12 USC 3414 - Special procedures

U.S Code last checked for updates: Nov 22, 2024

§ 3414.

Special procedures

(a)

Access to financial records for certain intelligence and protective purposes

(1)

Nothing in this chapter (except sections 3415, 3417, 3418, and 3421 1

 See References in Text note below.

of this title) shall apply to the production and disclosure of financial records pursuant to requests from—

(A)

a Government authority authorized to conduct foreign counter- or foreign positive-intelligence activities for purposes of conducting such activities;

(B)

the Secret Service for the purpose of conducting its protective functions (18 U.S.C. 3056; 18 U.S.C. 3056A, Public Law 90–331,¹ as amended); or

(C)

a Government authority authorized to conduct investigations of, or intelligence or counterintelligence analyses related to, international terrorism for the purpose of conducting such investigations or analyses.

(2)

In the instances specified in paragraph (1), the Government authority shall submit to the financial institution the certificate required in section 3403(b) of this title signed by a supervisory official of a rank designated by the head of the Government authority and a term that specifically identifies a customer, entity, or account to be used as the basis for the production and disclosure of financial records.

(3)

(A)

If the Government authority described in paragraph (1) or the Secret Service, as the case may be, certifies that otherwise there may result a danger to the national security of the United States, interference with a criminal, counterterrorism, or counterintelligence investigation, interference with diplomatic relations, or danger to the life or physical safety of any person, no financial institution, or officer, employee, or agent of such institution, shall disclose to any person (other than those to whom such disclosure is necessary to comply with the request or an attorney to obtain legal advice or legal assistance with respect to the request) that the Government authority or the Secret Service has sought or obtained access to a customer’s financial records.

(B)

The request shall notify the person or entity to whom the request is directed of the nondisclosure requirement under subparagraph (A).

(C)

Any recipient disclosing to those persons necessary to comply with the request or to an attorney to obtain legal advice or legal assistance with respect to the request shall inform such persons of any applicable nondisclosure requirement. Any person who receives a disclosure under this subsection shall be subject to the same prohibitions on disclosure under subparagraph (A).

(D)

At the request of the authorized Government authority or the Secret Service, any person making or intending to make a disclosure under this section shall identify to the requesting official of the authorized Government authority or the Secret Service the person to whom such disclosure will be made or to whom such disclosure was made prior to the request, except that nothing in this section shall require a person to inform the requesting official of the authorized Government authority or the Secret Service of the identity of an attorney to whom disclosure was made or will be made to obtain legal advice or legal assistance with respect to the request for financial records under this subsection.

(4)

The Government authority specified in paragraph (1) shall compile an annual tabulation of the occasions in which this section was used.

(5)

(A)

Financial institutions, and officers, employees, and agents thereof, shall comply with a request for a customer’s or entity’s financial records made pursuant to this subsection by the Federal Bureau of Investigation when the Director of the Federal Bureau of Investigation (or the Director’s designee in a position not lower than Deputy Assistant Director at Bureau headquarters or a Special Agent in Charge in a Bureau field office designated by the Director) certifies in writing to the financial institution that such records are sought for foreign counter intelligence 2

 So in original. Probably should be “counterintelligence”.

purposes to protect against international terrorism or clandestine intelligence activities, provided that such an investigation of a United States person is not conducted solely upon the basis of activities protected by the first amendment to the Constitution of the United States.

(B)

The Federal Bureau of Investigation may disseminate information obtained pursuant to this paragraph only as provided in guidelines approved by the Attorney General for foreign intelligence collection and foreign counterintelligence investigations conducted by the Federal Bureau of Investigation, and, with respect to dissemination to an agency of the United States, only if such information is clearly relevant to the authorized responsibilities of such agency.

(C)

On the dates provided in section 3106 of title 50, the Attorney General shall fully inform the congressional intelligence committees (as defined in section 3003 of title 50) concerning all requests made pursuant to this paragraph.

(b)

Emergency access to financial records

(1)

Nothing in this chapter shall prohibit a Government authority from obtaining financial records from a financial institution if the Government authority determines that delay in obtaining access to such records would create imminent danger of—

(A)

physical injury to any person;

(B)

serious property damage; or

(C)

flight to avoid prosecution.

(2)

In the instances specified in paragraph (1), the Government shall submit to the financial institution the certificate required in section 3403(b) of this title signed by a supervisory official of a rank designated by the head of the Government authority.

(3)

Within five days of obtaining access to financial records under this subsection, the Government authority shall file with the appropriate court a signed, sworn statement of a supervisory official of a rank designated by the head of the Government authority setting forth the grounds for the emergency access. The Government authority shall thereafter comply with the notice provisions of section 3409(c) of this title.

(4)

The Government authority specified in paragraph (1) shall compile an annual tabulation of the occasions in which this section was used.

(c)

Prohibition of certain disclosure

(1)

Prohibition

(A)

In general

(B)

Certification

The requirements of subparagraph (A) shall apply if the Director of the Federal Bureau of Investigation, or a designee of the Director whose rank shall be no lower than Deputy Assistant Director at Bureau headquarters or a Special Agent in Charge of a Bureau field office, certifies that the absence of a prohibition of disclosure under this subsection may result in—

(i)

a danger to the national security of the United States;

(ii)

interference with a criminal, counterterrorism, or counterintelligence investigation;

(iii)

interference with diplomatic relations; or

(iv)

danger to the life or physical safety of any person.

(2)

Exception

(A)

In general

A financial institution that receives a request under subsection (a), or officer, employee, or agent thereof, may disclose information otherwise subject to any applicable nondisclosure requirement to—

(i)

those persons to whom disclosure is necessary in order to comply with the request;

(ii)

an attorney in order to obtain legal advice or assistance regarding the request; or

(iii)

other persons as permitted by the Director of the Federal Bureau of Investigation or the designee of the Director.

(B)

Application

(C)

Notice

(D)

Identification of disclosure recipients

(d)

Judicial review

(1)

In general

(2)

Notice

(e)

Definition of “financial institution”

(Pub. L. 95–630, title XI, § 1114, Nov. 10, 1978, 92 Stat. 3707; Pub. L. 97–320, title IV, § 432(b), Oct. 15, 1982, 96 Stat. 1527; Pub. L. 99–569, title IV, § 404, Oct. 27, 1986, 100 Stat. 3197; Pub. L. 107–56, title III, § 358(f)(2), title V, § 505(b), Oct. 26, 2001, 115 Stat. 327, 365; Pub. L. 107–306, title VIII, § 811(b)(9), Nov. 27, 2002, 116 Stat. 2426; Pub. L. 108–177, title III, § 374(a), Dec. 13, 2003, 117 Stat. 2628; Pub. L. 109–177, title I, § 116(d), (e), title VI, § 605(e)(1), Mar. 9, 2006, 120 Stat. 215, 216, 255; Pub. L. 109–178, § 4(d), Mar. 9, 2006, 120 Stat. 280; Pub. L. 114–23, title V, §§ 501(b), 502(b), 503(b), June 2, 2015, 129 Stat. 282, 284, 290.)

cite as: 12 USC 3414

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