# 31 CFR Part 1010 — General Provisions (FinCEN; Bank Secrecy Act implementing regulations) URL: https://consilena.com/coverage/laws/ksrc_c3aq7w71xxhzp0qk - Jurisdiction: United States - Type: Regulation - Identifier: /us/cfr/t31/pt1010 - Current as of: 1 July 2024 - Provisions: 75 - Official text: https://www.govinfo.gov/bulkdata/CFR/2024/title-31/CFR-2024-title31-vol3.xml > The library is a research copy. Check the official source before relying on a provision: the text published there, not the copy in Consilena, is the law. ## Provisions - **§ 1010.350 Reports of foreign financial accounts.**: (a) In general. Each United States person having a financial interest in, or signature or other authority… - **§ 1010.960 Disclosure.**: All reports required under this chapter and all records of such reports are specifically exempted from disclosure under section 552 of… - **§ 1010.911 General.**: For any investigation for the purpose of civil enforcement of violations of the Bank Secrecy Act, or any regulation issued pursuant to the… - **§ 1010.940 Photographic or other reproductions of Government obligations.**: Nothing herein contained shall require or authorize the reproduction of: (a) Currency… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (a) In general. Covered financial institutions are required to establish and maintain… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (a) Prohibition on disclosure. Except as authorized in paragraphs (b)… - **§ 1010.710 Scope.**: This subpart provides that the Director, FinCEN, or his designee, either unilaterally or upon request, may issue administrative rulings… - **§ 1010.715 Issuing rulings.**: The Director, FinCEN, or his designee may issue a written ruling interpreting the relationship between this chapter and each… - **§ 1010.430 Nature of records and retention period.**: (a) Wherever it is required that there be retained either the original or a copy or reproduction of a check… - **§ 1010.661 Special measures against Iran.**: (a) Definitions. For purposes of this section: (1) Iranian financial institution means any foreign financial… - **§ 1010.711 Submitting requests.**: (a) Each request for an administrative ruling must be in writing and contain the following information: (1) A complete… - **§ 1010.914 Service of summons.**: (a) Who may serve. Any delegate of the Secretary authorized under § 1010.912 of this chapter to issue a summons, or any other… - **§ 1010.712 Nonconforming requests.**: The Director, FinCEN, or his designee shall notify the requester if the ruling request does not conform with the… - **§ 1010.659 Special measures against North Korea.**: (a) Definitions. For purposes of this section: (1) North Korean banking institution means any bank organized… - **§ 1010.920 Access to records.**: Except as provided in §§ 1020.410(b)(1), 1021.410(a), and 1023.410(a)(1), and except for the purpose of assuring compliance with… - **§ 1010.660 Special measures against Bank of Dandong.**: (a) Definitions. For purposes of this section: (1) Bank of Dandong means all subsidiaries, branches, and… - **§ 1010.314 Structured transactions.**: No person shall for the purpose of evading the transactions in currency reporting requirements of this chapter with respect… - **§ 1010.310 Reports of transactions in currency.**: Sections 1010.310 through 1010.314 set forth the rules for the reporting by financial institutions of… - **§ 1010.850 Enforcement authority with respect to transportation of currency or monetary instruments.**: (a) If a customs officer has reasonable cause to believe… - **§ 1010.950 Availability of information—general.**: (a) The Secretary has the discretion to disclose information reported under this chapter, other than… - **§ 1010.315 Exemptions for non-bank financial institutions.**: A non-bank financial institution is not required to file a report otherwise required by § 1010.311… - **§ 1010.320 Reports of suspicious transactions.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to subpart C of its… - **§ 1010.917 Payment of expenses.**: Persons summoned under this chapter shall be paid the same fees and mileage for travel in the United States that are paid… - **§ 1010.605 Definitions.**: Except as otherwise provided, the following definitions apply for purposes of §§ 1010.610 through 1010.630 and § 1010.670: (a)… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (a) In general. A covered financial institution shall… - **§ 1010.415 Purchases of bank checks and drafts, cashier's checks, money orders and traveler's checks.**: (a) No financial institution may issue or sell a bank… - **§ 1010.313 Aggregation.**: (a) Multiple branches. A financial institution includes all of its domestic branch offices, and any recordkeeping facility, wherever… - **§ 1010.340 Reports of transportation of currency or monetary instruments.