.S. sensitive personal data, as defined by final rules implementing the Order; falls within a class of transactions that has been determined by the Attorney General to pose an unacceptable risk to the national security of the United States because the transactions may enable access by countries of concern or covered persons to government-related data or bulk U.S. sensitive personal data; and meets other criteria specified by the Order. (b) This part contains regulations implementing the Order and addressing the national emergency declared in Executive Order 13873 of May 15, 2019 (Securing the Information and Communications Technology and Services Supply Chain), and further addressed with additional measures in Executive Order 14034 of June 9, 2021 (Protecting Americans' Sensitive Data from Foreign Adversaries) and Executive Order 14117. | |||||
| 28:28:2.0.1.1.49.1.119.2 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.102 Rules of construction and interpretation. | DOJ | (a) The examples included in this part are provided for informational purposes and should not be construed to alter the meaning of the text of the regulations in this part. (b) As used in this part, the term “including” means “including but not limited to.” (c) All references to “days” in this part mean calendar days. In computing any time period specified in this part: (1) Exclude the day of the event that triggers the period; (2) Count every day, including Saturdays, Sundays, and legal holidays; and (3) Include the last day of the period, but if the last day is a Saturday, Sunday, or Federal holiday, the period continues to run until the end of the next day that is not a Saturday, Sunday, or Federal holiday. | |||||
| 28:28:2.0.1.1.49.1.119.3 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.103 Relation of this part to other laws and regulations. | DOJ | Nothing in this part shall be construed as altering or affecting any other authority, process, regulation, investigation, enforcement measure, or review provided by or established under any other provision of Federal law, including the International Emergency Economic Powers Act. | |||||
| 28:28:2.0.1.1.49.1.119.4 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.104 Delegation of authorities. | DOJ | Any action that the Attorney General is authorized to take pursuant to the Order or pursuant to this part may be taken by the Assistant Attorney General for National Security or by any other person to whom the Attorney General or Assistant Attorney General for National Security in writing delegates authority so to act. | |||||
| 28:28:2.0.1.1.49.1.119.5 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.105 Amendment, modification, or revocation. | DOJ | Except as otherwise provided by law, any determinations, prohibitions, decisions, licenses (whether general or specific), guidance, authorizations, instructions, orders, or forms issued pursuant to this part may be amended, modified, or revoked, in whole or in part, at any time. | |||||
| 28:28:2.0.1.1.49.1.119.6 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | A | Subpart A—General | § 202.106 Severability. | DOJ | If any provision of this part is held to be invalid or unenforceable by its terms, or as applied to any person or circumstance, or stayed pending further agency action or judicial review, the provision is to be construed so as to continue to give the maximum effect to the provision permitted by law, unless such holding will be one of utter invalidity or unenforceability, in which event the provision will be severable from this part and will not affect the remainder thereof. | |||||
| 28:28:2.0.1.1.49.10.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | J | Subpart J—Due Diligence and Audit Requirements | § 202.1001 Due diligence for restricted transactions. | DOJ | (a) Data compliance program. By no later than October 6, 2025, U.S. persons engaging in any restricted transactions shall develop and implement a data compliance program. (b) Requirements. The data compliance program shall include, at a minimum, each of the following requirements: (1) Risk-based procedures for verifying data flows involved in any restricted transaction, including procedures to verify and log, in an auditable manner, the following: (i) The types and volumes of government-related data or bulk U.S. sensitive personal data involved in the transaction; (ii) The identity of the transaction parties, including any ownership of entities or citizenship or primary residence of individuals; and (iii) The end-use of the data and the method of data transfer; (2) For restricted transactions that involve vendors, risk-based procedures for verifying the identity of vendors; (3) A written policy that describes the data compliance program and that is annually certified by an officer, executive, or other employee responsible for compliance; (4) A written policy that describes the implementation of the security requirements as defined in § 202.248 and that is annually certified by an officer, executive, or other employee responsible for compliance; and (5) Any other information that the Attorney General may require. | |||||
| 28:28:2.0.1.1.49.10.119.2 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | J | Subpart J—Due Diligence and Audit Requirements | § 202.1002 Audits for restricted transactions. | DOJ | (a) Audit required. U.S. persons that, on or after October 6, 2025, engage in any restricted transactions under § 202.401 shall conduct an audit that complies with the requirements of this section. (b) Who may conduct the audit. The auditor: (1) Must be qualified and competent to examine, verify, and attest to the U.S. person's compliance with and the effectiveness of the security requirements, as defined in § 202.248, and all other applicable requirements, as defined in § 202.401, implemented for restricted transactions; (2) Must be independent; and (3) Cannot be a covered person or a country of concern. (c) When required. The audit must be performed once for each calendar year in which the U.S. person engages in any restricted transactions. (d) Timeframe. The audit must cover the preceding 12 months. (e) Scope. The audit must: (1) Examine the U.S. person's restricted transactions; (2) Examine the U.S. person's data compliance program required under § 202.1001 and its implementation; (3) Examine relevant records required under § 202.1101; (4) Examine the U.S. person's security requirements, as defined by § 202.248; and (5) Use a reliable methodology to conduct the audit. (f) Report. (1) The auditor must prepare and submit a written report to the U.S. person within 60 days of the completion of the audit. (2) The audit report must: (i) Describe the nature of any restricted transactions engaged in by the U.S. person; (ii) Describe the methodology undertaken, including the relevant policies and other documents reviewed, relevant personnel interviewed, and any relevant facilities, equipment, networks, or systems examined; (iii) Describe the effectiveness of the U.S. person's data compliance program and its implementation; (iv) Describe any vulnerabilities or deficiencies in the implementation of the security requirements that have affected or could affect the risk of access to government-related data or bulk U.S. sensitive personal data by a country of concern or covered person; (v) Des… | |||||
