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Federal Register / Vol. 86, No. 233 / Wednesday, December 8, 2021 / Proposed Rules
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5 Lawfully admitted for permanent residence. The term lawfully admitted for permanent residence has the meaning given the term in section 101a of the Immigration and Nationality Act 8 U.S.C. 1101a.
6 Operating presence at a physical office within the United States. The term has an operating presence at a physical office within the United States means that an entity regularly conducts its business at a physical location in the United States that the entity owns or leases, that is not the place of residence of any individual, and that is physically distinct from the place of business of any other unaffiliated entity.
7 Pooled investment vehicle. The term pooled investment vehicle means:
i Any investment company, as defined in section 3a of the Investment Company Act of 1940 15 U.S.C. 80a 3a; or ii Any company that:
A Would be an investment company under that section but for the exclusion provided from that definition by paragraph 1 or 7 of section 3c of that Act 15 U.S.C. 80a3c; and B Is identified by its legal name by the applicable investment adviser in its Form ADV or successor form filed
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with the Securities and Exchange Commission.
8 Senior officer. The term senior officer means any individual holding the position or exercising the authority of a president, secretary, treasurer, chief financial officer, general counsel, chief executive officer, chief operating officer, or any other officer, regardless of official title, who performs a similar function.
9 State. The term State means any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam, the United States Virgin Islands, and any other commonwealth, territory, or possession of the United States.
10 United States person. The term United States person has the meaning given the term in section 7701a30 of the Internal Revenue Code of 1986.
g Reporting violations. 1 It shall be unlawful for any person to willfully provide, or attempt to provide, false or fraudulent beneficial ownership information, including a false or fraudulent identifying photograph or document, to FinCEN in accordance with this section, or to willfully fail to report complete or updated beneficial
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ownership information to FinCEN in accordance with this section.
2 For purposes of this paragraph g, the term person includes any individual, reporting company, or other entity.
3 For purposes of this paragraph g, the term beneficial ownership information includes any information provided to FinCEN under this section.
4 A person provides or attempts to provide beneficial ownership information to FinCEN if such person does so directly or indirectly, including by providing such information to another person for purposes of a report or application under this section.
5 A person fails to report complete or updated beneficial ownership information to FinCEN if such person directs or controls another person with respect to any such failure to report, or is in substantial control of a reporting company when it fails to report complete or updated beneficial ownership information to FinCEN.
Himamauli Das, Acting Director, Financial Crimes Enforcement Network.
FR Doc. 202126548 Filed 12721; 11:15 am BILLING CODE 481002P

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