**: (a) Each person who physically transports, mails, or ships, or causes to be… - **§ 1010.200 General.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to subpart B of its chapter X Part for any… - **§ 1010.401 Determination by the Secretary.**: The Secretary hereby determines that the records required to be kept by this chapter have a high degree of… - **§ 1010.306 Filing of reports.**: (a) (1) A report required by § 1010.311 or § 1021.311, shall be filed by the financial institution within 15 days following the… - **§ 1010.500 General.**: Sections 1010.505 through 1010.540 of this subpart E were issued pursuant to the requirements of section 314 of the USA PATRIOT Act. Each… - **§ 1010.360 Reports of transactions with foreign financial agencies.**: (a) Promulgation of reporting requirements. The Secretary, when he deems appropriate, may… - **§ 1010.620 Due diligence programs for private banking accounts.**: (a) In general. A covered financial institution shall maintain a due diligence program that… - **§ 1010.312 Identification required.**: Before concluding any transaction with respect to which a report is required under § 1010.311, § 1010.313, § 1020.315, §… - **§ 1010.380 Reports of beneficial ownership information.**: (a) Reports required; timing of reports — - **§ 1010.714 Withdrawing requests.**: A person may withdraw a request for an administrative ruling at any time before the ruling has been issued. - **§ 1010.440 Person outside the United States.**: For the purposes of this chapter, a remittance or transfer of funds, or of currency, other monetary instruments… - **§ 1010.713 Oral communications.**: (a) The Director of FinCEN or his designee will not issue administrative rulings in response to oral requests. Oral opinions or… - **§ 1010.540 Voluntary information sharing among financial institutions.**: (a) Definitions. For purposes of this section: (1) Financial institution. (i) Except as… - **§ 1010.821 Penalty adjustment and table.**: (a) Inflation adjustments. In accordance with the Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C… - **§ 1010.670 Summons or subpoena of foreign bank records; termination of correspondent relationship.**: (a) Definitions. The definitions in § 1010.605 apply to this… - **§ 1010.810 Enforcement.**: (a) Overall authority for enforcement and compliance, including coordination and direction of procedures and activities of all other… - **§ 1010.658 Special measures against FBME Bank, Ltd.**: (a) Definitions. For purposes of this section: (1) FBME Bank, Ltd. means all branches, offices, and… - **§ 1010.913 Contents of summons.**: (a) Summons for testimony. Any summons issued under § 1010.911 of this chapter to compel the appearance and testimony of a… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.400 General.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to its chapter X part for any additional… - **§ 1010.970 Exceptions, exemptions, and reports.**: (a) The Secretary, in his sole discretion, may by written order or authorization make exceptions to or grant… - **§ 1010.420 Records to be made and retained by persons having financial interests in foreign financial accounts.**: Records of accounts required by § 1010.350 to… - **§ 1010.653 Special measures against Commercial Bank of Syria.**: (a) Definitions. For purposes of this section: (1) Commercial Bank of Syria means any branch… - **§ 1010.930 Rewards for informants.**: (a) If an individual provides original information which leads to a recovery of a criminal fine, civil penalty, or… - **§ 1010.311 Filing obligations for reports of transactions in currency.**: Each financial institution other than a casino shall file a report of each deposit… - **§ 1010.100 General definitions.**: When used in this chapter and in forms prescribed under this chapter, where not otherwise distinctly expressed or manifestly… - **§ 1010.505 Definitions.**: For purposes of this subpart E, the following definitions apply: (a) Account means a formal banking or business relationship… - **§ 1010.370 Reports of certain domestic transactions.**: (a) (1) If the Secretary of the Treasury finds, upon the Secretary's own initiative or at the request of… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (a) Definitions. For purposes of this section: (1) Financial institution… - **§ 1010.912 Persons who may issue summons.**: For purposes of this chapter, the following officials are hereby designated as delegates of the Secretary who are… - **§ 1010.331 Reports relating to currency in excess of $10,000 received as bail by court clerks.**: (a) Reporting requirement — (1) In general. Any clerk of a… - **§ 1010.301 Determination by the Secretary.**: The Secretary hereby determines that the reports required by this chapter have a high degree of usefulness in… - **§ 1010.651 Special measures against Burma.