22 U.S.C. § 612 — Registration statement

Page 308 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 612 ployee, representative, or servant or at the order of, or under the control of, a foreign principal, by requiring a showing not only of foreign connections but also of cer- tain activities performed by the agent for foreign inter- ests, by making change as it relates to problem of indi- rect control exerted by foreign principals over their agents, by including political activities and actions as political consultant, by excluding attorneys from the relationship, by incorporating provisions of former par. (3) in par. (2) where a person assumes or purports to act as an agent of a foreign principal, and by eliminating the separate category for military or governmental of- ficials contained in former par. (4). Subsec. (d). Pub. L. 89–486, § 1(3), struck out ‘‘clause (1), (2), or (4) of’’ before ‘‘subsection (b)’’. Subsec. (g). Pub. L. 89–486, § 1(4), inserted ‘‘public re- lations’’ before ‘‘matter pertaining to’’ and ‘‘of such principal’’ after ‘‘or relations’’. Subsecs. (o) to (q). Pub. L. 89–486, § 1(5), added subsecs. (o) to (q). 1961—Subsec. (b)(6). Pub. L. 87–366 added par. (6). 1956—Subsec. (c)(5). Act Aug. 1, 1956, repealed par. (5) which included within definition of ‘‘agent of a foreign principal’’ any person trained in foreign espionage sys- tems with certain exceptions. See sections 851 and 852 of Title 50, War and National Defense. 1950—Subsec. (c)(5). Act Sept. 23, 1950, added par. (5). 1942—Act Apr. 29, 1942, amended section generally to redefine terms used in this subchapter. 1939—Act Aug. 7, 1939, amended section generally to redefine terms used in this subchapter. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 1995 AMENDMENT Amendment by Pub. L. 104–65 effective Jan. 1, 1996, except as otherwise provided, see section 24 of Pub. L. 104–65, set out as an Effective Date note under section 1601 of Title 2, The Congress. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91–375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91–375, set out as an Effective Date note pre- ceding section 101 of Title 39, Postal Service. EFFECTIVE DATE OF 1966 AMENDMENT Pub. L. 89–486, § 9, July 4, 1966, 80 Stat. 249, provided that: ‘‘This Act [enacting sections 219 and 613 of Title 18, Crimes and Criminal Procedure, and amending this section and sections 612 to 616 and 618 of this title] shall take effect ninety days after the date of its enactment [July 4, 1966].’’ EFFECTIVE DATE OF 1942 AMENDMENT Act Apr. 29, 1942, ch. 263, § 3, 56 Stat. 258, provided that: ‘‘This Act [amending this subchapter] shall take effect on the sixtieth day after the date of its approval, except that prior to such sixtieth day the Attorney General may make, prescribe, amend, and rescind such rules, regulations, and forms as may be necessary to carry out the provisions of this Act [amending this sub- chapter].’’ EFFECTIVE DATE Act June 8, 1938, ch. 327, § 7, 52 Stat. 633, provided that: ‘‘This Act [enacting this subchapter] shall take effect on the ninetieth day after the date of its enact- ment [June 8, 1938].’’ SHORT TITLE Act June 8, 1938, ch. 327, § 14, as added by act Apr. 29, 1942, ch. 263, § 1, 56 Stat. 258, provided that: ‘‘This Act [enacting this subchapter] may be cited as the ‘Foreign Agents Registration Act of 1938, as amended’.’’ SEPARABILITY; EFFECT ON EXISTING LAW Act June 8, 1938, ch. 327, §§ 12, 13, as added by act Apr. 29, 1942, ch. 263, § 1, 56 Stat. 258, provided that: ‘‘SEC. 12. If any provision of this Act [enacting this subchapter], or the application thereof to any person or circumstances, is held invalid, the remainder of the Act, and the application of such provisions to other persons or circumstances, shall not be affected thereby. ‘‘SEC. 13. This Act [enacting this subchapter] is an ad- dition to and not in substitution for any other existing statute.’’ TRANSFER OF FUNCTIONS Act Apr. 29, 1942, ch. 263, § 2, 56 Stat. 258, provided that: ‘‘Upon the effective date of this Act [see Effective Date of 1942 Amendment note above], all powers, du- ties, and functions of the Secretary of State under the Act of June 8, 1938 (52 Stat. 631), as amended [this sub- chapter], shall be transferred to and become vested in the Attorney General, together with all property, books, records, and unexpended balances of appropria- tions used by or available to the Secretary of State for carrying out the functions devolving on him under the above-cited Act. All rules, regulations, and forms which have been issued by the Secretary of State pursuant to the provisions of said Act, and which are in effect, shall continue in effect until modified, superseded, revoked, or repealed.’’ POLICY AND PURPOSE OF SUBCHAPTER Act June 8, 1938, ch. 327, as added by act Apr. 29, 1942, ch. 263, § 1, 56 Stat. 248, provided that: ‘‘It is hereby de- clared to be the policy and purpose of this Act [enact- ing this subchapter] to protect the national defense, in- ternal security, and foreign relations of the United States by requiring public disclosure by persons engag- ing in propaganda activities and other activities for or on behalf of foreign governments, foreign political par- ties, and other foreign principals so that the Govern- ment and the people of the United States may be in- formed of the identity of such persons and may ap- praise their statements and actions in the light of their associations and activities.’’ § 612. Registration statement (a) Filing; contents No person shall act as an agent of a foreign principal unless he has filed with the Attorney General a true and complete registration state- ment and supplements thereto as required by subsections (a) and (b) of this section or unless he is exempt from registration under the provi- sions of this subchapter. Except as hereinafter provided, every person who becomes an agent of a foreign principal shall, within ten days there- after, file with the Attorney General, in dupli- cate, a registration statement, under oath on a form prescribed by the Attorney General. The obligation of an agent of a foreign principal to file a registration statement shall, after the tenth day of his becoming such agent, continue from day to day, and termination of such status shall not relieve such agent from his obligation to file a registration statement for the period during which he was an agent of a foreign prin- cipal. The registration statement shall include the following, which shall be regarded as mate- rial for the purposes of this subchapter: (1) Registrant’s name, principal business ad- dress, and all other business addresses in the United States or elsewhere, and all residence addresses, if any; (2) Status of the registrant; if an individual, nationality; if a partnership, name, residence addresses, and nationality of each partner and a true and complete copy of its articles of co- partnership; if an association, corporation, or- Page 309 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 612 1 So in original. Probably should be ‘‘connection’’. 2 See References in Text note below. ganization, or any other combination of indi- viduals, the name, residence addresses, and na- tionality of each director and officer and of each person performing the functions of a di- rector or officer and a true and complete copy of its charter, articles of incorporation, asso- ciation, constitution, and bylaws, and amend- ments thereto; a copy of every other instru- ment or document and a statement of the terms and conditions of every oral agreement relating to its organization, powers, and pur- poses; and a statement of its ownership and control; (3) A comprehensive statement of the nature of registrant’s business; a complete list of reg- istrant’s employees and a statement of the na- ture of the work of each; the name and address of every foreign principal for whom the reg- istrant is acting, assuming or purporting to act or has agreed to act; the character of the business or other activities of every such for- eign principal, and, if any such foreign prin- cipal be other than a natural person, a state- ment of the ownership and control of each; and the extent, if any, to which each such foreign principal is supervised, directed, owned, con- trolled, financed, or subsidized, in whole or in part, by any government of a foreign country or foreign political party, or by any other for- eign principal; (4) Copies of each written agreement and the terms and conditions of each oral agreement, including all modifications of such agree- ments, or, where no contract exists, a full statement of all the circumstances, by reason of which the registrant is an agent of a foreign principal; a comprehensive statement of the nature and method of performance of each such contract, and of the existing and pro- posed activity or activities engaged in or to be engaged in by the registrant as agent of a for- eign principal for each such foreign principal, including a detailed statement of any such ac- tivity which is a political activity; (5) The nature and amount of contributions, income, money, or thing of value, if any, that the registrant has received within the pre- ceding sixty days from each such foreign prin- cipal, either as compensation or for disburse- ment or otherwise, and the form and time of each such payment and from whom received; (6) A detailed statement of every activity which the registrant is performing or is as- suming or purporting or has agreed to perform for himself or any other person other than a foreign principal and which requires his reg- istration hereunder, including a detailed statement of any such activity which is a po- litical activity; (7) The name, business, and residence ad- dresses, and if an individual, the nationality, of any person other than a foreign principal for whom the registrant is acting, assuming or purporting to act or has agreed to act under such circumstances as require his registration hereunder; the extent to which each such per- son is supervised, directed, owned, controlled, financed, or subsidized, in whole or in part, by any government of a foreign country or for- eign political party or by any other foreign principal; and the nature and amount of con- tributions, income, money, or