Investment Survey

Designation evidence

• NARA authority row: 22 USC 3104(c) | status: Basic | banner: CUI.
• NARA sanctions field: 22 USC 3104(e).
• DoD authority row: 22 USC 3104(c). DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
• Related authority evidence: 22 USC 3104(c) | status: Basic | banner: CUI | sanctions: 22 USC 3104(e)
• Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
• Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
• Registry designation for this category is Basic with banner CUI.

Extracted authority meaning

• Page 1149 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 3104
• Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.

Operating conditions

• NARA category scope used with this authority: Information reported to Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• DoD category scope used with this authority: Information reported to the Department of Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• 22 USC 3104(c) | status: Basic | banner: CUI | sanctions: 22 USC 3104(e)
• DoD lists this authority for the category; the linked authority text is extracted below when available.
• NARA registry status: Basic. Per-authority NARA status values: Basic. NARA banner marking evidence: CUI. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
• NARA category scope: Information reported to Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• DoD category scope: Information reported to the Department of Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• Extracted authority condition: L. 101–533, § 7(a), inserted at end ‘‘When a report under paragraph (2) is furnished under oath, such oath shall be by the officer of such person who is directly responsible for the maintenance and compilation of such information, and shall certify that the report was prepared in accordance with this chapter, is complete, and is to such officer’s best knowledge and belief, substantially accurate, except in a case in which, in accordance with rules and regula- tions issued under this chapter, estimates have been provided because data are not available from cus- tomary accounting records or precise data could not be obtained without undue burden, and the data subject to such estimates has been noted in the report.’’ Subsec.
• Extracted authority condition: (b) Recordkeeping and reports Rules or regulations issued pursuant to this chapter may require any person subject to the jurisdiction of the United States— (1) to maintain a complete record of any in- formation (including journals or other books of original entry, minute books, stock transfer records, lists of shareholders, or financial statements) which is essential to carrying out the surveys and studies to be conducted under this chapter; and (2) to furnish, under oath, any report con- taining information which is determined to be necessary to carry out the surveys and studies conducted under this chapter.
• Extracted authority condition: When a report under paragraph (2) is furnished under oath, such oath shall be by the officer of such person who is directly responsible for the maintenance and compilation of such informa- tion, and shall certify that the report was pre- pared in accordance with this chapter, is com- plete, and is to such officer’s best knowledge and belief, substantially accurate, except in a case in which, in accordance with rules and regula- tions issued under this chapter, estimates have been provided because data are not available from customary accounting records or precise data could not be obtained without undue bur- den, and the data subject to such estimates has been noted in the report.
• Extracted authority condition: No person can compel the submission or disclosure of any report or con- stituent part thereof collected pursuant to this chapter, or any copy of such report or constitu- ent part thereof, without the prior written con- sent of the person who maintained or furnished such report under subsection (b) and without prior written consent of the customer, where the person who maintained or furnished such report included information identifiable as being de- rived from the records of such customer.

Safeguarding and dissemination controls

• NARA registry control evidence: status Basic; banner marking CUI.
• DoD applicable policies: Hosted by Department of War Information Activity - WEB.mil, ![Image 2: Veterans Crisis Line number. Dial 988 then Press 1
• Nara basic or specified: Basic
• Nara authority rows: 22 USC 3104(c) | status: Basic | banner: CUI | sanctions: 22 USC 3104(e) || 31 CFR 128.3 | status: Basic | banner: CUI
• Nara banner markings: CUI
• Nara sanctions: 22 USC 3104(e)
• Dod applicable policies: Hosted by Department of War Information Activity - WEB.mil, ![Image 2: Veterans Crisis Line number. Dial 988 then Press 1
• No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
• Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
• Extracted authority control: (d) Access to Bureau of Economic Analysis infor- mation The Bureau of the Census of the Department of Commerce is authorized, for purposes of aug- menting and improving the quality of data col- lected by the Bureau of the Census, to have, upon written request, access to data relating to business enterprises that is collected directly by the Bureau of Economic Analysis for purposes of this chapter.
• Extracted authority control: When a report under paragraph (2) is furnished under oath, such oath shall be by the officer of such person who is directly responsible for the maintenance and compilation of such informa- tion, and shall certify that the report was pre- pared in accordance with this chapter, is com- plete, and is to such officer’s best knowledge and belief, substantially accurate, except in a case in which, in accordance with rules and regula- tions issued under this chapter, estimates have been provided because data are not available from customary accounting records or precise data could not be obtained without undue bur- den, and the data subject to such estimates has been noted in the report.
• Extracted authority control: (c) Access to information; limitation Access to information obtained under sub- section (b)(2) of this section shall be available only to officials or employees designated to per- form functions under this chapter, including consultants and persons working on contracts awarded pursuant to this chapter.
• Extracted authority control: No official or employee designated to perform functions under this chapter, including consult- ants and persons working on contracts awarded pursuant to this chapter, may publish or make available to any other person any information collected pursuant to subsection (b)(2) in a man- ner that the person who furnished the informa- tion can be specifically identified except as pro- vided in this section.
• Extracted authority control: The Bureau of Labor Statistics of the Department of Labor is authorized, for pur- poses of augmenting and improving the data col-
• Extracted authority control: (c) Criminal penalty for failure to submit infor- mation Whoever willfully fails to submit any informa- tion required under this chapter, whether re- quired to be furnished in the form of a report or otherwise, or willfully violates any rule, regula- tion, order, or instruction promulgated under this chapter, upon conviction, shall be fined not more than $10,000 and, if an individual, may be imprisoned for not more than one year, or both, and any officer, director, employee, or agent of any corporation who knowingly participates in such violation, upon conviction, may be pun- ished by a like fine, imprisonment, or both.
• Extracted authority control: (e) Penalty Any person who willfully violates subsection (c) or (d) shall, upon conviction, be fined not more than $10,000, in addition to any other pen- alty imposed by law.

