Controlled Unclassified Information (CUI)

CUI Category: Bank Secrecy

Category Description: Information that is provided to the government pursuant to the Bank Secrecy Act, including but not limited to, suspicious activity reports (SAR), currency transaction reports (CTR), reports of international transportation of currency or monetary instruments (CMIR), reports of cash payment over $10,000 received in trade or business, and reports of foreign bank and financial accounts (FBAR). Reports filed under the Bank Secrecy Act (BSA), codified in relevant part at 31 U.S.C. § 5311 et seq, are specifically exempt from disclosure under the Freedom of Information Act, codified at 5 U.S.C. § 552, and also may not be disclosed under any State, local, tribal, or territorial “freedom of information,” “open government,” or similar law.  See 31 U.S.C. § 5319; 5 U.S.C. § 552(b)(3).  These reports (BSA Reports), are maintained in a system of records containing information compiled for law enforcement investigative purposes that has been exempted from the access provisions of the Privacy Act in accordance with 5 U.S.C. §§ 552a(j)(2) and (k)(2). BSA Reports may only be re-disseminated in strict accordance with guidelines established by the Financial Crimes Enforcement Network (FinCEN), the Treasury bureau that administers the BSA.  Suspicious Activity Reports, one of the types of required reports filed under the BSA, are required to be kept confidential in accordance with 31 U.S.C. § 5318(g)(2) and implementing regulations. To the extent information falling under the purview of the BSA is collected, accessed, or used for any Federal tax administration purpose, it is also subject to the confidentiality provisions of the Internal Revenue Code, codified at 26 U.S.C. § 6103.
Category Marking: FSEC
Banner Format and Marking Notes:
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Banner Format:

CUI//Category Marking//Limited Dissemination Control

 

Marking Notes:

  • Category Marking is optional when marking Basic CUI unless required by agency policy. Example: CUI//Limited Dissemination Control
  • Category Marking preceded by "SP-" is required when marking Specified CUI. Example: CUI//SP-Category Marking//Limited Dissemination Control
  • Whether CUI is Basic or Specified is determined by the applicable Safeguarding and/or Dissemination Authority for a given instance of CUI.
  • Separate multiple Category Markings by a single forward slash (/) and list Category Markings alphabetically. Example: CUI//Category Marking A/Category Marking B//Limited Dissemination Control
  • Category Markings for Specified CUI precede Category Markings for Basic CUI. Example: CUI//SP-Category Marking/Category Marking//Limited Dissemination Control
  • Separate multiple Limited Dissemination Controls by a single forward slash (/). Example: CUI//Category Marking//Limited Dissemination Control/Limited Dissemination Control
  • Reference 32 CFR 2002.20, CUI Marking Handbook, Limited Dissemination Controls and individual agency policy for additional and specific marking guidelines.

 

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Notes for Safeguarding, Dissemination and Sanction Authorities:

  • CUI Specified authorities include specific handling practices that differ from general CUI requirements. For Specified authorities, reference individual Safeguarding/Dissemination control citations for distinct requirements
  • Whether CUI is Basic or Specified is determined by the applicable Safeguarding and/or Dissemination Authority for that CUI.
  • Each "Safeguarding and/or Dissemination Authority" citation links to the statute, regulation or government-wide policy authorizing the control of that information as CUI.
  • Each "Sanctions" authority links to the statute, regulation or government-wide policy that includes penalties for CUI misuse of CUI for the associated "Safeguarding and/or Dissemination Authority" on the same line.
Safeguarding and/or Dissemination Authority Basic or
Specified
Sanctions
31 USC 5318(g)(2)(A)(ii) Specified 31 USC 5321 Civil Penalties
31 USC 5322 Criminal Penalties
31 USC 5318(f)
26 USC 7213
26 USC 7213A
26 USC 7431
31 USC 5319 Basic 31 USC 5321 Civil Penalties
31 USC 5322 Criminal Penalties
31 USC 5318(f)
26 USC 7213
26 USC 7213A
26 USC 7431
31 CFR 1010.950 Specified 31 USC 5321 Civil Penalties
31 USC 5322 Criminal Penalties
31 USC 5318(f)
26 USC 7213
26 USC 7213A
26 USC 7431
26 USC 6103 Specified 31 USC 5321 Civil Penalties
31 USC 5322 Criminal Penalties
31 USC 5318(f)
26 USC 7213
26 USC 7213A
26 USC 7431
FinCen BSA (Financial Crimes Enforcement Network Bank Secrecy Act) Specified 31 USC 5321 Civil Penalties
31 USC 5322 Criminal Penalties
31 USC 5318(f)
26 USC 7213
26 USC 7213A
26 USC 7431

 

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Authority links are updated based on regular re-publication of the United States Code and Code of Federal Regulations, and the CUI Registry maintenance schedule.

 

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