thing of value, if any, that the registrant has received during the preceding sixty days from each such per- son in connection with any of the activities referred to in clause (6) of this subsection, ei- ther as compensation or for disbursement or otherwise, and the form and time of each such payment and from whom received; (8) A detailed statement of the money and other things of value spent or disposed of by the registrant during the preceding sixty days in furtherance of or in connection with activi- ties which require his registration hereunder and which have been undertaken by him either as an agent of a foreign principal or for him- self or any other person or in conection 1 with any activities relating to his becoming an agent of such principal, and a detailed state- ment of any contributions of money or other things of value made by him during the pre- ceding sixty days (other than contributions the making of which is prohibited under the terms of section 613 2 of title 18) in connection with an election to any political office or in connection with any primary election, conven- tion, or caucus held to select candidates for any political office; (9) Copies of each written agreement and the terms and conditions of each oral agreement, including all modifications of such agree- ments, or, where no contract exists, a full statement of all the circumstances, by reason of which the registrant is performing or as- suming or purporting or has agreed to perform for himself or for a foreign principal or for any person other than a foreign principal any ac- tivities which require his registration here- under; (10) Such other statements, information, or documents pertinent to the purposes of this subchapter as the Attorney General, having due regard for the national security and the public interest, may from time to time re- quire; (11) Such further statements and such fur- ther copies of documents as are necessary to make the statements made in the registration statement and supplements thereto, and the copies of documents furnished therewith, not misleading. (b) Supplements; filing period Every agent of a foreign principal who has filed a registration statement required by sub- section (a) of this section shall, within thirty days after the expiration of each period of six months succeeding such filing, file with the At- torney General a supplement thereto under oath, on a form prescribed by the Attorney Gen- eral, which shall set forth with respect to such preceding six months’ period such facts as the Attorney General, having due regard for the na- tional security and the public interest, may deem necessary to make the information re- quired under this section accurate, complete, and current with respect to such period. In con- nection with the information furnished under clauses (3), (4), (6), and (9) of subsection (a) of Page 310 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 612 this section, the registrant shall give notice to the Attorney General of any changes therein within ten days after such changes occur. If the Attorney General, having due regard for the na- tional security and the public interest, deter- mines that it is necessary to carry out the pur- poses of this subchapter, he may, in any par- ticular case, require supplements to the reg- istration statement to be filed at more frequent intervals in respect to all or particular items of information to be furnished. (c) Execution of statement under oath The registration statement and supplements thereto shall be executed under oath as follows: If the registrant is an individual, by him; if the registrant is a partnership, by the majority of the members thereof; if the registrant is a per- son other than an individual or a partnership, by a majority of the officers thereof or persons per- forming the functions of officers or by a major- ity of the board of directors thereof or persons performing the functions of directors, if any. (d) Filing of statement not deemed full compli- ance nor as preclusion from prosecution The fact that a registration statement or sup- plement thereto has been filed shall not nec- essarily be deemed a full compliance with this subchapter and the regulations thereunder on the part of the registrant; nor shall it indicate that the Attorney General has in any way passed upon the merits of such registration statement or supplement thereto; nor shall it preclude prosecution, as provided for in this sub- chapter, for willful failure to file a registration statement or supplement thereto when due or for a willful false statement of a material fact therein or the willful omission of a material fact required to be stated therein or the willful omis- sion of a material fact or copy of a material doc- ument necessary to make the statements made in a registration statement and supplements thereto, and the copies of documents furnished therewith, not misleading. (e) Incorporation of previous statement by ref- erence If any agent of a foreign principal, required to register under the provisions of this subchapter, has previously thereto registered with the At- torney