**: (a) Definitions. For purposes of this section: (1) Burmese banking institution means any foreign bank, as that term… - **§ 1010.600 General.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to its Chapter X Part for any additional special… - **§ 1010.220 Customer identification program requirements.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to subpart B of… - **§ 1010.980 Dollars as including foreign currency.**: Wherever in this chapter an amount is Stated in dollars, it shall be deemed to mean also the equivalent… - **§ 1010.300 General.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to its chapter X part for any additional reporting… - **§ 1010.916 Enforcement of summons.**: In the case of contumacy by, or refusal to obey a summons issued to, any person under this chapter, the Secretary or any… - **§ 1010.820 Civil penalty.**: (a) For any willful violation, committed on or before October 12, 1984, of any reporting requirement for financial institutions under… - **§ 1010.410 Records to be made and retained by financial institutions.**: Each financial institution shall retain either the original or a copy or reproduction of… - **§ 1010.716 Modifying or rescinding rulings.**: (a) The Director, FinCEN, or his designee may modify or rescind any ruling made pursuant to § 1010.715: (1) When… - **§ 1010.915 Examination of witnesses and records.**: (a) General. Any delegate of the Secretary authorized under § 1010.912 of this chapter to issue a summons, or… - **§ 1010.830 Forfeiture of currency or monetary instruments.**: Any currency or other monetary instruments which are in the process of any transportation with… - **§ 1010.210 Anti-money laundering programs.**: Each financial institution (as defined in 31 U.S.C. 5312(a)(2) or (c)(1)) should refer to subpart B of its chapter X… - **§ 1010.717 Disclosing information.**: (a) Any part of any administrative ruling, including names, addresses, or information related to the business transactions… - **§ 1010.205 Exempted anti-money laundering programs for certain financial institutions.**: (a) Exempt financial institutions. Subject to the provisions of… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (a) Reporting requirement — (1) Reportable transactions —(i) In… - **§ 1010.840 Criminal penalty.**: (a) Any person who willfully violates any provision of Title I of Public Law 91-508, or of this chapter authorized thereby may… - **§ 1010.605 Definitions.**: (1)(i) through (vii) of this section): (A) Means any formal banking or business relationship established by a bank to provide regular… - **§ 1010.711 Submitting requests.**: (8) If an agent makes the request, the signature of the agent and a statement certifying the authority under which the request… - **§ 1010.620 Due diligence programs for private banking accounts.**: (1) In the case of a private banking account for which a senior foreign political figure is a… - **§ 1010.660 Special measures against Bank of Dandong.**: (3) Special due diligence of correspondent accounts to prohibit use. (i) A covered financial institution… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (2) Disclosure to State, local, and Tribal law enforcement agencies for… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (1) In general. A law enforcement agency investigating terrorist… - **§ 1010.653 Special measures against Commercial Bank of Syria.**: (1))) that is an open-end company (as defined in section 5(a) (1) of the Investment Company Act… - **§ 1010.410 Records to be made and retained by financial institutions.**: $3,000 or more: - **§ 1010.540 Voluntary information sharing among financial institutions.**: (1) of this section shall submit to FinCEN a notice described on FinCEN's Internet Web… - **§ 1010.970 Exceptions, exemptions, and reports.**: (2) In order for a State regulatory system to qualify for an exemption on behalf of its casinos, the State must… - **§ 1010.820 Civil penalty.**: imposed. The amount of any civil penalty assessed under this paragraph shall be reduced by the amount of any forfeiture to the United… - **§ 1010.370 Reports of certain domestic transactions.**: (2) The Secretary may, by regulation or order, require any depository institution (as defined in section… - **§ 1010.821 Penalty adjustment and table.**: (5)(C)(i)(I) Foreign Financial Agency Transaction—Willful Violation of Transaction 100,000 161,166 31 U.S.C. 5321(a)… - **§ 1010.340 Reports of transportation of currency or monetary instruments.**: (3) A commercial bank or trust company organized under the laws of any State or of… - **§ 1010.658 Special measures against FBME Bank, Ltd.**: (2) Special due diligence of correspondent accounts to prohibit use —(i) A covered financial institution… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (2) Assessing the money laundering risk presented by such… - **§ 1010.810 Enforcement.