Designation evidence

• NARA authority row: 31 CFR 128.3 | status: Basic | banner: CUI.
• DoD authority row: 31 CFR 128.3. DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
• Related authority evidence: 31 CFR 128.3 | status: Basic | banner: CUI
• Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
• Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
• Registry designation for this category is Basic with banner CUI.

Extracted authority meaning

• odic reports under subpart B or C of
• Registry designation context: Basic, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.

Operating conditions

• NARA category scope used with this authority: Information reported to Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• DoD category scope used with this authority: Information reported to the Department of Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• 31 CFR 128.3 | status: Basic | banner: CUI
• DoD lists this authority for the category; the linked authority text is extracted below when available.
• NARA registry status: Basic. Per-authority NARA status values: Basic. NARA banner marking evidence: CUI. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
• NARA category scope: Information reported to Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• DoD category scope: Information reported to the Department of Treasury, the Federal Reserve Board of Governors, or the Federal Reserve Banks as part of the Treasury International Capital (TIC) data reporting system.
• Extracted authority condition: (a) Except for use in violation and en- forcement proceedings pursuant to the International Investment and Trade in Services Survey Act, 22 U.S.C. 3101 et seq., information submitted by any in- dividual respondent on reports required under subpart B of this part may be used only for analytical and statistical purposes within the United States Gov- ernment and will not be disclosed pub- licly by the Department of the Treas- ury, or by any other Federal agency or Federal Reserve district bank having access to the information as provided herein.
• Extracted authority condition: All respondents required to file special sur- vey reports under subpart B or C of this part file such reports as provided in § 128.2(b) unless otherwise provided in the instructions to the special survey reports. § 128.3 Use of information reported.
• Extracted authority condition: (b) The information submitted by any individual respondent on reports required under subpart C of this part will not be disclosed publicly.
• Extracted authority condition: Except as provided in § 128.2(b)(3), nonbanking enterprises and other persons in the United States re- quired to file periodic reports under subpart B or C of this part shall file such reports with the Federal Reserve Bank of New York.
• Extracted authority condition: (c) Whoever fails to file a report re- quired by subpart C of this part shall be subject to a civil penalty of not more than $10,000. § 128.5 Recordkeeping requirements.

Safeguarding and dissemination controls

• NARA registry control evidence: status Basic; banner marking CUI.
• DoD applicable policies: Hosted by Department of War Information Activity - WEB.mil, ![Image 2: Veterans Crisis Line number. Dial 988 then Press 1
• Nara basic or specified: Basic
• Nara authority rows: 22 USC 3104(c) | status: Basic | banner: CUI | sanctions: 22 USC 3104(e) || 31 CFR 128.3 | status: Basic | banner: CUI
• Nara banner markings: CUI
• Nara sanctions: 22 USC 3104(e)
• Dod applicable policies: Hosted by Department of War Information Activity - WEB.mil, ![Image 2: Veterans Crisis Line number. Dial 988 then Press 1
• No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
• Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
• Extracted authority control: (a) Except for use in violation and en- forcement proceedings pursuant to the International Investment and Trade in Services Survey Act, 22 U.S.C. 3101 et seq., information submitted by any in- dividual respondent on reports required under subpart B of this part may be used only for analytical and statistical purposes within the United States Gov- ernment and will not be disclosed pub- licly by the Department of the Treas- ury, or by any other Federal agency or Federal Reserve district bank having access to the information as provided herein.
• Extracted authority control: Except as provided in § 128.2(b)(3), nonbanking enterprises and other persons in the United States re- quired to file periodic reports under subpart B or C of this part shall file such reports with the Federal Reserve Bank of New York.
• Extracted authority control: (b) The information submitted by any individual respondent on reports required under subpart C of this part will not be disclosed publicly.
• Extracted authority control: (a) Whoever fails to file a report re- quired by subpart B of this part shall be subject to a civil penalty of not less than $2,500 and not more than $25,000 (b) Whoever willfully fails to file a report required by subpart B of this part may be criminally prosecuted and upon conviction fined not more than $10,000 and, if an individual (including any officer, director, employee, or agent of any corporation who know- ingly participates in such violation), may be imprisoned for not more than one year, or both.

Designation evidence

• Related authority evidence: DoD lists this applicable policy for the category; the linked policy text is extracted below when available.
• HTTP 403
• Registry designation for this category is Basic with banner CUI.

Extracted authority meaning

• Hosted by Department of War Information Activity - WEB.mil authority text
• HTTP 403
• Authority text extraction status: http_error (HTTP 403).

Operating conditions

• DoD lists this applicable policy for the category; the linked policy text is extracted below when available.

Safeguarding and dissemination controls

None listed

Designation evidence

• Related authority evidence: DoD lists this applicable policy for the category; the linked policy text is extracted below when available.
• HTTP 403
• Registry designation for this category is Basic with banner CUI.

Extracted authority meaning

• ![Image 2: Veterans Crisis Line number. Dial 988 then Press 1 authority text
• HTTP 403
• Authority text extraction status: http_error (HTTP 403).

Operating conditions

• DoD lists this applicable policy for the category; the linked policy text is extracted below when available.

Safeguarding and dissemination controls

None listed