The Federal Election Commission (hereafter FEC) often receives questions about the rules governing foreign nationals’ participation in U.S. elections. While this article responds to some of the most common questions, it does not cover all aspects of foreign national activity. Readers should consult the Federal Election Campaign Act (the Act) and Commission regulations, advisory opinions, and relevant case law for additional information. For questions involving proposed activity for which there may not be clear guidance, you may consider requesting your own advisory opinion (AO) from the Commission. Please note, however, that the Commission’s jurisdiction is limited to provisions of the Act and does not include other laws that may also apply to foreign national activity.

联邦选举委员会（以下简称"FEC"或本委员会）经常收到询问有关外国人参与美国选举的规则问题。尽管本文回答了一些最常见的问题，但并未涵盖涉及外国人活动的所有方面。读者应查阅《联邦选举法案》（法案）和本委员会制定的相关法规，咨询意见以及相关的判例法以获取更多信息。对于涉及拟议活动可能没有明确指导意见的问题，您可以考虑向本委员会提交个人的咨询意见（AO）。但是请注意，本委员会的管辖范围仅限于法案的规定内容，并不包括可能同样适用地其他的外国人活动法律。

The Act and Commission regulations include a broad prohibition on foreign national activity in connection with elections in the United States. 52 U.S.C. § 30121 and generally, 11 CFR 110.20. In general, foreign nationals are prohibited from the following activities:

法案和本委员会法规包括广泛禁止外国人活动参与到美国选举当中。主要由 《美国法典》§30121条，《美国联邦法规》第11 章第110.20条规定。通常，禁止外国人从事以下活动：

• Making any contribution or donation of money or other thing of value, or making any expenditure, independent expenditure, or disbursement in connection with any federal, state or local election in the United States;- 向任何联邦，州或地方各层级选举提供的任何金钱或其他有价值物的捐款或捐赠，或任何支出，独立支出或变相支付；- Making any contribution or donation to any committee or organization of any national, state, district, or local political party (including donations to a party nonfederal account or office building account);- 向任何联邦，州，地区或地方政党的任何委员会或组织提供任何捐款或捐赠（包括对党派非联邦账户或办公大楼账户的捐赠）；- Making any disbursement for an electioneering communication;- 向某个竞选传播通讯支付；- Making any donation to a presidential inaugural committee.- 向某总统就职委员会捐款。

Persons who knowingly and willfully engage in these activities may be subject to an FEC enforcement action, criminal prosecution, or both.

故意和主动从事上述这些活动的人可能会受到FEC强制措施，刑事起诉或两者兼而有之。

Definition

定义

The following groups and individuals are considered “foreign nationals” and are subject to the prohibition:

以下群体和个人被视为"外国人"，并受到禁止：

• Foreign citizens (not including dual citizens of the United States);
• 外国国籍公民（不包括具有双重国籍的美国公民）；
• Immigrants who are not lawfully admitted for permanent residence;
• 不具备永久居留权的非合法移民；
• Foreign governments;
• 外国政府；
• Foreign political parties;
• 外国政党；
• Foreign corporations;
• 外国公司；
• Foreign associations;
• 外国协会组织；
• Foreign partnerships; and
• 外国合伙机构；以及
• Any other foreign principal, as defined at 22 U.S.C. § 611(b), which includes a foreign organization or “other combination of persons organized under the laws of or having its principal place of business in a foreign country.”
• 根据《美国法典》第22卷§611（b）条，所定义的任何其他外国组织，其中包括外国组织或"其他根据外国法律设立或主要营业地点位于国外的人员组合"。

Individuals: The “green card” exception

个人：“绿卡"例外

The Act does not prohibit individuals with permanent resident status (commonly referred to as “green card holders”) from making contributions or donations in connection with federal, state or local elections, as they are not considered foreign nationals.

法案不禁止具有永久居民身份的个人（通常称为"绿卡持有人”）向联邦，州或地方选举提供捐款或捐赠，因为他们不被视为外国人。

Participation by foreign nationals in decisions involving election-related activities

外国人参与和选举决策相关的活动

Commission regulations prohibit foreign nationals from directing, dictating, controlling, or directly or indirectly participating in the decision-making process of any person (such as a corporation, labor organization, political committee, or political organization) with regard to any election-related activities. Such activities include, the making of contributions, donations, expenditures, or disbursements in connection with any federal or nonfederal elections in the United States, or decisions concerning the administration of any political committee. Foreign nationals are also prohibited from involvement in the management of a political committee, including any separate segregated fund (SSF), nonconnected committee, or the nonfederal accounts of any of these committees. See Explanation and Justification for 11 CFR 110.20 at 67 FR 69946 (November 19, 2002) [PDF].

