如果你不知道去哪里找，可能要花很长时间才能偶然发现美国.S. rule that limits arms brokering.
No such rule even existed until 1996, when Congress amended Section 38 of the Arms Export Control Act to require people involved in the brokering of U.S. 和班.S. defense equipment 和 technology to register with the government, 和 often obtain approval for their activities.
当时， a report from the House Committee on International Relations 声明:
“……在某些情况下，美国.S. 人s are involved in arms deals that are inconsistent with U.S. 政策. Certain of these transactions could fuel regional instability, lend support to terrorism or run counter to a U.S. 政策 decision not to sell arms to a specific country or area. U的扩展.S. 根据这一规定管制经纪活动的法律权力将有助于减少这种交易.”
该立法于次年实施，并增加了ITAR Part 129–登记 和 许可 of Brokers.
Arms brokering background
的 ITAR deals primarily with the movement of U.S. 从美国到世界其他地方的国防物品和设备, 甚至对itar管制的商品和技术在合法出口后的再出口和再转让进行控制.
But given the United States’ role as the world’s leading arms 出口er, 1996年以前的ITAR不包括可能影响美国经济的一些敏感的私营部门活动.S. 外交政策.
例如, 有人可以在美国任何地方的办公室工作，并收取费用，安排两个外国实体之间的武器销售——可能是爱沙尼亚的弹药卖家和伊拉克的买家. As long as the ammunition didn’t come from or enter the United States, 和 was not otherwise subject to the ITAR, there was nothing to give the U.S. State Department authority to review such a transaction or, 就此而言, the opportunity to even know it was taking place.
But when Part 129 was tacked onto the ITAR, 它给了国务院一个程序来监督与美国政府利益冲突的中介交易.S. 外交政策.
的 最初的规则 has been revised several times since 和 was 检修 in 2013 to the essential form in which it exists today.
Identifying a defense broker
Being an arms broker isn’t as exciting as Hollywood makes it out to be; it covers a range of activities, most of which are desk jobs.
注册为军火经纪人的十大网赌正规网址比个人多. But the rule is intentionally broad—和 that’s why it merits caution. 下面是分析的顺序，以了解谁受代理规则的约束以及如何驾驭它们.
你是谁: 第129部分适用于:
- 任何你.S. 人, 十大网赌正规网址, government unit or other entity, 世界上任何地方, that engages in brokering activity;
- 在美国从事中介活动的任何外国个人或实体;
- 任何在美国境外由美国十大网赌正规网址拥有或控制的外国个人或实体.S. 人 or entity 和 conducts brokering activity.
你做什么: 的 ITAR defines brokering as “any action on behalf of another to facilitate the manufacture, 出口, 永久进口, 转移, 再出口, 或重新转移美国银行.S. 或外国国防物品或国防服务，不论其来源.” (For the purpose of Part 129, the term “defense article or defense service” includes any hardware, technical data or services covered by the U.S. 弹药列表, regardless of its origin, as well as items designated on the U.S. 军需品进口清单.)
Brokering can involve, but isn’t limited to:
- 融资
- 保险
- 运输
- 货运代理
- 征求
- 促进
- 谈判
- 承包
- 安排
Brokering activities for items subject to the 耳朵 rather than the ITAR are excluded; so are strictly administrative services that arms brokers might use in the course of business, such as renting office space 和 buying advertising. 所以如果双方在酒店租一间会议室来敲定军火交易, the hotel itself isn’t considered a broker.
拟合排除: 对于经纪人的定义有一些有意义的细分，可以在ITAR中找到 129.2(b)(2). 它们包括:
- Activities involving strictly domestic sales or 转移s;
- Activities involving items subject to the 耳朵 rather than the ITAR;
- Working in an official capacity for the U.S. 政府;
- 为合法允许销售武器和其他受《十大网赌正规网址》管制的物品的附属十大网赌正规网址工作. For instance, if a foreign subsidiary of a U.S. 军火制造商代表其母十大网赌正规网址进行交易谈判, 这不被认为是经纪交易，尽管该交易仍需遵守ITAR的其他规定.