| 28:28:2.0.1.1.49.11.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | K | Subpart K—Reporting and Recordkeeping Requirements | § 202.1101 Records and recordkeeping requirements. | DOJ | (a) Records. Except as otherwise provided, U.S. persons engaging in any transaction subject to the provisions of this part shall keep a full and accurate record of each such transaction engaged in, and such record shall be available for examination for at least 10 years after the date of such transaction. (b) Additional recordkeeping requirements. U.S. persons engaging in any restricted transaction shall create and maintain, at a minimum, the following records in an auditable manner: (1) A written policy that describes the data compliance program and that is certified annually by an officer, executive, or other employee responsible for compliance; (2) A written policy that describes the implementation of any applicable security requirements as defined in § 202.248 and that is certified annually by an officer, executive, or other employee responsible for compliance; (3) The results of any annual audits that verify the U.S. person's compliance with the security requirements and any conditions on a license; (4) Documentation of the due diligence conducted to verify the data flow involved in any restricted transaction, including: (i) The types and volumes of government-related data or bulk U.S. sensitive personal data involved in the transaction; (ii) The identity of the transaction parties, including any direct and indirect ownership of entities or citizenship or primary residence of individuals; and (iii) A description of the end-use of the data; (5) Documentation of the method of data transfer; (6) Documentation of the dates the transaction began and ended; (7) Copies of any agreements associated with the transaction; (8) Copies of any relevant licenses or advisory opinions; (9) The document reference number for any original document issued by the Attorney General, such as a license or advisory opinion; (10) A copy of any relevant documentation received or created in connection with the transaction; and (11) An annual certification by an officer, executive, or other employee responsible for comp… | |||||
| 28:28:2.0.1.1.49.11.119.2 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | K | Subpart K—Reporting and Recordkeeping Requirements | § 202.1102 Reports to be furnished on demand. | DOJ | (a) Reports. Every person is required to furnish under oath, in the form of reports or otherwise, from time to time and at any time as may be required by the Department of Justice, complete information relative to any act or transaction or covered data transaction, regardless of whether such act, transaction, or covered data transaction is effected pursuant to a license or otherwise, subject to the provisions of this part and except as otherwise prohibited by Federal law. The Department of Justice may require that such reports include the production of any books, contracts, letters, papers, or other hard copy or electronic documents relating to any such act, transaction, or covered data transaction, in the custody or control of the persons required to make such reports. Reports may be required either before, during, or after such acts, transactions, or covered data transactions. The Department of Justice may, through any person or agency, conduct investigations, hold hearings, administer oaths, examine witnesses, receive evidence, take depositions, and require by subpoena the attendance and testimony of witnesses and the production of any books, contracts, letters, papers, and other hard copy or electronic documents relating to any matter under investigation, regardless of whether any report has been required or filed in connection therewith. (b) Definition of the term “document. ” For purposes of paragraph (a) of this section, the term document includes any written, recorded, or graphic matter or other means of preserving thought or expression (including in electronic format), and all tangible things stored in any medium from which information can be processed, transcribed, or obtained directly or indirectly, including correspondence, memoranda, notes, messages, contemporaneous communications such as text and instant messages, letters, emails, spreadsheets, metadata, contracts, bulletins, diaries, chronological data, minutes, books, reports, examinations, charts, ledgers, books of account, invoices, air wa… | |||||
| 28:28:2.0.1.1.49.11.119.3 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | K | Subpart K—Reporting and Recordkeeping Requirements | § 202.1103 Annual reports. | DOJ | (a) Who must report. An annual report must be filed, except as otherwise prohibited by Federal law, by any U.S. person that, on or after October 6, 2025, is engaged in a restricted transaction involving cloud-computing services, and that has 25% or more of the U.S. person's equity interests owned (directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise) by a country of concern or covered person. (b) Primary responsibility to report. A report may be filed on behalf of a U.S. person engaging in the data transaction described in § 202.1103(a) by an attorney, agent, or other person. Primary responsibility for reporting, however, rests with the actual U.S. person engaging in the data transaction. No U.S. person is excused from filing a report by reason of the fact that another U.S. person has submitted a report with regard to the same data transaction, except where the U.S. person has actual knowledge that the other U.S. person filed the report. (c) When reports are due. A report on the data transactions described in § 202.1103(a) engaged in as of December 31 of the previous year shall be filed annually by March 1 of the subsequent year. (d) Contents of reports. Annual reports on the data transactions described in § 202.1103(a) shall include the following: (1) The name and address of the U.S. person engaging in the covered data transaction, and the name, telephone number, and email address of a contact from whom additional information may be obtained; (2) A description of the covered data transaction, including: (i) The date of the transaction; (ii) The types and volumes of government-related data or bulk U.S. sensitive personal data involved in the transaction; (iii) The method of data transfer; and (iv) Any persons participating in the data transaction and their respective locations, including the name and location of each data recipient, the ownership of entities or citizenship or primary residence of individuals, the name and location of any covered per… | |||||