**: (9) To the Commodity Futures Trading Commission with respect to futures commission merchants, introducing brokers in commodities, and… - **§ 1010.659 Special measures against North Korea.**: (3) Special due diligence of correspondent accounts to prohibit use. (i) A covered financial institution shall… - **§ 1010.950 Availability of information—general.**: particular information desired, the national security matter with which the information is sought and the… - **§ 1010.430 Nature of records and retention period.**: and the amount of time expired since the record was made. - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (2) of this chapter (for futures commission merchants or introducing brokers in… - **§ 1010.415 Purchases of bank checks and drafts, cashier's checks, money orders and traveler's checks.**: (1) If the purchaser has a deposit account with the… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.380 Reports of beneficial ownership information.**: (1) Initial report. Each reporting company shall file an initial report in the form and manner… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (2) Currency received for the account of another. Currency in… - **§ 1010.651 Special measures against Burma.**: (2) Prohibition on indirect correspondent accounts. (i) If a covered financial institution has or obtains knowledge… - **§ 1010.360 Reports of transactions with foreign financial agencies.**: (1) Checks or drafts, including traveler's checks, received by respondent financial… - **§ 1010.915 Examination of witnesses and records.**: (1) Make public the name of any person to whom a summons has been issued under this chapter, or release any… - **§ 1010.331 Reports relating to currency in excess of $10,000 received as bail by court clerks.**: (2) The term specified criminal offense means— (i) A Federal… - **§ 1010.100 General definitions.**: (6)(i) On one calendar day; or (ii) If for the purpose of evading the reporting requirements of § 1010.340, on one or more… - **§ 1010.350 Reports of foreign financial accounts.**: (1) Bank account. The term “bank account” means a savings deposit, demand deposit, checking, or any other… - **§ 1010.306 Filing of reports.**: (3) All reports required by § 1010.340 shall be filed with the Customs officer in charge at any port of entry or departure, or as… - **§ 1010.670 Summons or subpoena of foreign bank records; termination of correspondent relationship.**: (2) To initiate proceedings in a United States court… - **§ 1010.661 Special measures against Iran.**: (2) Prohibition on use of correspondent accounts. A covered financial institution shall take reasonable steps to not… - **§ 1010.370 Reports of certain domestic transactions.**: (2) of this section, the term reportable transaction means any transaction involving funds (as the… - **§ 1010.380 Reports of beneficial ownership information.**: days of the earlier of the date on which it receives actual notice that it has been registered to do… - **§ 1010.810 Enforcement.**: (2) To the Commissioner of Internal Revenue except with respect to § 1010.340. (d) Authority for the imposition of civil penalties for… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (3) Disclosure for use in furtherance of foreign national security… - **§ 1010.651 Special measures against Burma.**: (4) Reporting and recordkeeping not required. Nothing in this section shall require a covered financial institution… - **§ 1010.100 General definitions.**: (9) Any national banking association or corporation acting under the provisions of section 25(a) of the Act of Dec. 23, 1913… - **§ 1010.658 Special measures against FBME Bank, Ltd.**: (2)(iii) of this section: (A) Should do so within a commercially reasonable time, and should not permit the… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (3)(ii) if the agent discloses only the name of the principal and… - **§ 1010.350 Reports of foreign financial accounts.**: (4) Exceptions for certain accounts. (i) An account of a department or agency of the United States, an Indian… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (2) Requests from FinCEN. FinCEN may solicit, on its own behalf and on… - **§ 1010.360 Reports of transactions with foreign financial agencies.**: (6) Bonds received or shipped by respondent financial institution—including the following… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (2) A single individual with significant responsibility to control, manage, or direct… - **§ 1010.340 Reports of transportation of currency or monetary instruments.**: (9) Nor by a person engaged as a business in the transportation of currency, monetary… - **§ 1010.620 Due diligence programs for private banking accounts.**: (1) General rules —(i) Private banking accounts established on or after July 5, 2006. Effective… - **§ 1010.415 Purchases of bank checks and drafts, cashier's checks, money orders and traveler's checks.