本委员会法规禁止外国人参与任何与选举有关的活动指导，指示，控制或直接或间接参与任何人（例如公司，劳工组织，政治委员会或政治组织）的决策过程。此类活动包括与美国任何联邦或非联邦选举有关的捐款，捐赠，支出或支付，或有关任何政治委员会的行政管理的决定。还禁止外国人参与政治委员会的管理，包括任何单独的独立基金（SSF），非关联委员会或这些委员会中任何一个的非联邦帐户。请参见11 CFR 110.20条款的解释和理由，联邦电子查询编号67 FR 69946（2002年11月19日发布）。

The Commission has pursued a number of enforcement actions related to this prohibition. For example, in Matter Under Review (MUR) 3460, the Commission reached a conciliation agreement with a U.S. subsidiary of a foreign corporation and four of its foreign national directors. The directors, along with one director who was not a foreign national, passed a resolution authorizing a “contribution committee” to make political and charitable donations from a special account, and capitalizing the committee with $50,000 in corporate funds. The one director who was not a foreign national was appointed as the sole member of the committee. The contribution committee subsequently made contributions to state and local candidates. The foreign nationals’ involvement in the decision to establish and fund the “contribution committee” meant that its subsequent contributions violated the ban on foreign nationals participating directly or indirectly in the making of contributions and donations in connection with elections. The corporation and the foreign national directors paid a civil penalty.

本委员会已采取了与该禁令有关的许多强制措施。例如，在"正在审查的问题"（MUR）3460号中，本委员会与一家外国公司在美国的子公司及其四名外国人董事达成了调解协议。上述这些董事，其中一位并非外国人，通过了一项决议，授权"捐款委员会"从特别账户中进行政治和慈善捐赠，并以5万美元的公司资金为这个委员会提供资本。这位非外国人的董事被任命为捐款委员会的唯一成员。捐款委员会随后向州和地方候选人捐款。外国人参与建立"捐款委员会"并为其提供资金的决定意味着，其随后的捐款违反了禁止外国人直接或间接参与和选举有关的捐款和捐赠的禁令。这家公司及其外国人董事受到民事罚款。

Volunteer activity

志愿者活动

Generally, an individual (including a foreign national) may volunteer personal services to a federal candidate or federal political committee without making a contribution. The Act provides this volunteer “exemption” as long as the individual performing the service is not compensated by anyone. The Commission has addressed applicability of this exemption to several situations involving volunteer activity by a foreign national, as explained below.

通常情况下，个人（包括外国人）可以在无任何捐款的前提下，自愿向某个联邦候选人或某联邦政治委员会提供个人服务。法案规定了对志愿者的"豁免"，只要执行服务的个人没有受到任何人的经济补偿即可。本委员会已经说明了这种豁免在某些情况下适用于涉及外国人志愿活动的情况，如下所述。

In AO 2014-20 (Make Your Laws PAC), the Commission concluded that a political action committee could accept assistance from a foreign national in developing intellectual property for the PAC, such as trademarks, graphics, and website design because the services accepted by the PAC would fall under the volunteer exemption. Similarly, in AO 2004-26 (Weller), the Commission held that a foreign national could attend, speak at campaign events for a federal candidate, and solicit contributions to the campaign. However, the Commission cautioned that the foreign national could not manage or participate in any of the campaign committee’s decision-making processes. See also AOs 2007-22 (Hurysz) and 1987-25 (Otaola).

在AO 2014-20（Make Your Laws PAC）中，本委员会得出结论认为，政治行动委员会可以接受外国人在为PAC开发知识产权（例如商标，图形和网站设计）方面的帮助，因为这些PAC所接受的服务属于志愿者豁免。同样，在AO 2004-26（Weller）中，本委员会认为，外国人可以在联邦候选人竞选的活动出席并发言，为竞选活动募集捐款。但是，委员会警示，外国人不能管理或参与竞选委员会的任何决策过程。另见AOs 2007-22（Hurysz）和1987-25（Otaola）。

In MUR 5987, the Commission examined a situation in which a foreign national provided an uncompensated musical concert performance as a volunteer for a federal candidate’s campaign as part of a fundraising event. The candidate’s campaign had paid all of the costs of hosting the concert, including the rental of the venue and equipment and providing security. The performer had merely provided his uncompensated volunteer services to the campaign and had not participated in any of the campaign’s decision-making. Based on these facts, the Commission found no reason to believe that the foreign national or the federal candidate’s committee had violated the Act’s foreign national prohibition.

在MUR 5987中，委员会审查了一种情况，在该情况下，作为募捐活动的一部分，外国人作为联邦候选人竞选活动的志愿者提供了无偿的音乐演奏。候选人的竞选活动已经支付了举办音乐会的所有费用，包括场地和设备的租赁以及提供安全保障等。表演者只是向竞选活动提供了他的无偿志愿服务，而没有参加竞选活动的任何决策。基于这些事实，委员会发现没有理由相信外国人或联邦候选人委员会违反了法案对外国人的禁令。

Non-election activity by foreign nationals

外国人参与非竞选活动

Despite the general prohibition on foreign national contributions and donations, foreign nationals may lawfully engage in political activity that is not connected with any election to political office at the federal, state, or local levels. The Commission has issued advisory opinions that help to define the parameters of that activity.

尽管普遍禁止外国人捐款和捐赠，但外国人可以合法地参与跟联邦，州或地方各级政治机构的选举无关的政治活动。委员会发表了此方面的咨询意见，以助于确定此类活动的界限。

In AO 1989-32 (McCarthy), the Commission concluded that a foreign national could not contribute to a ballot measure committee that had coordinated its efforts with a nonfederal candidate’s re-election campaign. Also, in AO 1984-41 (National Conservative Foundation), the Commission allowed a foreign national to underwrite the broadcast of apolitical ads that attempted to expose the alleged political bias of the media. The Commission found that these ads were permissible because they were not “election influencing” in that they did not mention candidates, political offices, political parties, incumbent federal officeholders or any past or future election.