| 28:28:2.0.1.1.49.11.119.4 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | K | Subpart K—Reporting and Recordkeeping Requirements | § 202.1104 Reports on rejected prohibited transactions. | DOJ | (a) Who must report. A report must be filed, except as otherwise prohibited by Federal law, by any U.S. person that, on or after October 6, 2025, has received and affirmatively rejected (including automatically rejected using software, technology, or automated tools) an offer from another person to engage in a prohibited transaction involving data brokerage. (b) When reports are due. U.S. persons shall file reports within 14 days of rejecting a transaction prohibited by this part. (c) Contents of reports. Reports on rejected transactions shall include the following, to the extent known and available to the person filing the report at the time the transaction is rejected: (1) The name and address of the U.S. person that rejected the prohibited transaction, and the name, telephone number, and email address of a contact from whom additional information may be obtained; (2) A description of the rejected transaction, including: (i) The date the transaction was rejected; (ii) The types and volumes of government-related data or bulk U.S. sensitive personal data involved in the transaction; (iii) The method of data transfer; (iv) Any persons attempting to participate in the transaction and their respective locations, including the name and location of each data recipient, the ownership of entities or citizenship or primary residence of individuals, the name and location of any covered persons involved in the transaction, and the name of any countries of concern involved in the transaction; (v) A copy of any relevant documentation received or created in connection with the transaction; and (vi) Any other information that the Department of Justice may require. (d) Additional contents; format and method of submission. Reports required by this section must be submitted in accordance with this section and with subpart L of this part. | |||||
| 28:28:2.0.1.1.49.12.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | L | Subpart L—Submitting Applications, Requests, Reports, and Responses | § 202.1201 Procedures. | DOJ | (a) Application of this subpart. This subpart L applies to any submissions required or permitted by this part, including reports of known or suspected violations submitted pursuant to § 202.302, requests for removal from the Covered Persons List submitted pursuant to subpart G of this part, requests for specific licenses submitted pursuant to § 202.802, advisory opinion requests submitted pursuant to subpart I of this part, annual reports submitted pursuant to § 202.1103, reports on rejected prohibited transactions submitted pursuant to § 202.1104, and responses to pre-penalty notices and findings of violations submitted pursuant to § 202.1306 (collectively, “submissions”). (b) Form of submissions. Submissions must follow the instructions in this part and any instructions on the National Security Division's website. With the exception of responses to pre-penalty notices or findings of violations submitted pursuant to subpart M of this part, submissions must use the forms on the National Security Division's website or another official reporting option as specified by the National Security Division. (c) Method of submissions. Submissions must be made to the National Security Division electronically by emailing the National Security Division at NSD.FIRS.datasecurity@usdoj.gov or using another official electronic reporting option, in accordance with any instructions on the National Security Division's website. (d) Certification. If the submitting party is an individual, the submission must be signed by the individual or the individual's attorney. If the submitting party is not an individual, the submission must be signed on behalf of each submitting party by an officer, director, a person performing the functions of an officer or a director of, or an attorney for, the submitting party. Annual reports submitted pursuant to § 202.1103, and reports on rejected transactions submitted pursuant to § 202.1104, must be signed by an officer, a director, a person performing the functions of an officer or a directo… | |||||
| 28:28:2.0.1.1.49.13.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1301 Penalties for violations. | DOJ | (a) Civil and criminal penalties. Section 206 of IEEPA, 50 U.S.C. 1705, is applicable to violations of the provisions of any license, ruling, regulation, order, directive, or instruction issued by or pursuant to the direction or authorization of the Attorney General pursuant to this part or otherwise under IEEPA. (1) A civil penalty not to exceed the amount set forth in section 206 of IEEPA may be imposed on any person who violates, attempts to violate, conspires to violate, or causes a violation of any license, order, regulation, or prohibition issued under IEEPA. (2) IEEPA provides for a maximum civil penalty not to exceed the greater of $368,136 or an amount that is twice the amount of the transaction that is the basis of the violation with respect to which the penalty is imposed. (3) A person who willfully commits, willfully attempts to commit, willfully conspires to commit, or aids or abets in the commission of a violation of any license, order, regulation, or prohibition issued under IEEPA shall, upon conviction, be fined not more than $1,000,000, or if a natural person, may be imprisoned for not more than 20 years, or both. (b) Adjustment of civil penalties. The civil penalties provided in IEEPA are subject to adjustment pursuant to the Federal Civil Penalties Inflation Adjustment Act of 1990 (Public Law 101-410, as amended, 28 U.S.C. 2461 note). (c) Adjustment of criminal penalties. The criminal penalties provided in IEEPA are subject to adjustment pursuant to 18 U.S.C. 3571. (d) False statements. Pursuant to 18 U.S.C. 1001, whoever, in any matter within the jurisdiction of the executive, legislative, or judicial branch of the Government of the United States, knowingly and willfully falsifies, conceals, or covers up by any trick, scheme, or device a material fact; or makes any materially false, fictitious, or fraudulent statement or representation; or makes or uses any false writing or document knowing the same to contain any materially false, fictitious, or fraudulent statement or entry sha… | |||||
| 28:28:2.0.1.1.49.13.119.2 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1302 Process for pre-penalty notice. | DOJ | (a) When and how issued. (1) If the Department of Justice has reason to believe that there has occurred a violation of any provision of this part or a violation of the provisions of any license, ruling, regulation, order, directive, or instruction issued by or pursuant to the direction or authorization of the Attorney General pursuant to this part or otherwise under IEEPA and determines that a civil monetary penalty is warranted, the Department of Justice will issue a pre-penalty notice informing the alleged violator of the agency's intent to impose a monetary penalty. (2) The pre-penalty notice shall be in writing. (3) The pre-penalty notice may be issued whether or not another agency has taken any action with respect to the matter. (4) The Department shall provide the alleged violator with the relevant information that is not privileged, classified, or otherwise protected, and that forms the basis for the pre-penalty notice, including a description of the alleged violation and proposed penalty amount. (b) Opportunity to respond. An alleged violator has the right to respond to a pre-penalty notice in accordance with § 202.1306. (c) Settlement. Settlement discussion may be initiated by the Department of Justice, the alleged violator, or the alleged violator's authorized representative. (d) Representation. A representative of the alleged violator may act on behalf of the alleged violator, but any oral communication with the Department of Justice prior to a written submission regarding the specific allegations contained in the pre-penalty notice must be preceded by a written letter of representation, unless the pre-penalty notice was served upon the alleged violator in care of the representative. | |||||