**: (2) If the purchaser does not have a deposit account with… - **§ 1010.605 Definitions.**: (1) For purposes of § 1010.610 and 1010.620: (i) A bank required to have an anti-money laundering compliance program under the… - **§ 1010.653 Special measures against Commercial Bank of Syria.**: (2) Due diligence of correspondent accounts to prohibit indirect use. (i) A covered financial… - **§ 1010.540 Voluntary information sharing among financial institutions.**: (4) Use and security of information. (i) Information received by a financial institution… - **§ 1010.660 Special measures against Bank of Dandong.**: (3)(i)(A) of this section. (ii) Nothing in this paragraph (b) shall require a covered financial… - **§ 1010.410 Records to be made and retained by financial institutions.**: (1) Recordkeeping requirements. (i) For each transmittal order that it accepts as a… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (1) Conduct enhanced scrutiny of such correspondent account to… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.661 Special measures against Iran.**: (3) Special due diligence of correspondent accounts to prohibit use. (i) A covered financial institution shall apply… - **§ 1010.659 Special measures against North Korea.**: (4) Recordkeeping and reporting. (i) A covered financial institution is required to document its compliance… - **§ 1010.810 Enforcement.**: (2)) of this section); employ the summons power of subpart I of this part 1010; issue administrative rulings under subpart G of this… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (2) of this section. A covered financial institution may also identify additional… - **§ 1010.540 Voluntary information sharing among financial institutions.**: (5)(i) of this section shall not apply to a financial institution or association of… - **§ 1010.100 General definitions.**: (4). (k) Common carrier. Any person engaged in the business of transporting individuals or goods for a fee who holds himself… - **§ 1010.410 Records to be made and retained by financial institutions.**: original or a microfilm, other copy, or electronic record of the transmittal order. (2)… - **§ 1010.620 Due diligence programs for private banking accounts.**: (4) of this section shall be construed to relieve a financial institution from its… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (1) Initial payment in excess of $10,000. If the initial payment… - **§ 1010.360 Reports of transactions with foreign financial agencies.**: (4) The kind of transaction subject to or exempt from a reporting requirement. (d) Form of… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (2) Determine whether the foreign bank for which the… - **§ 1010.661 Special measures against Iran.**: (b) (3)(i)(A) of this section and, where necessary, termination of the correspondent account. (4) Recordkeeping and… - **§ 1010.605 Definitions.**: (1) The term foreign financial institution means: (i) A foreign bank; (ii) Any branch or office located outside the United States of… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (3) Obligations of a financial institution receiving an information… - **§ 1010.370 Reports of certain domestic transactions.**: (8) Any other information deemed necessary to carry out the purposes of the order. (d) (1) No order issued… - **§ 1010.350 Reports of foreign financial accounts.**: settlements are not required to be reported. (d) Foreign country. A foreign country includes all geographical… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (3), an intelligence activity authorized under the laws of a foreign… - **§ 1010.653 Special measures against Commercial Bank of Syria.**: (2)(iii) of this section: (A) Should do so within a commercially reasonable time, and should not… - **§ 1010.380 Reports of beneficial ownership information.**: (2) of this section subsequent to the filing of an initial report, this change will be deemed a change… - **§ 1010.100 General definitions.**: (7). (m) Currency. The coin and paper money of the United States or of any other country that is designated as legal tender and… - **§ 1010.540 Voluntary information sharing among financial institutions.**: (4) of this section. (c) Information sharing between financial institutions and the… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (1) An offshore banking license; (2) A banking license issued… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(ii)(A) of this section; and (C) Has entered into an agreement with… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (3) of this section: Example. On January 10, Year 1, M receives… - **§ 1010.410 Records to be made and retained by financial institutions.**: (1)(i) of this section: (i) If the transmittal order is made in person, prior to… - **§ 1010.605 Definitions.**: (1)(iv) of this section, a person is not “engaged in the business” of a dealer in foreign exchange or a money transmitter if such… - **§ 1010.360 Reports of transactions with foreign financial agencies.