在AO 1989-32（McCarthy）中，委员会得出结论，外国人不可以向与非联邦候选人的连任竞选相关的投票提案委员会捐款。此外，在AO 1984-41（国家保守基金会）中，委员会允许外国人承销非政治性广告的播出，这些广告企图揭露所谓的媒体政治偏见。委员会发现这些广告是被允许的，因为它们没有"影响选举"-它们没有提及候选人，政治机构，政党，现任联邦公职人员或任何过去或将来的选举。

In a decision that was later affirmed by the Supreme Court, the U.S. District Court for the District of Columbia ruled that the foreign national ban “does not restrain foreign nationals from speaking out about issues or spending money to advocate their views about issues. It restrains them only from a certain form of expressive activity closely tied to the voting process-providing money for a candidate or political party or spending money in order to expressly advocate for or against the election of a candidate.” Bluman v. FEC, 800 F. Supp. 2d 281, 290 (D.D.C. 2011), aff’d 132 S. Ct. 1087 (2012).

在联邦最高法院后来确认的一项决定中，美国哥伦比亚特区地方联邦法院裁定，外国人禁令"不限制外国人大声疾呼或花钱宣传他们对政治问题的看法。它只限制他们从事与投票程序密切相关的某种形式的表达活动，即为候选人或政党提供资金或为明示地支持或反对候选人的选举提供资金。" Bluman诉FEC，案卷：800F。 2d 281，290（D.D.C. 2011），ff d 132 S. Ct，1087（2012）。

Providing assistance with foreign national election activity

向外国人选举提供帮助

Under Commission regulations, it is unlawful to knowingly provide “substantial assistance” to foreign nationals making contributions or donations in connection with any U.S. election. Further, no person may provide substantial assistance in the making of any expenditure, independent expenditure, or disbursement by a foreign national. “Substantial assistance” refers to active involvement in the solicitation, making, receipt or acceptance of a foreign national contribution or donation with the intent of facilitating the successful completion of the transaction. This prohibition includes, but is not limited to individuals who act as conduits or intermediaries. See Explanation and Justification for 11 CFR 110.20 at 67 FR 69945-46 (November 19, 2002).

根据委员会规定，明知向美国大选提供捐款或捐赠的外国人做出"实质性协助"是非法的。此外，任何人都不得在外国人进行任何支出，独立支出或支出时提供实质性帮助。 “实质性协助"是指积极参与对外国人的捐赠或捐赠的募集，作出，接受或接收，其目的是促进交易的成功完成。该禁止包括但不限于充当渠道或中介的个人。请参阅67 FR 69945-46（2002年11月19日）的11 CFR 110.20的解释和理由。

Soliciting, accepting, or receiving contributions and donations from foreign nationals

招募招揽，主动接受或被动接收外国人捐款和捐赠

The Act prohibits knowingly soliciting, accepting or receiving contributions or donations from foreign nationals. In this context, “knowingly” means that a person:

法案禁止在明知的情况下招募招揽，主动接受或被动接收外国人的捐款或捐赠。在这种情况下，“明知"是指一个人：

• Has actual knowledge that the funds solicited, accepted, or received are from a foreign national;- 知道实际情况，招募招揽，主动接受或被动接收的资金来自外国人；

• Is aware of facts that would lead a reasonable person to believe that the funds solicited, accepted, or received are likely to be from a foreign national; or- 知道能让任何正常人确定，所招募招揽，主动接受或被动接收的资金可能来自外国人的事实；或- Is aware of facts that would lead a reasonable person to inquire whether the source of the funds solicited, accepted or received is a foreign national.- 知道会导致如何正常人质疑，所招募招揽，主动接受或被动接收资金来源是外国人的事实。

Pertinent facts that should cause the recipient of a contribution or donation to question whether it was given by a foreign national include, but are not limited to the following: a donor or contributor uses a foreign passport, provides a foreign address, makes a contribution from a foreign bank, or resides abroad. Commission regulations provide for a safe harbor: obtaining a copy of a current and valid U.S. passport would satisfy the duty to inquire whether the funds solicited, accepted, or received are from a foreign national.

可能使捐款或捐赠的接受者质疑是否是外国人所为的有关事实，包括但不限于以下情况：捐赠者或捐赠者使用外国护照，提供外国地址，从外国银行捐款，或居住在国外。本委员会的法规也规定了"安全港”（译者加注，英美法法律术语，即例外情况）：只要获得有效的美国护照副本，将满足这一责任，即问询所招募，接受或接收的资金是否来自外国人。

In AO 2016-10 (Parker), the Commission determined that a U.S. citizen living abroad could solicit contributions on behalf of federal candidates and committees from other U.S. citizens residing abroad. She was required to ascertain the citizenship of the individuals whom she might solicit if she were aware of facts that would lead a reasonable person to inquire or believe that those individuals were foreign nationals. However, the Commission advised the requestor, “Limiting your solicitations to friends and family who live in the U.S. and who have not, to your knowledge, lived abroad, would not obligate you to conduct further inquiry about citizenship status due to the residence of the individuals whom you solicit.” If, however, she were to obtain a copy of a valid U.S. passport, she would be covered by the safe harbor provision noted above.