| 28:28:2.0.1.1.49.13.119.3 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1303 Penalty imposition. | DOJ | If, after considering any written response to the pre-penalty notice and any relevant facts, the Department of Justice determines that there was a violation by the alleged violator named in the pre-penalty notice and that a civil monetary penalty is appropriate, the Department of Justice may issue a penalty notice to the violator containing a determination of the violation and the imposition of the monetary penalty. The Department shall provide the violator with any relevant, non-classified information that forms the basis of the penalty. The issuance of the penalty notice shall constitute final agency action. The violator has the right to seek judicial review of that final agency action in Federal district court. | |||||
| 28:28:2.0.1.1.49.13.119.4 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1304 Administrative collection and litigation. | DOJ | In the event that the violator does not pay the penalty imposed pursuant to this part or make payment arrangements acceptable to the Department of Justice, the Department of Justice may refer the matter to the Department of the Treasury for administrative collection measures or take appropriate action to recover the penalty in any civil suit in Federal district court. | |||||
| 28:28:2.0.1.1.49.13.119.5 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1305 Finding of violation. | DOJ | (a) When and how issued. (1) The Department of Justice may issue an initial finding of violation that identifies a violation if the Department of Justice: (i) Determines that there has occurred a violation of any provision of this part, or a violation of the provisions of any license, ruling, regulation, order, directive, or instruction issued by or pursuant to the direction or authorization of the Attorney General pursuant to this part or otherwise under IEEPA; (ii) Considers it important to document the occurrence of a violation; and (iii) Concludes that an administrative response is warranted but that a civil monetary penalty is not the most appropriate response. (2) An initial finding of violation shall be in writing and may be issued whether or not another agency has taken any action with respect to the matter. (3) The Department shall provide the alleged violator with the relevant information that is not privileged, classified, or otherwise protected, that forms the basis for the finding of violation, including a description of the alleged violation. (b) Opportunity to respond. An alleged violator has the right to contest an initial finding of violation in accordance with § 202.1306. (c) Determination —(1) Determination that a finding of violation is warranted. If, after considering the response, the Department of Justice determines that a final finding of violation should be issued, the Department of Justice will issue a final finding of violation that will inform the violator of its decision. The Department shall provide the violator with the relevant information that is not privileged, classified, or otherwise protected, that forms the basis for the finding of violation. A final finding of violation shall constitute final agency action. The violator has the right to seek judicial review of that final agency action in Federal district court. (2) Determination that a finding of violation is not warranted. If, after considering the response, the Department of Justice determines a finding of… | |||||
| 28:28:2.0.1.1.49.13.119.6 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | M | Subpart M—Penalties and Finding of Violation | § 202.1306 Opportunity to respond to a pre-penalty notice or finding of violation. | DOJ | (a) Right to respond. An alleged violator has the right to respond to a pre-penalty notice or finding of violation by making a written presentation to the Department of Justice. (b) Deadline for response. A response to a pre-penalty notice or finding of violation must be electronically submitted within 30 days of electronic service of the notice or finding. The failure to submit a response within 30 days shall be deemed to be a waiver of the right to respond. (c) Extensions of time for response. Any extensions of time will be granted, at the discretion of the Department of Justice, only upon specific request to the Department of Justice. (d) Contents of response. Any response should set forth in detail why the alleged violator either believes that a violation of the regulations did not occur or why a finding of violation or penalty is otherwise unwarranted under the circumstances. The response should include all documentary or other evidence available to the alleged violator that supports the arguments set forth in the response. The Department of Justice will consider all relevant materials submitted in the response. | |||||
| 28:28:2.0.1.1.49.14.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | N | Subpart N—Government-Related Location Data List | § 202.1401 Government-Related Location Data List. | DOJ | For each Area ID listed in this section, each of the latitude/longitude coordinate pairs forms a corner of the geofenced area. Table 1 to § 202.1401 | |||||
| 28:28:2.0.1.1.49.2.119.1 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.201 Access. | DOJ | The term access means logical or physical access, including the ability to obtain, read, copy, decrypt, edit, divert, release, affect, alter the state of, or otherwise view or receive, in any form, including through information systems, information technology systems, cloud-computing platforms, networks, security systems, equipment, or software. For purposes of determining whether a transaction is a covered data transaction, access is determined without regard for the application or effect of any security requirements. | |||||