**: (3) The Secretary may issue a regulation pursuant to paragraph (a) of this section… - **§ 1010.380 Reports of beneficial ownership information.**: (3) Corrected report. If any report under this section was inaccurate when filed and remains… - **§ 1010.350 Reports of foreign financial accounts.**: (2)(iii) through (iv) of this section) in which the United States person owns directly or indirectly more… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: FinCEN's request, the following information: (A) The name of such… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (11) of the Investment Advisers Act of 1940, that is registered with the Securities… - **§ 1010.410 Records to be made and retained by financial institutions.**: of payment ( e.g., check or credit card transaction) for the transmittal of funds. If the… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(ii) of this section may disclose such information to another officer… - **§ 1010.380 Reports of beneficial ownership information.**: (1) Initial report. An initial report of a reporting company shall include the following information… - **§ 1010.350 Reports of foreign financial accounts.**: (2) Exceptions —(i) An officer or employee of a bank that is examined by the Office of the Comptroller of the… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (2) Special rules for certain banks. Until the requirements of… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: the law enforcement agency on whose behalf FinCEN is requesting… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.605 Definitions.**: (2) For purposes of this definition: (i) Members of the same family shall be considered to be one person. (ii) The term same family… - **§ 1010.100 General definitions.**: states a payment date, the execution date is the payment date or an earlier date on which execution is reasonably necessary to… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (5) of this section), or (B) Received in any transaction in which… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (3)(iv)(C) shall be deemed satisfied to the extent that a financial… - **§ 1010.380 Reports of beneficial ownership information.**: address; (D) A unique identifying number and the issuing jurisdiction from one of the following… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(ii)(A) through (C) of this section. A financial institution may rely… - **§ 1010.410 Records to be made and retained by financial institutions.**: (1)(iii) of this section: (i) If the proceeds are delivered in person to the recipient or… - **§ 1010.605 Definitions.**: (2) Is established on behalf of or for the benefit of one or more non-U.S. persons who are direct or beneficial owners of the account… - **§ 1010.610 Due diligence programs for correspondent accounts for foreign financial institutions.**: (3) Special rules for all other covered financial… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (2) of this section only to the extent the financial institution opens an account for… - **§ 1010.100 General definitions.**: (5)(i) Casino. A casino or gambling casino that: Is duly licensed or authorized to do business as such in the United States… - **§ 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.**: § 1010.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process… - **§ 1010.350 Reports of foreign financial accounts.**: 1940. (iv) An officer or employee of an entity with a class of equity securities listed (or American… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (1)(ii)(A) of this section if the instrument is received in… - **§ 1010.520 Information sharing between government agencies and financial institutions.**: (5) No effect on law enforcement or regulatory investigations. Nothing… - **§ 1010.100 General definitions.**: (6)(i) Card club. A card club, gaming club, card room, gaming room, or similar gaming establishment that is duly licensed or… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (1) Required records. At a minimum the record must include: (i) For identification… - **§ 1010.350 Reports of foreign financial accounts.**: (2) Signature or other authority over 25 or more foreign financial accounts. A United States person having… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (1)(ii)(A) of this section if the instrument is received pursuant… - **§ 1010.410 Records to be made and retained by financial institutions.**: (2) of this section shall be retrievable by the transmittor's financial institution by… - **§ 1010.380 Reports of beneficial ownership information.**: (3)(i) of this section, then the report shall indicate that such information relates to a parent or… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (5) of this section may disclose such information to any officer… - **§ 1010.605 Definitions.