General under the provisions of section 2386 of title 18, the Attorney General, in order to eliminate inappropriate duplication, may per- mit the incorporation by reference in the reg- istration statement or supplements thereto filed hereunder of any information or documents pre- viously filed by such agent of a foreign principal under the provisions of said section. (f) Exemption by Attorney General The Attorney General may, by regulation, pro- vide for the exemption— (1) from registration, or from the require- ment of furnishing any of the information re- quired by this section, of any person who is listed as a partner, officer, director, or em- ployee in the registration statement filed by an agent of a foreign principal under this sub- chapter, and (2) from the requirement of furnishing any of the information required by this section of any agent of a foreign principal. where by reason of the nature of the functions or activities of such person the Attorney Gen- eral, having due regard for the national security and the public interest, determines that such registration, or the furnishing of such informa- tion, as the case may be, is not necessary to carry out the purposes of this subchapter. (g) Electronic filing of registration statements and supplements A registration statement or supplement re- quired to be filed under this section shall be filed in electronic form, in addition to any other form that may be required by the Attorney Gen- eral. (June 8, 1938, ch. 327, § 2, 52 Stat. 632; Apr. 29, 1942, ch. 263, § 1, 56 Stat. 251; Aug. 3, 1950, ch. 524, § 1, 64 Stat. 399; Pub. L. 89–486, § 2, July 4, 1966, 80 Stat. 245; Pub. L. 110–81, title II, § 212(a), Sept. 14, 2007, 121 Stat. 749.) Editorial Notes REFERENCES IN TEXT Section 613 of title 18, referred to in subsec. (a)(8), was repealed by Pub. L. 94–283, title II, § 201(a), May 11, 1976, 90 Stat. 496. CODIFICATION In subsec. (e), ‘‘section 2386 of title 18’’ was in the original ‘‘the Act of October 17, 1940 (54 Stat. 1201)’’, which had been classified to sections 14 to 17 of title 18. ‘‘Section 2386 of title 18’’ substituted for ‘‘sections 14 to 17 of title 18’’ on authority of act June 25, 1948, ch. 645, 62 Stat. 863, section 1 of which enacted Title 18, Crimes and Criminal Procedure. PRIOR PROVISIONS Provisions on this subject were contained in sections 612 and 613 of this title prior to general amendment of act June 8, 1938, by act Apr. 29, 1942. AMENDMENTS 2007—Subsec. (g). Pub. L. 110–81 added subsec. (g). 1966—Subsec. (a). Pub. L. 89–486, § 2(1), struck out re- quirement for transmittal of registration statements by the Attorney General to the Secretary of State and provision declaring a failure of transmission not to be a bar to prosecutions, now covered in section 616(b) of this title. Subsec. (a)(3). Pub. L. 89–486, § 2(2), struck out ‘‘, unless, and to the extent, this requirement is waived in writing by the Attorney General’’ after ‘‘statement of the nature of the work of each’’ and provided for a statement of the extent to which a foreign principal is supervised, directed, etc., by any other foreign prin- cipal. Subsec. (a)(4), (6). Pub. L. 89–486, § 2(3), (4), inserted ‘‘, including a detailed statement of any such activity which is a political activity’’. Subsec. (a)(7). Pub. L. 89–486, § 2(5), required certain information pertaining to control and financial ar- rangements with respect to those persons, not them- selves foreign principals, who are so related to a for- eign principal that their agents when engaged in polit- ical activities in the interests of the principal are re- quired to register. Subsec. (a)(8). Pub. L. 89–486, § 2(6), inserted require- ment that agent report the money or other things of value spent or disposed of in connection with his be- coming the agent of his foreign principal and all polit- ical contributions made during the preceding sixty days, other than contributions made on behalf of their principals, such contributions being prohibited under section 613 of title 18. Subsec. (f). Pub. L. 89–486, § 2(7), added subsec. (f). Page 311 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 613 1950—Subsec. (a). Act Aug. 3, 1950, made failure to register a continuing offense. 1942—Act Apr. 29, 1942, amended section generally. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2007 AMENDMENT Pub. L. 110–81, title II, § 212(c), Sept. 14, 2007, 121 Stat. 750, provided that: ‘‘The amendments made by this sec- tion [amending this section and section 616 of this title] shall take effect on the 90th day after the date of the enactment of this Act [Sept. 14, 2007].’’ EFFECTIVE DATE OF 1966 AMENDMENT Amendment by Pub. L. 89–486 effective ninety days after July 4, 1966, see section 9 of Pub. L. 89–486, set out as a note under section 611 of this title. EFFECTIVE DATE OF 1942 AMENDMENT Amendment by act Apr. 29, 1942, effective on the six- tieth day after Apr. 29, 1942, except that prior to such sixtieth day the Attorney General may make, pre- scribe, amend, and rescind such rules, regulations, and forms as may be necessary to carry out act Apr. 29, 1942, see section 3 of act Apr. 29, 1942, set out as a note under section 611 of this title. FEES FOR NECESSARY EXPENSES OF REGISTRATION UNIT Pub. L. 102–395, title I, Oct. 6, 1992, 106 Stat. 1831, pro- vided in part that: ‘‘In addition, notwithstanding 31 U.S.C. 3302, for fiscal year 1993 and thereafter, the At- torney General shall establish and collect fees to re- cover necessary expenses of the Registration Unit (to include salaries, supplies, equipment and training) pur- suant to the Foreign Agents Registration Act [probably means Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. 611 et seq.], and shall credit such fees to this appropriation, to remain available until ex- pended.’’ § 613. Exemptions The requirements of section 612(a) of this title shall not apply to the following agents of for- eign principals: (a) Diplomatic or consular officers A duly accredited diplomatic or consular offi- cer of a foreign government who is so recognized by the Department of State, while said officer is engaged exclusively in activities which are rec- ognized by the Department of State as being within the scope of the functions of such officer; (b) Officials of foreign government Any official of a foreign government, if such government is recognized by the United States, who is not a public-relations counsel, publicity agent, information-service employee, or a cit- izen of the United States, whose name and sta- tus and the character of whose duties as such of- ficial are of public record in the Department of State, while said official is engaged exclusively in activities which are recognized by the Depart- ment of State as being within the scope of the functions of such official; (c) Staff members of diplomatic or consular offi- cers Any member of the staff of, or any person em- ployed by, a duly accredited diplomatic or con- sular officer of a foreign government who is so recognized by the Department of State, other than a public-relations counsel, publicity agent, or information-service employee, whose name and status and the character of whose duties as such member or employee are of public record in the Department of State, while said member or employee is engaged exclusively in the perform- ance of activities which are recognized by the Department of State as being within the scope of the functions of such member or employee; (d) Private and nonpolitical activities; solicita- tion of funds Any person engaging or agreeing to engage only (1) in private and nonpolitical activities in furtherance of the bona fide trade or commerce of such foreign principal; or (2) in other activi- ties not serving predominantly a foreign inter- est; or (3) in the soliciting or collecting of funds and contributions within the United States to be used only for medical aid and assistance, or for food and clothing to relieve human suffering, if such solicitation or collection of funds and con- tributions is in accordance with and subject to the provisions of subchapter II of chapter 9 of this title, and such rules and regulations as may be prescribed thereunder; (e) Religious, scholastic, or scientific pursuits Any person engaging or agreeing to engage only in activities in furtherance of bona fide re- ligious, scholastic, academic, or scientific pur- suits or of the fine arts; (f) Defense of foreign government vital to United States defense Any person, or employee of such person, whose foreign principal is a government of a foreign country the defense of which the President deems vital to the defense of the United States while, (1) such person or employee engages only in activities which are in furtherance of the policies, public interest, or national defense both of such government and of the Government of the United States, and are not intended to conflict with any of the domestic or foreign poli- cies of the Government of the United States, (2) each communication or expression by such per- son or employee which he intends to, or has rea- son to believe will, be published, disseminated, or circulated among any section of the public, or portion thereof, within the United States, is a part of such activities and is believed by such person to be truthful and accurate and the iden- tity of such person as an agent of such foreign principal is disclosed therein, and (3) such gov- ernment of a foreign country furnishes to the Secretary of State for transmittal to, and reten- tion for the duration of this subchapter by, the Attorney General such information as to the identity and activities of such person or em- ployee at such times as the Attorney General may require. Upon notice to the Government of which such person is an agent or to such person or employee, the Attorney General, having due regard for the public interest and national de- fense, may, with the approval of the Secretary of State, and shall, at the request of the Sec- retary of State, terminate in whole or in part the exemption herein of any such person or em- ployee; (g) Persons qualified to practice law Any person qualified to practice law, insofar as he engages or agrees to engage in the legal representation of a disclosed foreign principal