| 28:28:2.0.1.1.49.2.119.10 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.210 Covered data transaction. | DOJ | (a) Definition. A covered data transaction is any transaction that involves any access by a country of concern or covered person to any government-related data or bulk U.S. sensitive personal data and that involves: (1) Data brokerage; (2) A vendor agreement; (3) An employment agreement; or (4) An investment agreement. (b) Examples —(1) Example 1. A U.S. institution conducts medical research at its own laboratory in a country of concern, including sending several U.S.-citizen employees to that laboratory to perform and assist with the research. The U.S. institution does not engage in data brokerage or a vendor, employment, or investment agreement that gives a covered person or country of concern access to government-related data or bulk U.S. sensitive personal data. Because the U.S. institution does not engage in any data brokerage or enter into a vendor, employment, or investment agreement, the U.S. institution's research activity is not a covered data transaction. (2) Example 2. A U.S. person engages in a vendor agreement with a covered person involving access to bulk U.S. sensitive personal data. The vendor agreement is a restricted transaction. To comply with the CISA security requirements, the U.S. person, among other things, uses data-level requirements to mitigate the risk that the covered person could access the data. The vendor agreement remains a covered data transaction subject to the requirements of this part. (3) Example 3. A covered person engages in a vendor agreement with a U.S. person involving the U.S. person accessing bulk U.S. sensitive personal data already possessed by the covered person. The vendor agreement is not a covered data transaction because the transaction does not involve access by the covered person. | |||||
| 28:28:2.0.1.1.49.2.119.11 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.211 Covered person. | DOJ | (a) Definition. The term covered person means: (1) A foreign person that is an entity that is 50% or more owned, directly or indirectly, individually or in the aggregate, by one or more countries of concern or persons described in paragraph (a)(2) of this section; or that is organized or chartered under the laws of, or has its principal place of business in, a country of concern; (2) A foreign person that is an entity that is 50% or more owned, directly or indirectly, individually or in the aggregate, by one or more persons described in paragraphs (a)(1), (3), (4), or (5) of this section; (3) A foreign person that is an individual who is an employee or contractor of a country of concern or of an entity described in paragraphs (a)(1), (2), or (5) of this section; (4) A foreign person that is an individual who is primarily a resident in the territorial jurisdiction of a country of concern; or (5) Any person, wherever located, determined by the Attorney General: (i) To be, to have been, or to be likely to become owned or controlled by or subject to the jurisdiction or direction of a country of concern or covered person; (ii) To act, to have acted or purported to act, or to be likely to act for or on behalf of a country of concern or covered person; or (iii) To have knowingly caused or directed, or to be likely to knowingly cause or direct a violation of this part. (b) Examples —(1) Example 1. Foreign persons primarily resident in Cuba, Iran, or another country of concern would be covered persons. (2) Example 2. Chinese or Russian citizens located in the United States would be treated as U.S. persons and would not be covered persons (except to the extent individually designated). They would be subject to the same prohibitions and restrictions as all other U.S. persons with respect to engaging in covered data transactions with countries of concern or covered persons. (3) Example 3. Citizens of a country of concern who are primarily resident in a third country, such as Russian citizens primarily r… | |||||
| 28:28:2.0.1.1.49.2.119.12 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.212 Covered personal identifiers. | DOJ | (a) Definition. The term covered personal identifiers means any listed identifier: (1) In combination with any other listed identifier; or (2) In combination with other data that is disclosed by a transacting party pursuant to the transaction such that the listed identifier is linked or linkable to other listed identifiers or to other sensitive personal data. (b) Exclusion. The term covered personal identifiers excludes: (1) Demographic or contact data that is linked only to other demographic or contact data (such as first and last name, birthplace, ZIP code, residential street or postal address, phone number, and email address and similar public account identifiers); and (2) A network-based identifier, account-authentication data, or call-detail data that is linked only to other network-based identifier, account-authentication data, or call-detail data as necessary for the provision of telecommunications, networking, or similar service. (c) Examples of listed identifiers in combination with other listed identifiers —(1) Example 1. A standalone listed identifier in isolation ( i.e., that is not linked to another listed identifier, sensitive personal data, or other data that is disclosed by a transacting party pursuant to the transaction such that the listed identifier is linked or linkable to other listed identifiers or to other sensitive personal data)—such as a Social Security Number or account username—would not constitute a covered personal identifier. (2) Example 2. A listed identifier linked to another listed identifier—such as a first and last name linked to a Social Security number, a driver's license number linked to a passport number, a device Media Access Control (“MAC”) address linked to a residential address, an account username linked to a first and last name, or a mobile advertising ID linked to an email address—would constitute covered personal identifiers. (3) Example 3. Demographic or contact data linked only to other demographic or contact data—such as a first and last n… | |||||
| 28:28:2.0.1.1.49.2.119.13 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.213 Cuba. | DOJ | The term Cuba means the Republic of Cuba, as well as any political subdivision, agency, or instrumentality thereof. | |||||
| 28:28:2.0.1.1.49.2.119.14 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.214 Data brokerage. | DOJ | (a) Definition. The term data brokerage means the sale of data, licensing of access to data, or similar commercial transactions, excluding an employment agreement, investment agreement, or a vendor agreement, involving the transfer of data from any person (the provider) to any other person (the recipient), where the recipient did not collect or process the data directly from the individuals linked or linkable to the collected or processed data. (b) Examples —(1) Example 1. A U.S. company sells bulk U.S. sensitive personal data to an entity headquartered in a country of concern. The U.S. company engages in prohibited data brokerage. (2) Example 2. A U.S. company enters into an agreement that gives a covered person a license to access government-related data held by the U.S. company. The U.S. company engages in prohibited data brokerage. (3) Example 3. A U.S. organization maintains a database of bulk U.S. sensitive personal data and offers annual memberships for a fee that provide members a license to access that data. Providing an annual membership to a covered person that includes a license to access government-related data or bulk U.S. sensitive personal data would constitute prohibited data brokerage. (4) Example 4. A U.S. company owns and operates a mobile app for U.S. users with available advertising space. As part of selling the advertising space, the U.S. company provides IP addresses and advertising IDs of more than 100,000 U.S. users' devices to an advertising exchange based in a country of concern in a twelve-month period. The U.S. company's provision of this data as part of the sale of advertising space is a covered data transaction involving data brokerage and is a prohibited transaction because IP addresses and advertising IDs are listed identifiers that satisfy the definition of bulk covered personal identifiers in this transaction. (5) Example 5. Same as Example 4, but the U.S. company provides the data to an advertising exchange based in the United States. As part of the sale of… | |||||