**: (1) The term senior foreign political figure means: (i) A current or former: (A) Senior official in the executive, legislative… - **§ 1010.380 Reports of beneficial ownership information.**: (3) of this section shall correct all inaccuracies in the information previously reported to FinCEN… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (5) of this section: Example 1. D, an individual, purchases gold… - **§ 1010.100 General definitions.**: (7) A person subject to supervision by any state or Federal bank supervisory authority; (8) A futures commission merchant; (9)… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(ii) of this section, a Federal, State, local, or Tribal agency shall… - **§ 1010.410 Records to be made and retained by financial institutions.**: (3) of this section, a financial institution shall verify a person's identity by… - **§ 1010.230 Beneficial ownership requirements for legal entity customers.**: (3) The other financial institution enters into a contract requiring it to certify… - **§ 1010.410 Records to be made and retained by financial institutions.**: (6) Exceptions. The following transmittals of funds are not subject to the requirements… - **§ 1010.380 Reports of beneficial ownership information.**: (1)(ii) of this section with respect to the beneficial owners of the reporting company only if: ( 1 )… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (1). (D) Secure system for beneficial ownership information storage. The… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: 3. F, an individual, purchases an item of jewelry from S, a… - **§ 1010.100 General definitions.**: (7)), as well as any other funds transfers that are made through an automated clearinghouse, an automated teller machine, or a… - **§ 1010.380 Reports of beneficial ownership information.**: (3)(C)(i)(I)(bb) if filed within 90 calendar days after the date on which the inaccurate application… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: 5. H, an individual, arranges with W, a travel agent, for the… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (1)(i)(B) of this section; ( 2 ) Provide the results of that audit to… - **§ 1010.410 Records to be made and retained by financial institutions.**: (1) A transmittor's financial institution shall include in a transmittal order, at the… - **§ 1010.100 General definitions.**: (1) Monetary instruments include: (i) Currency; (ii) Traveler's checks in any form; (iii) All negotiable instruments (including… - **§ 1010.410 Records to be made and retained by financial institutions.**: (2) A receiving financial institution that acts as an intermediary financial institution… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (1) of this section or their designee shall make a written certification… - **§ 1010.380 Reports of beneficial ownership information.**: (1) of this section, the term “reporting company” does not include: (i) Securities reporting issuer… - **§ 1010.100 General definitions.**: (1) Dealer in foreign exchange. A person that accepts the currency, or other monetary instruments, funds, or other instruments… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (9) Travel or entertainment activity. The term travel or… - **§ 1010.410 Records to be made and retained by financial institutions.**: (3) Safe harbor for transmittals of funds prior to conversion to the expanded Fedwire… - **§ 1010.100 General definitions.**: (3) Issuer or seller of traveler's checks or money orders. A person that (i) Issues traveler's checks or money orders that are… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (3)(ii)(A) of this section shall: ( i ) Retain for the agency's records… - **§ 1010.380 Reports of beneficial ownership information.**: or dealer in securities. Any broker or dealer, as those terms are defined in section 3 of the… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (12) Transaction. (i) Solely for purposes of 31 U.S.C. 5331 and… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (3) of this section; ( ii ) The name, title, agency, and country of the… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (12)(i) of this section and the reporting requirements of this… - **§ 1010.380 Reports of beneficial ownership information.**: (2)(i), (vii), or (viii) of this section that is registered with the Securities and Exchange Commission… - **§ 1010.410 Records to be made and retained by financial institutions.**: (2) of this section if it: (A) Includes in the transmittal order, at the time it is sent… - **§ 1010.100 General definitions.**: (4) Provider of prepaid access —(i) In general. A provider of prepaid access is the participant within a prepaid program that… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(i) of this section available to persons physically located in, and… - **§ 1010.380 Reports of beneficial ownership information.