在AO 2016-10（Parker）中，委员会确定居住在国外的美国公民可以代表联邦候选人及其委员会向同样居住在国外的其他美国公民募集捐款。如果她知道有会导致正常人置疑或认为这些人是外国人的事实，那么她就被要求确认可能募集对象的公民身份。但是，委员会建议问询者：“将您的招募仅限于居住在美国的，且据您所知没有居住在国外的亲朋好友；由于招募对象的居住地，您没有义务进一步询问其公民身份。” 但是，如果她拥有有效的美国护照副本，则将受到上述安全港条款的保护。

In MUR 4834, an individual admitted knowingly and willfully soliciting a contribution from a foreign national and causing a foreign contribution to be made falsely in the name of a U.S. citizen. The individual also admitted that at the time of the solicitation, he knew that the person he was soliciting was a foreign national and that contributions from foreign nationals were prohibited. The Commission entered into a conciliation agreement with the individual, and he agreed to pay a civil penalty.

在MUR 4834中，某人故意并有意地招揽外国人，并错误地以美国公民的名义造成了外国捐款。此人还承认，在招揽时，他知道所招揽的人是外国人，且外国人捐款是被禁止的这一规定。因此委员会与此人达成了和解协议，他同意支付民事罚款。

In MUR 4638, the Commission found reason to believe that a law firm had violated the Act by knowingly solicited and provided “substantial assistance” to a foreign national making donations. Individuals at the firm participated in conversations with a known foreign national and his agents that resulted in his making donations to state and local candidates. As a result of the Commission’s finding, the firm entered into a conciliation agreement with the Commission and agreed to pay a civil penalty.

在MUR 4638中，委员会找到了理由，认为一家律师事务所故意招揽外国人并向其提供了"实质性协助”，从而违反了法案。律所的成员参与了和一位知名外国人及其代理人的沟通，从而使他向州和当地候选人捐款。根据委员会的调查结果，该律所与委员会达成了和解协议，并同意支付民事罚款。

Monitoring prohibited contributions

监管违禁捐款

When a federal political committee (a committee active in federal elections) receives a contribution it believes may be from a foreign national, it must:

当某个联邦政治委员会（即参与联邦选举的某委员会）收到其认为可能来自外国人的捐款时，必须：

• Return the contribution to the donor without depositing it; or- 不存入，将捐款交还给捐助者；或者- Deposit the contribution and take steps to determine its legality, as described below.- 存入捐款，并采取措施确定其合法性，下文将详述。

Either action must be taken within 10 days of the treasurer’s receipt.

上述任一选择必须在收到财务收据后的10天内采取行动。

If the committee decides to deposit the contribution, the treasurer must make sure that the funds are not spent because they may have to be refunded. Additionally, he or she must maintain a written record explaining why the contribution may be prohibited. The legality of the contribution must be confirmed within 30 days of the treasurer’s receipt, or the committee must issue a refund.

如果该委员会决定将捐款存入银行，则财务主管必须确保资金不被使用，因为可能必须将其退还。此外，他（她）必须保存相关书面记录，以用于解释此捐款为何被禁止。捐款的合法性必须在收到财务收据的30天内得以确认，否则该委员会必须退款。

Evidence of legality may include a written statement from the contributor explaining why the contribution is legal (e.g., donor has a green card or provides a copy of his or her valid U.S. passport), or an oral explanation that is recorded in memorandum.

合法性的证据可以包括捐赠者的书面陈述，以解释此捐款为何是合法的（例如，捐款者持有绿卡或提供其有效的美国护照副本），或记录在备忘录中的口头解释。

If the committee deposits a contribution that appears to be legal, but later discovers that the deposited contribution is from a foreign national, it must refund the contribution within 30 days of making the discovery. If a committee lacks sufficient funds to make a refund when a prohibited contribution is discovered, it must use the next funds it receives.

如果委员会存入看似合法的捐款，但后来发现存入的捐款来自外国人，则必须在发现后30天内退还这笔捐款。如果委员会在发现违禁捐款时缺乏足够的资金来退款，则必须使用收到的下一笔资金来填补。

In MUR 4530 and several related MURs (MURs 4531, 4587, 4642, 4909, and 5295), the Commission found that several foreign nationals and corporations had made prohibited contributions to a federal candidate committee and to a national party committee. Several committees were assessed civil penalties for failing to issue refunds when they became aware that the funds were illegal.

在MUR 4530和几个相关的MUR（MUR 4531、4587、4642、4909和5295）中，本委员会发现，一些外国人和公司已经向联邦候选人委员会和全国性政党委员会违禁捐款。某些委员会因得知资金不合法而未能退款，最终受到民事处罚。

Domestic subsidiaries and foreign-owned corporations

本土分支机构和外资公司

A U.S. subsidiary of a foreign corporation or a U.S. corporation that is owned by foreign nationals or by a foreign parent corporation may be subject to the prohibition, as discussed further below.