| 28:28:2.0.1.1.49.2.119.15 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.215 Directing. | DOJ | The term directing means having any authority (individually or as part of a group) to make decisions for or on behalf of an entity and exercising that authority. | |||||
| 28:28:2.0.1.1.49.2.119.16 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.216 Effective date. | DOJ | The term effective date refers to the effective date of this part, which is 12:01 a.m. ET on April 8, 2025. | |||||
| 28:28:2.0.1.1.49.2.119.17 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.217 Employment agreement. | DOJ | (a) Definition. The term employment agreement means any agreement or arrangement in which an individual, other than as an independent contractor, performs work or performs job functions directly for a person in exchange for payment or other consideration, including employment on a board or committee, executive-level arrangements or services, and employment services at an operational level. (b) Examples —(1) Example 1. A U.S. company that conducts consumer human genomic testing collects and maintains bulk human genomic data from U.S. consumers. The U.S. company has global IT operations, including employing a team of individuals who are citizens of and primarily resident in a country of concern to provide back-end services. The agreements related to employing these individuals are employment agreements. Employment as part of the global IT operations team includes access to the U.S. company's systems containing the bulk human genomic data. These employment agreements would be prohibited transactions (because they involve access to bulk human genomic data). (2) Example 2. A U.S. company develops its own mobile games and social media apps that collect the bulk U.S. sensitive personal data of its U.S. users. The U.S. company distributes these games and apps in the United States through U.S.-based digital distribution platforms for software applications. The U.S. company intends to hire as CEO an individual designated by the Attorney General as a covered person because of evidence the CEO acts on behalf of a country of concern. The agreement retaining the individual as CEO would be an employment agreement. The individual's authorities and responsibilities as CEO involve access to all data collected by the apps, including the bulk U.S. sensitive personal data. The CEO's employment would be a restricted transaction. (3) Example 3. A U.S. company has derived U.S. persons' biometric identifiers by scraping public photos from social media platforms. The U.S. company stores the derived biometric identifiers in b… | |||||
| 28:28:2.0.1.1.49.2.119.18 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.218 Entity. | DOJ | The term entity means a partnership, association, trust, joint venture, corporation, group, subgroup, or other organization. | |||||
| 28:28:2.0.1.1.49.2.119.19 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.219 Exempt transaction. | DOJ | The term exempt transaction means a data transaction that is subject to one or more exemptions described in subpart E of this part. | |||||
| 28:28:2.0.1.1.49.2.119.2 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.202 Attorney General. | DOJ | The term Attorney General means the Attorney General of the United States or the Attorney General's designee. | |||||
| 28:28:2.0.1.1.49.2.119.20 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.220 Former senior official. | DOJ | The term former senior official means either a “former senior employee” or a “former very senior employee,” as those terms are defined in 5 CFR 2641.104. | |||||
| 28:28:2.0.1.1.49.2.119.21 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.221 Foreign person. | DOJ | The term foreign person means any person that is not a U.S. person. | |||||
| 28:28:2.0.1.1.49.2.119.22 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.222 Government-related data. | DOJ | (a) Definition. The term government-related data means the following: (1) Any precise geolocation data, regardless of volume, for any location within any area enumerated on the Government-Related Location Data List in § 202.1401 which the Attorney General has determined poses a heightened risk of being exploited by a country of concern to reveal insights about locations controlled by the Federal Government, including insights about facilities, activities, or populations in those locations, to the detriment of national security, because of the nature of those locations or the personnel who work there. Such locations may include: (i) The worksite or duty station of Federal Government employees or contractors who occupy a national security position as that term is defined in 5 CFR 1400.102(a)(4); (ii) A military installation as that term is defined in 10 U.S.C. 2801(c)(4); or (iii) Facilities or locations that otherwise support the Federal Government's national security, defense, intelligence, law enforcement, or foreign policy missions. (2) Any sensitive personal data, regardless of volume, that a transacting party markets as linked or linkable to current or recent former employees or contractors, or former senior officials, of the United States Government, including the military and Intelligence Community. (b) Examples of government-related data marketed by a transacting party —(1) Example 1. A U.S. company advertises the sale of a set of sensitive personal data as belonging to “active duty” personnel, “military personnel who like to read,” “DoD” personnel, “government employees,” or “communities that are heavily connected to a nearby military base.” The data is government-related data. (2) Example 2. In discussing the sale of a set of sensitive personal data with a covered person, a U.S. company describes the dataset as belonging to members of a specific named organization. The identified organization restricts membership to current and former members of the military and their families. The data i… | |||||