登记
If you fit the definition of a broker, 和 your brokering activities don’t all meet the carveouts, 那你就是经纪人了, which requires registering through the Defense Export Control 和 Compliance System (DECCS) portal 并支付费用. (目前收费从 每年2250美元, 和 increase based on licensing activity.) 的 requirements for brokers to renew their registration every year, 通知DDTC某些变化，并保持记录，一般与出口商相同.
Brokering activity approval
一旦注册, 经纪商和出口商都需要获得许可才能从事itar控制的活动. 的 permission comes in the form of either a license or an exemption.
经纪十大网赌正规网址在安排涉及非美国十大网赌正规网址的交易之前，必须事先获得批准.S. defense articles 和 services. That’s because such items aren’t typically subject to the ITAR, but they do have potential ramifications for U.S. 外交政策.
However, the requirement for prior approval for U.S.国防物品和国防服务的原产地并不适用于所有项目，只适用于某些项目. 例如, brokering of complete U.S.美国原产飞机、船只和坦克需要事先批准，而美国十大网赌正规网址则需要在美国进行贸易.S.原产地防御文章的组件一般不适合这些平台. 对于其他U.S.-origin items on the USML, 经纪人不需要事先获得批准就可以进行交易(可能是因为ITAR仍然要求出口商或再出口商在交易发生之前获得许可证).)
还有一个赌博十大排名官方网站:经纪规则也适用于美国市场上的商品.S. 军需品进口清单(参见相关文章: 永久v. Temporary 进口: Where ITAR Meets the ATF), 它与USML不同，属于酒精管理局的管辖范围, 烟草和火器. ITAR包含另一个机构的管制清单是罕见的. 的 reason is that many small arms are no longer on the USML, 所以这也允许国务院对这些枪支的中介保持管辖权.
许可证和豁免
经纪业务的预先批准有两种形式:许可或豁免.
有 两个许可证豁免 specifically for brokers:
- You’re brokering a transaction on behalf of the U.美国政府，在适当机构的具体合同授权下. 这样做的原因很直观:政府已经要求你做的事情，你不应该再要求政府批准.
- 如果你在美国.S., another 北约 country or a few other select allied nations, 和 you’re brokering arms exclusively among or between these countries, 在涉及外国国防物品或国防服务的大多数情况下，不需要事先获得中介许可. (但是，您仍然需要在年度报告中报告经纪活动. 这就是为什么保持记录纪律是成为经纪人的重要组成部分的一个例子.)
如果这两项豁免都不适用，则需要通过 Form DS-4294 on the DECCS portal.
报告
的 年度报告 这是所有注册经纪人的要求，通常与年度注册续期和费用一起提交. 所有活动都必须报告，无论是基于许可证还是豁免. Details of the report include everyone involved, the articles or services involved 和 all details of a deal.
的se brokering regulations are actively enforced. 2022年3月，美国总统奥巴马签署了一份协议.S. 一名市场营销高管因安排一名中国制造商和他的一名客户在USML和USMIL上制造和运输未指明的物品而被定罪并入狱. 根据 Justice Department press release on the criminal finding, he had never registered as a broker. 自2008年以来, Academi LLC(前身为黑水十大网赌正规网址)在两起涉及未经授权的经纪活动的案件中支付了近5000万美元的罚款, according to media reports.
2011年, BAE系统十大网赌正规网址同意支付7900万美元的民事罚款,591项违反《十大网赌正规网址》的行为与未经授权的美国商品经纪有关.S. defense articles 和 services, failure to register as a broker, failure to file annual broker reports, causing unauthorized brokering, 未申报与防务交易有关之费用或佣金之支付, 和 failure to maintain records involving ITAR-controlled transactions,” according to a State Department media release.
Do you have questions about arms brokering 和 the ITAR? 访问 www.learn出口compliance.com to learn about our company, our faculty, our staff 和 our esteemed 出口合规 Professional (ECoP®) certification program. 找到即将到来的 e-seminars, 现场赌博十大排名官方网站 在美国.S., Europe, 和 elsewhere, 和 生活在线赌博十大排名官方网站 和 browse our catalog of 80-plus on-dem和 webinars, 参观我们的ECTI学院. You can also call the 出口合规 Training Institute at 540-433-3977 了解更多信息.
斯科特Gearity is President of ECTI, Inc.