**: introducing broker, swap dealer, major swap participant, commodity pool operator, or commodity trading… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (12)(i) of this section and the reporting requirement of this… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (2) of this section or the national security of the United States. (ii)… - **§ 1010.380 Reports of beneficial ownership information.**: (1)(xix)(A) for the 180-day period beginning on the date of the loss of such tax-exempt status; (B) A… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (13)(ii) of this section, each store, division, branch… - **§ 1010.100 General definitions.**: (5) Money transmitter —(i) In general. (A) A person that provides money transmission services. The term “money transmission… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (13)(ii) of this section the separate branches of Commodities… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4)(i) of this section, the financial institution shall obtain and… - **§ 1010.380 Reports of beneficial ownership information.**: (2)(xix) of this section; (B) Is a United States person; (C) Is beneficially owned or controlled… - **§ 1010.100 General definitions.**: (8) Limitation. For the purposes of this section, the term “money services business” shall not include: (i) A bank or foreign… - **§ 1010.380 Reports of beneficial ownership information.**: by one or more entities described in paragraphs (c) (2)(i), (ii), (iii), (iv), (v), (vii), (viii)… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (3)(ii)(B) of this section shall establish standards and procedures to… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (12)(i) of this section and the receipt of currency by the… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (4) of this section, and may reject any other request made pursuant to… - **§ 1010.100 General definitions.**: (26). (ii) Originator. The sender of the first payment order in a funds transfer. (jj) Originator's bank. The receiving bank to… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (2) Receipt of currency not in the course of the recipient's… - **§ 1010.380 Reports of beneficial ownership information.**: (1) Substantial control —(i) Definition of substantial control. An individual exercises substantial… - **§ 1010.955 Availability of beneficial ownership information reported under this part.**: (1) Unauthorized disclosure or use. Except as authorized by this section… - **§ 1010.330 Reports relating to currency in excess of $10,000 received in a trade or business.**: (2) Verification. A person making a report of information under… - **§ 1010.100 General definitions.**: (3) The instruction is transmitted by the sender directly to the receiving bank or to an agent, funds transfer system, or… - **§ 1010.380 Reports of beneficial ownership information.**: or voting rights of the reporting company; (C) Rights associated with any financing arrangement or… - **§ 1010.100 General definitions.**: (1) Shall have the same meaning as provided in section 3(a) (26) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)… - **§ 1010.380 Reports of beneficial ownership information.**: of a reporting company. In determining whether an individual owns or controls at least 25 percent of… - **§ 1010.100 General definitions.**: (zz) Territories and Insular Possessions. The Commonwealth of Puerto Rico, the United States Virgin Islands, Guam, the… - **§ 1010.380 Reports of beneficial ownership information.**: (2)(iii)(B) or (C) to be performed with reasonable certainty, any individual who owns or controls 25… - **§ 1010.100 General definitions.**: (1)(C), money market accounts and similar accounts that take deposits and are subject to withdrawal by check or other… - **§ 1010.380 Reports of beneficial ownership information.**: (4) Indian tribe. The term “Indian tribe” has the meaning given the term “Indian tribe” in section 102… - **§ 1010.100 General definitions.**: (2) A person other than an individual (such as a corporation, partnership or trust), that is established or organized under the… - **§ 1010.380 Reports of beneficial ownership information.**: (8) Senior officer. The term “senior officer” means any individual holding the position or exercising… - **§ 1010.100 General definitions.**: financial institution as defined in the regulations in this part at 1010.100(t). (1) Residential mortgage lender or originator… - **§ 1010.380 Reports of beneficial ownership information.**: (4) A person fails to report complete or updated beneficial ownership information to FinCEN if, with… --- Consilena is a software provider, not a law firm. AI output is not legal advice: consult a licensed lawyer in the relevant jurisdiction. Page: https://consilena.com/coverage/laws/ksrc_c3aq7w71xxhzp0qk. Index of every page: https://consilena.com/llms.txt.