| 28:28:2.0.1.1.49.2.119.23 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.223 Human biospecimens. | DOJ | (a) The term human biospecimens means a quantity of tissue, blood, urine, or other human-derived material, including such material classified under any of the following 10-digit Harmonized System-based Schedule B numbers: (1) 0501.00.0000 Human hair, unworked, whether or not washed or scoured; waste of human hair (2) 3001.20.0000 Extracts of glands or other organs or of their secretions (3) 3001.90.0115 Glands and other organs, dried, whether or not powdered (4) 3002.12.0010 Human blood plasma (5) 3002.12.0020 Normal human blood sera, whether or not freeze-dried (6) 3002.12.0030 Human immune blood sera (7) 3002.12.0090 Antisera and other blood fractions, Other (8) 3002.51.0000 Cell therapy products (9) 3002.59.0000 Cell cultures, whether or not modified, Other (10) 3002.90.5210 Whole human blood (11) 3002.90.5250 Blood, human/animal, other (12) 9705.21.0000 Human specimens and parts thereof (b) Notwithstanding paragraph (a) of this section, the term human biospecimens does not include human biospecimens, including human blood, cell, and plasma-derived therapeutics, intended by a recipient solely for use in diagnosing, treating, or preventing any disease or medical condition. | |||||
| 28:28:2.0.1.1.49.2.119.24 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.224 Human `omic data. | DOJ | (a) The term human `omic data means: (1) Human genomic data. Data representing the nucleic acid sequences that constitute the entire set or a subset of the genetic instructions found in a human cell, including the result or results of an individual's “genetic test” (as defined in 42 U.S.C. 300gg-91(d)(17)) and any related human genetic sequencing data. (2) Human epigenomic data. Data derived from a systems-level analysis of human epigenetic modifications, which are changes in gene expression that do not involve alterations to the DNA sequence itself. These epigenetic modifications include modifications such as DNA methylation, histone modifications, and non-coding RNA regulation. Routine clinical measurements of epigenetic modifications for individualized patient care purposes would not be considered epigenomic data under this rule because such measurements would not entail a systems-level analysis of the epigenetic modifications in a sample. (3) Human proteomic data. Data derived from a systems-level analysis of proteins expressed by a human genome, cell, tissue, or organism. Routine clinical measurements of proteins for individualized patient care purposes would not be considered proteomic data under this rule because such measurements would not entail a systems-level analysis of the proteins found in such a sample. (4) Human transcriptomic data. Data derived from a systems-level analysis of RNA transcripts produced by the human genome under specific conditions or in a specific cell type. Routine clinical measurements of RNA transcripts for individualized patient care purposes would not be considered transcriptomic data under this rule because such measurements would not entail a systems-level analysis of the RNA transcripts in a sample. (b) The term human `omic data excludes pathogen-specific data embedded in human `omic data sets. | |||||
| 28:28:2.0.1.1.49.2.119.25 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.225 IEEPA. | DOJ | The term IEEPA means the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq. ). | |||||
| 28:28:2.0.1.1.49.2.119.26 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.226 Information or informational materials. | DOJ | (a) Definition. The term information or informational materials is limited to expressive material and includes publications, films, posters, phonograph records, photographs, microfilms, microfiche, tapes, compact disks, CD ROMs, artworks, and news wire feeds. It does not include data that is technical, functional, or otherwise non-expressive. (b) Exclusions. The term information or informational materials does not include: (1) Information or informational materials not fully created and in existence at the date of the data transaction, or the substantive or artistic alteration or enhancement of information or informational materials, or the provision of marketing and business consulting services, including to market, produce or co-produce, or assist in the creation of information or informational materials; (2) Items that were, as of April 30, 1994, or that thereafter become, controlled for export to the extent that such controls promote the nonproliferation or antiterrorism policies of the United States, or with respect to which acts are prohibited by 18 U.S.C. chapter 37. (c) Examples —(1) Example 1. A U.S. person enters into an agreement to create a customized dataset of bulk U.S. sensitive personal data that meets a covered person's specifications (such as the specific types and fields of data, date ranges, and other criteria) and to sell that dataset to the covered person. This customized dataset is not fully created and in existence at the date of the agreement, and therefore is not information or informational materials. (2) Example 2. A U.S. company has access to several pre-existing databases of different bulk U.S. sensitive personal data. The U.S. company offers, for a fee, to use data analytics to link the data across these databases to the same individuals and to sell that combined dataset to a covered person. This service constitutes a substantive alteration or enhancement of the data in the pre-existing databases and therefore is not information or informational materials. | |||||
| 28:28:2.0.1.1.49.2.119.27 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.227 Interest. | DOJ | Except as otherwise provided in this part, the term interest, when used with respect to property ( e.g., “an interest in property”), means an interest of any nature whatsoever, direct or indirect. | |||||
| 28:28:2.0.1.1.49.2.119.28 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.228 Investment agreement. | DOJ | (a) Definition. The term investment agreement means an agreement or arrangement in which any person, in exchange for payment or other consideration, obtains direct or indirect ownership interests in or rights in relation to: (1) Real estate located in the United States; or (2) A U.S. legal entity. (b) Exclusion for passive investments. The term investment agreement excludes any investment that: (1) Is made: (i) Into a publicly traded security, with “security” defined in section 3(a)(10) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(10)), denominated in any currency that trades on a securities exchange or through the method of trading that is commonly referred to as “over-the-counter,” in any jurisdiction; (ii) Into a security offered by: (A) Any “investment company” (as defined in section 3(a)(1) of the Investment Company Act of 1940 (15 U.S.C. 80a-3(a)(1)) that is registered with the United States Securities and Exchange Commission, such as index funds, mutual funds, or exchange traded funds; or (B) Any company that has elected to be regulated or is regulated as a business development company pursuant to section 54(a) of the Investment Company Act of 1940 (15 U.S.C. 80a-53), or any derivative of either of the foregoing; or (iii) As a limited partner into a venture capital fund, private equity fund, fund of funds, or other pooled investment fund, or private entity, if the limited partner's contribution is solely capital and the limited partner cannot make managerial decisions, is not responsible for any debts beyond its investment, and does not have the formal or informal ability to influence or participate in the fund's or a U.S. person's decision making or operations; (2) Gives the covered person less than 10% in total voting and equity interest in a U.S. person; and (3) Does not give a covered person rights beyond those reasonably considered to be standard minority shareholder protections, including (a) membership or observer rights on, or the right to nominate an individual to a … | |||||