外国人或外国母公司拥有的美国分支机构，或外国母公司的美国子公司可能会受到禁止，如下所述。

PAC contributions for federal activity

向PAC联邦活动捐款

Based on a series of FEC advisory opinions, domestic subsidiaries of foreign corporations may establish federal political action committees (known as separate segregated funds or SSFs) for the purpose of make federal contributions and expenditures, so long as:

根据一系列FEC咨询意见，外国公司的美国国内子公司可以建立联邦政治行动委员会（称为分离的独立基金或SSF），以进行联邦捐款和支出，只要满足：

• The foreign parent corporation does not finance the SSF’s establishment, administration, or solicitation costs through the subsidiary; and- Individual foreign nationals:- Do not participate in the operation of the PAC;- Do not serve as officers of the PAC;- Do not participate in the selection of persons who operate the PAC; and- Do not make decisions regarding any PAC contributions or expenditures.

1.外国母公司不涉及资助子公司的SSF设立，管理或招标费用；和

2.外籍个人：

•不参与PAC的运营；

•不担任PAC的管理人员；

•不参与PAC的人员任用选择；和

•不对PAC的任何捐款或支出做出决定。

For example, in AO 2000-17 (Extendicare), the Commission determined that a U.S. subsidiary of a foreign corporation could establish an SSF even though the subsidiary’s board of three directors included only one U.S. citizen because the committee established to oversee all of the SSF’s operations comprised only U.S. citizens or permanent residents. See also AOs 2009-14 (Mercedes Benz USA/Sterling), 1999-28 (Bacardi-Martini), 1995-15 (Allison Engine PAC), and 1990-08 (CIT).

例如，在AO 2000-17（Extendicare）中，本委员会确定外国公司的美国子公司可以建立SSF，即便该子公司的三名董事仅包括一名美国公民，因为此委员会成立后负责监督SSF所有工作的，满足完全由美国公民或永久居民构成。另请参见AOs 2009-14（梅赛德斯奔驰美国/斯特林），1999-28（百加得-马蒂尼），1995-15（艾里逊发动机PAC）和1990-08（CIT）。

Corporate donations and disbursements for nonfederal activity

向非联邦活动的公司捐赠和支出

A domestic subsidiary of a foreign corporation (or a domestic corporation owned by foreign nationals) may make donations and disbursements in connection with state or local elections (if permissible under state and local law) provided that:

外国公司的国内子公司（或外国人拥有的国内公司）可以向州或地方选举（如果州和地方的当地法律允许）进行捐赠和支出：

• These activities are not financed in any part by the foreign parent or owner; and- 这些活动的任何部分都不由外国母公司或所有者资助；- Individual foreign nationals are not involved in any way in the making of donations to nonfederal candidates and committees.- 外国个人不以任何方式参与对非联邦候选人和委员会的捐赠。

For example, in AO 2006-15 (TransCanada), the Commission concluded that two wholly-owned U.S. subsidiaries of a foreign corporation could make donations and disbursements in connection with state and local elections so long as the funds used were generated by the U.S.-based subsidiary’s operations and not from the foreign parent and that all decisions regarding political donations would be made by U.S. citizens or permanent residents. Since the domestic subsidiaries maintained bank accounts in the U.S. that were separate from the foreign parent and did not receive subsidies from the foreign parent or from any other foreign national, the Commission concluded that the proposal was permitted under the Act.

例如，在AO 2006-15（TransCanada）中，委员会得出结论，外国公司的两家全资美国子公司可以向州和地方选举进行捐赠和支出，只要所用资金是由美国本土分支机构的业务所赚取，而不是来自外国母公司的业务，且所有有关政治捐赠的决定都由美国公民或永久居民做出。由于国内子公司在美国开设的银行账户是与外国母公司的分开的，并且没有收到外国母公司或任何其他外国人的补贴，因此本委员会得出结论认为，法案允许该计划落实。

Similarly, in AO 1992-16 (Nansay Hawaii, Inc.), the Commission considered a situation in which a foreign parent corporation provided “regular subsidies [to its domestic subsidiary] in the form of loans or [donations] to capital…” The Commission determined that the domestic subsidiary could make state and local donations, provided that all decisions as to political donations were made by U.S. citizens or permanent residents and also that the subsidiary be able to demonstrate through a reasonable accounting method that it had sufficient funds in its account (other than funds given or loaned by its foreign national parent) from which the donations were made. The Commission explicitly cautioned that, “[t]he amount that the foreign parent distributes to the subsidiary cannot replenish all or any portion of the subsidiary’s political [donations] during the period since the preceding subsidy payment.”

与此相似，在AO 1992-16（Nansay Hawaii，Inc.）中，委员会审议了一种情况，一家外国母公司以"贷款或[捐赠]形式 [向其美国国内子公司]的"常规补贴"……"。本委员会确定该国内子公司可以进行州和地方捐赠，但前提是所有有关政治捐赠的决定均由美国公民或永久居民做出，并且该子公司能够通过合理的会计方法证明其捐款帐户（由其外国母公司提供或借出的资金除外）拥有足够的资金。委员会明确警示：“自上次补贴付款以来，外国母公司分配给子公司的金额不能用于补充子公司的全部或任何部分政治捐款。”

In contrast, in AO 1989-20 (Kuilima Development Company, Inc.), the Commission declined to approve a U.S. company’s plan to donate to state and local candidates using a funded primarily by donations from its foreign parent corporation. The Commission held that this arrangement was prohibited by the Act and Commission regulations. See also AOs 1989-29 (GEM of Hawaii, Inc.), 1985-03 (Diridon), and 1982-10 (Syntex).

