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Federal Register / Vol. 86, No. 233 / Wednesday, December 8, 2021 / Proposed Rules entity, the entity shall report information with respect to the individual who has the greatest authority over the strategic management of the entity.
iv Deceased company applicant. If a reporting company was created or registered before effective date of the final rule, and any company applicant died before one year after effective date of the final rule, the report shall include that fact, as well as any information required under paragraph b1 of this section of which the reporting company has actual knowledge with respect to such company applicant.
4 Contents of updated or corrected report. If any required information in an initial report is inaccurate or there is a change with respect to any such required information, an updated or corrected report shall include all information necessary to make the report accurate and complete at the time it is filed with FinCEN. If a reporting company meets the criteria for any exemption under paragraph c2 of this section subsequent to the filing of an initial report, its updated report shall include a notification that the entity is no longer a reporting company.
5 FinCEN identifieri Application for FinCEN identifier. A An individual may obtain a FinCEN identifier by submitting to FinCEN an application containing the information about themselves required under paragraph b1 of this section.
B A reporting company may obtain a FinCEN identifier by submitting to FinCEN an application at or after the time that the entity submits an initial report required under paragraph b1
of this section.
C Each FinCEN identifier shall be specific to each such individual or reporting company, and each such individual or reporting company may obtain only one FinCEN identifier.
ii Use of FinCEN identifier. A If an individual has obtained a FinCEN
identifier and provided such FinCEN
identifier to a reporting company, the reporting company may include such FinCEN identifier in its report in lieu of the information required under paragraph b1 of this section with respect to such individual.
B If a reporting company has obtained a FinCEN identifier, the reporting company may include such FinCEN identifier in a report in lieu of the information required under paragraph b1 of this section with respect to such reporting company.
C If an individual is or may be a beneficial owner of a reporting company by an interest held by the individual in
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an entity that, directly or indirectly, holds an interest in the reporting company, and if such intermediary entity has obtained a FinCEN identifier and provided the entitys FinCEN
identifier to the reporting company, then the reporting company may include such entitys FinCEN identifier in its report in lieu of the information required under paragraph b1 of this section with respect to such individual.
D Any individual or entity that obtains a FinCEN identifier shall file an updated or corrected report to update or correct any information previously submitted to FinCEN in an application for a FinCEN identifier. Such updated or corrected report shall be filed at the same time and in the same manner as updated or corrected reports filed under paragraph a of this section.
c Reporting company1
Definitions. For purposes of this section, the term reporting company means either a domestic reporting company or a foreign reporting company.
i The term domestic reporting company means any entity that is:
A A corporation;
B Limited liability company; or C Other entity that is created by the filing of a document with a secretary of state or any similar office under the law of a State or Indian tribe.
ii The term foreign reporting company means any entity that is:
A A corporation, limited liability company, or other entity;
B Formed under the law of a foreign country; and C Registered to do business in any State or tribal jurisdiction by the filing of a document with a secretary of state or any similar office under the law of a State or Indian tribe.
2 Exemptions. Notwithstanding paragraph c1 of this section, the term reporting company does not include:
i SEC reporting issuer. Any issuer of securities that is:
A An issuer of a class of securities registered under section 12 of the Securities Exchange Act of 1934 15
U.S.C. 78l; or B Required to file supplementary and periodic information under section 15d of the Securities Exchange Act of 1934 15 U.S.C. 78od.
ii Governmental authority. Any entity that:
A Is established under the laws of the United States, an Indian tribe, a State, or a political subdivision of a State, or under an interstate compact between two or more States; and B Exercises governmental authority on behalf of the United States or any such Indian tribe, State, or political subdivision.

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iii Bank. Any bank, as defined in:
A Section 3 of the Federal Deposit Insurance Act 12 U.S.C. 1813;
B Section 2a of the Investment Company Act of 1940 15 U.S.C. 80a 2a; or C Section 202a of the Investment Advisers Act of 1940 15 U.S.C. 80b 2a.
iv Credit union. Any Federal credit union or State credit union, as those terms are defined in section 101 of the Federal Credit Union Act 12 U.S.C.
1752.
v Depository institution holding company. Any bank holding company as defined in section 2 of the Bank Holding Company Act of 1956 12
U.S.C. 1841, or any savings and loan holding company as defined in section 10a of the Home Owners Loan Act 12
U.S.C. 1467aa.
vi Money transmitting business. Any money transmitting business registered with FinCEN under 31 U.S.C. 5330 and 31 CFR 1022.380.
vii Broker or dealer in securities.
Any broker or dealer, as those terms are defined in section 3 of the Securities Exchange Act of 1934 15 U.S.C. 78c, that is registered under section 15 of that Act 15 U.S.C. 78o.
viii Securities exchange or clearing agency. Any exchange or clearing agency, as those terms are defined in section 3 of the Securities Exchange Act of 1934 15 U.S.C. 78c, that is registered under section 6 or 17A of that Act 15
U.S.C. 78f, 78q1.
ix Other Exchange Act registered entity. Any other entity not described in paragraph c2i, vii, or viii of this section that is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 15 U.S.C. 78a et seq..
x Investment company or investment adviser. Any entity that is:
A An investment company as defined in section 3 of the Investment Company Act of 1940 15 U.S.C. 80a3, or is an investment adviser as defined in section 202 of the Investment Advisers Act of 1940 15 U.S.C. 80b2;
and B Registered with the Securities and Exchange Commission under the Investment Company Act of 1940 15
U.S.C. 80a1 et seq. or the Investment Advisers Act of 1940 15 U.S.C. 80b-1 et seq..
xi Venture capital fund adviser. Any investment adviser that:
A Is described in section 203l of the Investment Advisers Act of 1940 15
U.S.C. 80b3l; and B Has filed Item 10, Schedule A, and Schedule B of Part 1A of Form ADV, or
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