| 28:28:2.0.1.1.49.2.119.29 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.229 Iran. | DOJ | The term Iran means the Islamic Republic of Iran, as well as any political subdivision, agency, or instrumentality thereof. | |||||
| 28:28:2.0.1.1.49.2.119.3 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.203 Assistant Attorney General. | DOJ | The term Assistant Attorney General means the Assistant Attorney General, National Security Division, United States Department of Justice, or the Assistant Attorney General's designee. | |||||
| 28:28:2.0.1.1.49.2.119.30 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.230 Knowingly. | DOJ | (a) Definition. The term knowingly, with respect to conduct, a circumstance, or a result, means that a person has actual knowledge, or reasonably should have known, of the conduct, the circumstance, or the result. (b) Examples —(1) Example 1. A U.S. company sells DNA testing kits to U.S. consumers and maintains bulk human genomic data collected from those consumers. The U.S. company enters into a contract with a foreign cloud-computing company (which is not a covered person) to store the U.S. company's database of human genomic data. The foreign company hires employees from other countries, including citizens of countries of concern who primarily reside in a country of concern, to manage databases for its customers, including the U.S. company's human genomic database. There is no indication of evasion, such as the U.S. company knowingly directing the foreign company's employment agreements with covered persons, or the U.S. company engaging in and structuring these transactions to evade the regulations. The cloud-computing services agreement between the U.S. company and the foreign company would not be prohibited or restricted, because that covered data transaction is between a U.S. person and a foreign company that does not meet the definition of a covered person. The employment agreements between the foreign company and the covered persons would not be prohibited or restricted because those agreements are between foreign persons. (2) Example 2. A U.S. company transmits the bulk U.S. sensitive personal data of U.S. persons to a country of concern, in violation of this part, using a fiber optic cable operated by another U.S. company. The U.S. cable operator has not knowingly engaged in a prohibited transaction or a restricted transaction solely by virtue of operating the fiber optic cable because the U.S. cable operator does not know, and reasonably should not know, the content of the traffic transmitted across the fiber optic cable. (3) Example 3. A U.S. service provider provides a software platform… | |||||
| 28:28:2.0.1.1.49.2.119.31 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.231 Licenses; general and specific. | DOJ | (a) General license. The term general license means a written license issued pursuant to this part authorizing a class of transactions and not limited to a particular person. (b) Specific license. The term specific license means a written license issued pursuant to this part to a particular person or persons, authorizing a particular transaction or transactions in response to a written license application. | |||||
| 28:28:2.0.1.1.49.2.119.32 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.232 Linked. | DOJ | (a) Definition. The term linked means associated. (b) Examples —(1) Example 1. A U.S. person transfers two listed identifiers in a single spreadsheet—such as a list of names of individuals and associated MAC addresses for those individuals' devices. The names and MAC addresses would be considered linked. (2) Example 2. A U.S. person transfers two listed identifiers in different spreadsheets—such as a list of names of individuals in one spreadsheet and MAC addresses in another spreadsheet—to two related parties in two different covered data transactions. The names and MAC addresses would be considered linked, provided that some correlation existed between the names and MAC addresses ( e.g., associated employee ID number is also listed in both spreadsheets). (3) Example 3. A U.S. person transfers a standalone list of MAC addresses, without any additional listed identifiers. The standalone list does not include covered personal identifiers. That standalone list of MAC addresses would not become covered personal identifiers even if the receiving party is capable of obtaining separate sets of other listed identifiers or sensitive personal data through separate covered data transactions with unaffiliated parties that would ultimately permit the association of the MAC addresses to specific persons. The MAC addresses would not be considered linked or linkable to those separate sets of other listed identifiers or sensitive personal data. | |||||
| 28:28:2.0.1.1.49.2.119.33 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.233 Linkable. | DOJ | The term linkable means reasonably capable of being linked. Data is considered linkable when the identifiers involved in a single covered data transaction, or in multiple covered data transactions or a course of dealing between the same or related parties, are reasonably capable of being associated with the same person(s). Identifiers are not linked or linkable when additional identifiers or data not involved in the relevant covered data transaction(s) would be necessary to associate the identifiers with the same specific person(s). | |||||
| 28:28:2.0.1.1.49.2.119.34 | 28 | Judicial Administration | I | 202 | PART 202—ACCESS TO U.S. SENSITIVE PERSONAL DATA AND GOVERNMENT-RELATED DATA BY COUNTRIES OF CONCERN OR COVERED PERSONS | B | Subpart B—Definitions | § 202.234 Listed identifier. | DOJ | The term listed identifier means any piece of data in any of the following data fields: (a) Full or truncated government identification or account number (such as a Social Security number, driver's license or State identification number, passport number, or Alien Registration Number); (b) Full financial account numbers or personal identification numbers associated with a financial institution or financial-services company; (c) Device-based or hardware-based identifier (such as International Mobile Equipment Identity (“IMEI”), Media Access Control (“MAC”) address, or Subscriber Identity Module (“SIM”) card number); (d) Demographic or contact data (such as first and last name, birth date, birthplace, ZIP code, residential street or postal address, phone number, email address, or similar public account identifiers); (e) Advertising identifier (such as Google Advertising ID, Apple ID for Advertisers, or other mobile advertising ID (“MAID”)); (f) Account-authentication data (such as account username, account password, or an answer to security questions); (g) Network-based identifier (such as Internet Protocol (“IP”) address or cookie data); or (h) Call-detail data (such as Customer Proprietary Network Information (“CPNI”)). |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);