相反，在AO 1989-20（Kuilima Development Company，Inc.）中，委员会拒绝批准一家美国公司使用主要由其外国母公司捐赠的资金向州和当地候选人捐款的计划。委员会认为法案和委员会法规禁止这种安排。请参见AO 1989-29（Hawaii，Inc。），1985-03（Diridon）和1982-10（Syntex）。

In MUR 2892, the Commission entered into conciliation agreements with a number of respondents, including foreign individuals and businesses, who agreed to pay civil penalties for violations of the Act that involved prohibited contributions made to state and local candidates through U.S. corporations owned by foreign corporations or by foreign individuals. In this particular case, the Commission found reason to believe that the donations in question violated the foreign national prohibition because they were allegedly financed directly by the foreign parent/owner or because individual foreign nationals were allegedly involved in making decisions concerning the contributions. (See also MURs 2864 and 3004.)

在MUR 2892中，委员会与包括外国个人和企业在内的许多调查对象达成了和解协议，涉及通过外国公司拥有的美国公司向州和地方候选人提供了禁止性捐款。或由外国个人提供，他们同意因违反法案而受到民事处罚。在这种特殊情况下，本委员会有理由认为，有关捐款违反了外国人禁令，因为这些所谓捐款是直接由外国父母/所有者出资的，或者是所谓的外国人参与了有关捐款的决定。 （另请参见MUR 2864和3004。）

选举季节马上到了，华人参政议政很是热闹，今年加州选举有不少公投 (ballot measure)。不少朋友或者组织有计划或者已经捐款。 不过加州对竞选/公投的捐款管理十分严格，有必要大家一起探讨相关法规的常识性知识。本文抛砖引玉，信息有误不负担任何法律责任。真正的实施，涉及更多的每年都变化的细节，也涉及联邦IRS的规则，一定要询问/雇佣专业人士，包括 compaign lawyer, compaign treasurer, tax advisor等。

1. 捐款人资格和信息

先看最简单的法律要求：政治捐款必须是美国公民或者绿卡持有者。

竞选活动不得征集或接受外国人的捐款。联邦法律禁止外国人因任何选举（联邦，州或地方）而直接或间接征求，指示，接受或作出的捐款，捐赠，支出和支出。

信息来源： https://www.fec.gov/updates/foreign-nationals/

对于超过25美元的捐款，需要：

• 姓名，- 街道地址（不接受邮政信箱），- 捐款额，- 收到的日期。

$100或者以上的，除了上面的信息，必须额外提供捐赠者的：

• 职业和雇主信息， 或自雇人士的公司名称。

2. FPPC 对政治捐款资金归类管理总的流程图

加州政府管理竞选活动，包括资金的部门是Fair Political Practices Commission (FPPC or 公平政治实践委员会)， 官网是http://www.fppc.ca.gov/ 。 当加州选民通过《政治改革法/ Political Reform》时​​，他们同时创建了FPPC，以管理和执行具有里程碑意义的道德法，并告知和协助公职人员，雇员和候选人遵守其规定。

加利福尼亚的《政治改革法案》（“该法案”）的目的是确保政治付款的披露是准确，及时的，并且是在透明的方式，清晰准确的披露。做出决定的选民知道谁在为政治信息付费，这样他们就可以评估内容并在投票箱中做出明智的决定。

具体而言，该法案赋予FPPC权力以通过，修改和废除规则和法规以实现该法案的目的。除了解释和执行该法案外，FPPC还致力于提供最新信息和有用的协助以鼓励遵守。

从流程图看，给公投的捐钱，花钱的可以是个人，商业，或者各种组织。

涉及的钱有两大类：

• 自己的钱（ own fund）, 这个又有如下细分的情况：- 自己直接花出去，打政治广告，制作标语等等：这叫independent expenditures 独立支出。- 1千-5万之间需要作为Independent Expenditure Committee 申报- 捐给其他人: Contribution- 一万以内，没有特殊加州申报的要求，只填写基本的捐款人信息- 1万-5万之间，需要作为Major Donor Committee申报- 5万 和以上，需要作为Recipient Committee 注册和申报- 募捐别人的钱（ solicitation）：- 任何组织个人为了影响公投要募捐（收集别人的钱），$2000和以上就要在加州作为recipient commitee 注册，申报。

记住下面三个最重要的规则和数据： 包括州或地方政府机构在内的任何人，只要有下列任何行为，即有资格成为委员会（Committee）：

• 接受$ 2,000或更多的捐款，明确针对候选人选举或者公投提案的结果。- 进行$ 1,000或以上的独立支出。- 捐款$ 10,000以上。

3. 独立支出委员会: $1,000

我们看看门槛最低的1000美元的独立支出委员会 （Independent Expenditures Committee）的规则和实例。

第一个要点是理解什么是 Independent Expenditure.

An “independent expenditure” is a payment for a communication that

• expressly advocates the election or defeat of a clearly identified California state or local candidate or- the qualification, passage, or defeat of a clearly identified state or local ballot measure, and the communication is not coordinated with or “made at the behest” of the affected candidate or committee.

