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CRM 401-499

1-99 | 101 | 201 | 301 | 401 | 501 | 601 | 701 | 801 | 901 |
1001 | 1101 | 1201 | 1301 | 1401 | 1501 | 1601 | 1701 | 1801 | 1901 |
2001 | 2101 | 2201 | 2301 | 2401
  cited in
400 Treatise on the Right to Financial Privacy Act 9-13.800
401. Introduction——General Restriction Upon Government Access  
402. Financial Institutions Covered  
403. Customers and Persons Covered  
404. Records Covered  
405. Certification of Compliance Requirement  
406. Customer Authorization  
407. Search Warrants  
408. Definitions of Judicial Subpoena, Administrative Summons and Formal Written Request.  
409. Customer Notice Requirements for Judicial Subpoenas, Administrative Process and Formal Written Requests  
410. Venue for Customer Challenge Suits  
411. Substance of Customer Notice  
412. Timing of Access Following Customer Notice  
413. Court Ordered Delay of Notice Procedure  
414. Post-Delay Procedures  
415. Customer Challenge Proceedings  
416. Government Response to Customer Challenge  
417. In Camera Review of Government Response  
418. Appeals and Other Post-Challenge Matters  
419. Rights and Duties of Financial Institutions  
420. Interagency Transfers of Financial Records  
421. Exceptions  
422. Litigation Exception  
423. Grand Jury Subpoena Exception  
424. Procedure for Grand Jury Subpoena of Financial Records  
425. Procedures for Handling Financial Records Subpoenaed by the Grand Jury  
426. Prohibiting Banks from Notifying Customers of Grand Jury Subpoenas  
427. Account Identification Information Exception  
428. Foreign Intelligence and Secret Service Protective Function Exceptions  
429. Emergency Access Exception  
430. Exceptions Permitting Disclosures by Financial Institutions When the Institution Suspects Criminal Activity  
431. Non-Target Exception  
432. Bank Supervisory Agency Exception  
433. General Accounting Office Exception  
434. Internal Revenue Service Exception  
435. Required Report Exception  
436. Exception for Financial Records Pertinent to Federally Insured or Guaranteed Loans  
437. Securities and Exchange Commission Exception  
438. Reimbursement of Financial Institutions  
439. Customer Civil Actions for Violations of the Act  
440. Suppression as a Remedy  
441. Reporting Requirements  
442. Compliance Checklist  
443. Forms  
444. Right to Financial Privacy Act of 1978——Index of Forms  
445. A: Certificate of Compliance with the Right to Financial Privacy Act of 1978——Form DOJ-461  
446. B: Customer Consent and Authorization for Access to Financial Records——Form DOJ-462  
447. Customer Consent and Authorization for Access to Financial Records——ATTACHMENT to Form DOJ-462  
448. C: Formal Written Request for Financial Records -- Form DOJ-463  
449. D: Customer Notice——Form DOJ-464  
450. E: Motion for Order Pursuant to Customer Challenge Provisions of the Right to Financial Privacy Act of 1978——Form DOJ-465  
451. F: Sworn Statement of Movant——Form DOJ-466  
452. 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  
453. H: Order——Form DOJ-468  
454. I: Form DOJ-469 —Post-Notice of Search Warrant  
455. J: Post-Notice of Search Warrant After Court-Ordered Delay -- Form DOJ-470  
456. K: Post-Notice Following Court-Ordered——Form DOJ-471  
457. L: Post-Notice Following Emergency Access——Form DOJ-472  
458. M: Notice That No Legal Proceedings Are Contemplated -- Form DOJ-473  
459. N: Certification for Transferring Records Obtained Pursuant to the Right to Financial Privacy Act of 1978——Form DOJ-474  
460. O: Formal Written Request for Account Information and Certificate of Compliance With the——Form DOJ-475  
461. P: Notice of Transfer of Financial Records——Form DOJ-476  
462. Motion for Order Prohibiting Notification of Service of Grand Jury Subpoenas Duces Tecum——Form Q-1  
463. Memorandum in Support of Motion for an Order Prohibiting Notification of the Service of Grand Jury Subpoena——Form Q-2  
464. Affidavit——Form Q-3  
465. Order——Form Q-4  
466. Notice——Form R  
467. DOJ Order 2110.40——Form S  
468. 12 U.S.C. § 3401——Definitions  
469. 12 U.S.C. § 3402——Access to financial records by Government authorities prohibited; exceptions  
470. 12 U.S.C § 3403——Confidentiality of financial records  
471. 12 U.S.C. § 3404——Customer authorizations  
472. 12 U.S.C. § 3405——Administrative subpena and summons  
473. 12 U.S.C. § 3406——Search warrants  
474. 12 U.S.C. § 3407——Judicial subpoena  
475. 12 U.S.C. § 3408——Formal written request  
476. 12 U.S.C. § 3409——Delayed notice  
477. 12 U.S.C. § 3410——Customer challenges  
478. 12 U.S.C. § 3411——Duty of financial institutions  
479. 12 U.S.C. § 3412——Use of information  
480. 12 U.S.C. § 3413——Exceptions  
481. 12 U.S.C. § 3414——Special procedures  
482. 12 U.S.C. § 3415——Cost reimbursement  
483. 12 U.S.C. § 3416——Jurisdiction  
484. 12 U.S.C. § 3417——Civil penalties  
485. 12 U.S.C. § 3418——Injunctive relief  
486. 12 U.S.C. § 3419—Suspension of limitations  
487. 12 U.S.C. § 3420——Grand jury information; notification of certain persons prohibited  
488. 12 U.S.C. § 3422——Applicability to Securities and Exchange Commission  
Updated June 24, 2015