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Criminal Resource Manual
TITLE 9
CRIMINAL RESOURCE MANUAL
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Introduction -- General Restriction Upon Government Access
Financial Institutions Covered
Customers and Persons Covered
Records Covered
Certification of Compliance Requirement
Customer Authorization
Search Warrants
Definitions of Judicial Subpoena, Administrative Summons and Formal Written Request.
Customer Notice Requirements for Judicial Subpoenas, Administrative Process and Formal Written Requests
Venue for Customer Challenge Suits
Substance of Customer Notice
Timing of Access Following Customer Notice
Court Ordered Delay of Notice Procedure
Post-Delay Procedures
Customer Challenge Proceedings
Government Response to Customer Challenge
In Camera Review of Government Response
Appeals and Other Post-Challenge Matters
Rights and Duties of Financial Institutions
Interagency Transfers of Financial Records
Exceptions
Litigation Exception
Grand Jury Subpoena Exception
Procedure for Grand Jury Subpoena of Financial Records
Procedures for Handling Financial Records Subpoenaed by the Grand Jury
Prohibiting Banks from Notifying Customers of Grand Jury Subpoenas
Account Identification Information Exception
Foreign Intelligence and Secret Service Protective Function Exceptions
Emergency Access Exception
Exceptions Permitting Disclosures by Financial Institutions When the Institution Suspects Criminal Activity
Non-Target Exception
Bank Supervisory Agency Exception
General Accounting Office Exception
Internal Revenue Service Exception
Required Report Exception
Exception for Financial Records Pertinent to Federally Insured or Guaranteed Loans
Securities and Exchange Commission Exception
Reimbursement of Financial Institutions
Customer Civil Actions for Violations of the Act
Suppression as a Remedy
Reporting Requirements
Compliance Checklist
Forms
Right to Financial Privacy Act of 1978 -- Index of Forms
A: Certificate of Compliance with the Right to Financial Privacy Act of 1978 -- Form DOJ-461
B: Customer Consent and Authorization for Access to Financial Records -- Form DOJ-462
Customer Consent and Authorization for Access to Financial Records -- ATTACHMENT to Form DOJ-462
C: Formal Written Request for Financial Records -- Form DOJ-463
D: Customer Notice -- Form DOJ-464
E: Motion for Order Pursuant to Customer Challenge Provisions of the Right to Financial Privacy Act of 1978 -- Form DOJ-465
F: Sworn Statement of Movant -- Form DOJ-466
G: Application of the United States Department of Justice for an Ex Parte Order Pursuant to Section 1109 of the Right to Financial Privacy Act of 1978 -- Form DOJ-467
H: Order -- Form DOJ-468
I: Form DOJ-469 -- Post-Notice of Search Warrant
J: Post-Notice of Search Warrant After Court-Ordered Delay -- Form DOJ-470
K: Post-Notice Following Court-Ordered -- Form DOJ-471
L: Post-Notice Following Emergency Access -- Form DOJ-472
M: Notice That No Legal Proceedings Are Contemplated -- Form DOJ-473
N: Certification for Transferring Records Obtained Pursuant to the Right to Financial Privacy Act of 1978 -- Form DOJ-474
O: Formal Written Request for Account Information and Certificate of Compliance With the -- Form DOJ-475
P: Notice of Transfer of Financial Records -- Form DOJ-476
Motion for Order Prohibiting Notification of Service of Grand Jury Subpoenas Duces Tecum -- Form Q-1
Memorandum in Support of Motion for an Order Prohibiting Notification of the Service of Grand Jury Subpoena -- Form Q-2
Affidavit -- Form Q-3
Order -- Form Q-4
Notice -- Form R
DOJ Order 2110.40 -- Form S
12 U.S.C. § 3401 -- Definitions
12 U.S.C. § 3402 -- Access to financial records by Government authorities prohibited; exceptions
12 U.S.C § 3403 -- Confidentiality of financial records
12 U.S.C. § 3404 -- Customer authorizations
12 U.S.C. § 3405 -- Administrative subpena and summons
12 U.S.C. § 3406 -- Search warrants
12 U.S.C. § 3407 -- Judicial subpoena
12 U.S.C. § 3408 -- Formal written request
12 U.S.C. § 3409 -- Delayed notice
12 U.S.C. § 3410 -- Customer challenges
12 U.S.C. § 3411 -- Duty of financial institutions
12 U.S.C. § 3412 -- Use of information
12 U.S.C. § 3413 -- Exceptions
12 U.S.C. § 3414 -- Special procedures
12 U.S.C. § 3415 -- Cost reimbursement
12 U.S.C. § 3416 -- Jurisdiction
12 U.S.C. § 3417 -- Civil penalties
12 U.S.C. § 3418 -- Injunctive relief
12 U.S.C. § 3419 -- Suspension of limitations
12 U.S.C. § 3420 -- Grand jury information; notification of certain persons prohibited
12 U.S.C. § 3422 -- Applicability to Securities and Exchange Commission
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