“独立支出”是对通讯的一种付款，该通讯:

• 明确提倡选举或击败一个明确确定的加利福尼亚州或地方候选人，或者- 提倡某提案是否满足投票的资格，通过或击败一个明确确定的州或地方公投提案，- 而该通信并未与受影响的候选人或公投委员会协调或“应其要求”。

Express Advocacy 明确提倡：

• 用了  “vote for,” “elect,” “cast your ballot,” or “defeat.”等明白的词汇- 通讯总体上明确识别的候选人或 投票提案，督促一个特定的选举结果。

个人独立支出的实例：  五月，桑德拉（Sandra） 花了1,200美元购买了 包含以下内容的直接邮件声明: “不要投票给A提案。” 桑德拉（Sandra）个人作主，她自己支付 邮寄的资金， 超过1000元，符合作为独立支出委员会的申报条件。

公司独立支出的实例： 10月，MBI 开发公司 支付了一系列 自动电话 呼吁南部的选民 说“投票给史密斯做加利福尼亚州长。” 这个公司作为法人， 独立于 候选人自己的委员会做出的决定，付费 $ 12,000 通话费用。这个公司符合按 独立支出委员会的资格进行申报。

几个人筹钱的实例： 几个人捐款筹钱，总和资金超过2,000美元，用于政治活动。他们准备雇顾问在报纸上打广告，让选民在公投C提案上投赞成票。在这个例子中，广告可能是独立支出。 但是因为个人集中资金打广告，小组应该作为Recipient Committee（接收委员会） 注册申报来反对这项提案。

独立支出委员会需要提交的申报表格：

• Form 461 (Major Donor/Independent Expenditure Report). 该表格主要列出- 捐款人（或者组织）的信息，- 已经捐款（或者支出）的明细列表。- Form 462 (Verification of Independent Expenditures), 此验证表- 确保独立支出委员会的一个负责人- 如果有的话，需要填上 FPPC ID- 确保未与所列候选人（或反对者）或公投委员会进行协调，- 并确保该委员会将报告法律要求的所有捐款和报销。独立支出不受州或地方捐款限额的限制。- 表中明确列出支持/反对的候选人，或者公投议案- Form 496 (24-Hour/10-Day Independent Expenditure Report)- 在选举日之前的90天之内，包括选举日当天，每次独立支出达到1000或者更多的时候，24小时之内提交本表格，列出支出明细，- 选举日之前的90天之外，独立支出$5000或者更多的时候，需要电子申报支出明细。

总得来说独立支出委员会申报的要求比报税的难度低很多，基本就是提供委员会信息，支出明细。独立支出委员会每年结束的时候自动终止。不需要特别加州申报结束。

4. 主要捐助者委员会：$10,000-50,000

主要捐助者委员会是个人或实体（例如公司，公司，业务或独资经营）在一个日历年中，给州或地方候选人，投票提案委员会或其他委员会（包括政党和政治行动委员会）总计10,000美元，或更多。主要捐助者委员会自己不收政治捐款，而是使用自有资金捐款。

个人的实例：

• 去年，Marge用她的个人资金共计捐款10,000美元给两个州候选人，地方投票委员会，以及其他候选人。她有资格成为主要捐助者，并有报告义务。- 今年，Marge仅向候选人和委员会捐了8000。玛格（Marge）没有资格成为主要捐助者，因此没有招致报告义务。

申报的表格：

• Form 461 (Major Donor Report), 该表格主要列出- 捐款人（或者组织）的信息，- 已经捐款（或者支出）的明细列表。- Form 497 (24-Hour/10-Day Contribution Report),该表格捐款人 (Major Donor Committee)和收款人（Recipient committee）通用。- 选举日之前90天到选举日之间：捐款或者收款1000或者更多，需要填写此表申报明细- 选举日到之前90天之外区间：收款5000或者更多，填写申报- 其他任何时候，接收委员会捐赠$5000或者更多给其他委员会- the advertisement disclosure requirements.

主要捐助者委员会的申报更简单，就是如实提供捐助者信息和捐助的明细。该委员会也是每年年底自动终止，不需要特别申请解散。

5. 捐助接收委员会: $2,000

如果个人或实体在一个日历年内收到总计2,000美元或更多的捐款，用于与加利福尼亚州候选人或投票措施有关的捐款或独立支出，则组成捐助接收委员会（Recipient Committee），并且适用不同的报告方法。

这包括两个或两个以上的个人或实体为单次通信分别支付总计2,000美元或更多的款项的情况，他们也有资格成为接收者委员会。

选票措施委员会（公投委员会）是指在一个日历年中，因一项或多项选票措施的资格，通过或失败， 而收到2,000美元或以上捐款的任何个人或团体。需要提交 Form 410  Statement of Organization- Recipient Committee。

Recipient committee根据影响选举的通用性，分为

• General Purpose Committee “通用目的投票措施委员会”: 用于多个候选人，多个公投议案的支出，一般用于想长期存在的组织。- State genernal purpose commitee: 用于州级选举和公投，也用途多个县的选举- County genernal purpose commitee： 用于一个县的选举- City general purpose committee: 只用于一个城市的选举- Primarily Formed Committee： 用于少数几个候选人，公投议案的支出，一般过了选举季节就停掉.- Primarily-formed ballot measure committee:  如果设立委员会是为了进行主要竞选以支持或反对同一选举中的一项或两项以上的措施；或委员会将其捐款和支出总额的70％以上用于支持或反对在同一次选举中投票通过的一项或两项或多项措施。则为“主要成立的投票措施委员会”。

如果候选人（或其代表）对委员会的行动或决定有重大影响，则该委员会为“候选人控制的选票措施委员会”。

某些多用途组织（例如，非营利组织）可能有资格担任投票表决委员会。

接收委员会必须加州注册，用 Form 410， 注册完成后获得 committee ID (FPPC id#)

• 提供委员会名字，地址等联系信息- 必须有专职的Treasurer- 专用的银行账号信息- 委员会的类型

如何建立/终止一个捐款接收委员会：

• 在一个日历年内收到的捐款总额达到或超过$ 2,000的任何人或个人组合，必须成立一个委员会。- 在达到合格门槛的10天内或如果符合以下任何条件，则在24小时内提交组织声明（Form 410）：- 在选举前的16天内达到2,000美元的门槛；要么- 如果委员会在选举前的90天内符合资格，并且委员会在该选举中花费了$ 1,000或更多的独立支出来支持或反对候选人。

• 通过邮件向州务卿（Secretary of State: SOS）提交原始文件，并收取50美元的注册费- 每年1月15日之前向SOS支付50美元的费用，直到委员会终止。

委员会在具备以下条件后可终止其委员会的工作：

• 停止收缴会费和支出；
• 预计将来不会收到捐款或支出；
• 消除或已宣布无意或无力偿还其所有债务，已收贷款和其他义务；
• 没有剩余资金；和
• 提交所有必需的竞选声明，披露所有可报告的交易。
• 建议关闭银行帐户，但并非必须如此。

要终止接收委员会，必须执行以下操作：

• 提交FPPC表格410，选中“终止”框并添加“终止日期”。- 向州务卿提交原始文件，并向道德委员会提交一份副本。- 以电子方式向道德委员会提交FPPC 460终止声明。

6. Treasurers 财务主管

每个委员会必须有一个财务主管：

• 财务主管必须完成所需的培训，除非该培训在最近12个月内完成。- 建立档案保管制度- 确保记录收支。- 亲自准备竞选陈述或仔细检查他人编写的竞选陈述。- 验证并签署竞选声明。- 按时提交报表，避免滞纳金。- 遵守适用法律– 财务主任应对违反其委员会的竞选财务行为承担个人责任。

委员会财务主管可能要承担的个人责任：

罚款滞纳金：

• 纸质申报: 每天10美元- 电子申报: 每天25美元

处罚：

• 未能提交要求的和准确的竞选报告可能会受到民事，刑事和行政处分，每次违法行为最高可被罚款$ 5,000和/或监禁6个月。

哪里去找财务主管？

• https://netfile.com  是电子化选举投票相关的组织和财务申报的网上平台，上面有公开的历年的公共数据，包括申报表格。可以搜索表格，找出各个委员会雇佣的财务主管的信息- http://cpta.info/directory  the California Political Treasurers Association , 加州政治财务主管协会，列出的会员名单

7. 剩余的捐款咋办？

为支持或反对一项措施而成立的接收委员有时持有的多余资金。 在选票上出现该措施的选举后的选举后报告期结束时，竞选帐户中剩余的资金为盈余资金，并且必须用于：

• 用于支付与委员会有关的未付账单，包括未付债务或应计账款，簿记，法律费用，竞选声明的准备和审计；
• 返回贡献者（后进先出）；
• 捐赠给慈善组织；
• 其他。。

更多信息看加州法律原文：

https://casetext.com/statute/california-codes/california-government-code/title-9-political-reform/chapter-95-ethics/article-4-campaign-funds/section-89519-surplus-campaign-funds

8. 非盈利或者其他多用途组织

这里说的非盈利组织可以是501c3, c4。 上面的各种申报法规都适用。特殊说一下资金来源：

• General Treasury Funds:  非营利组织或其他用途的组织经常因为非政治目的接受捐款或其他付款（例如会费），这种资金算通用资金，可以用于加州公投选举支出 （注意：501c3不能影响候选人，但是可以有限制的影响公投）- Non-Donor Funds： 非捐助的资金，例如利息收入，销售收入- 明确接受捐款用于选战: 2000或者以上：作为捐款接收委员会注册和申报

独立支出:

• 1,000- 50,000， 作为独立支出委员会注册和申报。- 50，000以上：作为捐款接收委员会注册和申报

9. 结论

加州对竞选涉及的资金有严格的申报管理制度。本文只涉及最粗浅的常识性信息,实际的细节很多，包括IRS对非盈利组织影响立法的规则和限制。真正的实施，涉及更多的每年都变化的细节，也涉及联邦IRS的规则，一定要询问/雇佣专业人士，包括 compaign lawyer, compaign treasurer, tax advisor等。

再次提醒记住下面三个最重要的规则和数据： 包括州或地方政府机构在内的任何人，只要有下列任何行为，即有资格成为委员会（Committee）：

• 接受 $ 2,000或更多的捐款。- 进行 $ 1,000或以上的独立支出, 明确针对候选人选举或者公投提案，倡导一种结果。- 捐款 $ 10,000以上。

10. 参考网址

• http://www.fppc.ca.gov/learn.html 最权威的管理竞选的官方法规的学习资源