83
50 Stat. 121; 22 U.S.C. 441 note
"Neutrality Act" of May 1, 1937
JOINT RESOLUTION
To amend the joint resolution entitled
"Joint resolution providing for the prohibition of the export of arms, ammunition,
and implements of war to belligerent countries; the prohibition of the
transportation of arms, ammunition, and implements of war by vessels of the
United States for the use of belligerent states; for the registration and
licensing of persons engaged in the business of manufacturing, exporting, or
importing arms, ammunition, or implements of war; and restricting travel by
American citizens on belligerent ships during war", approved August 31,
1935, as amended.
Resolved by the Senate and House of
Representatives of the United States of America in Congress assembled, That the joint resolution entitled
"Joint resolution providing for the prohibition of the export of arms,
ammunition, and implements of war to belligerent countries; the prohibition of
the transportation of arms, ammunition, and implements of war by vessels of the
United States for the use of belligerent states; for the registration and
licensing of persons engaged in the business of manufacturing, exporting, or
importing arms, ammunition, or implements of war; and restricting travel by
American citizens on belligerent ships during war", approved August 31,
1935, as amended, is amended to read as follows:
“EXPORT OF ARMS, AMMUNITION, AND IMPLEMENTS
OF WAR
“SECTION 1. (a) Whenever the President shall
find that there exists a state of war between, or among, two or more foreign
states, the
355
DOCUMENTS
President shall proclaim such fact, and it shall to export, or attempt to
export, or cause to be exported, arms, ammunition, or implements of war from
any place in the United States to any belligerent state named in such
proclamation, or to any neutral state for transshipment to, or for the use of,
any such belligerent state.
"(b) The President shall, from time to
time, by proclamation, extend such embargo upon the export of arms, ammunition,
or implements of war to other states as and when they may become involved in
such war.
"(c) Whenever the President shall find
that a state of civil strife exists in a foreign state and that such civil
strife is of a magnitude or is being conducted under such conditions that the
export of arms, ammunition, or implements of war from the United foreign state
would threaten or endanger the peace of the United States, the President shall
proclaim such fact, and it shall thereafter be unlawful to export, or attempt
to export, or cause to be exported, arms, ammunition, or implements of war from
any place in the United States to such foreign state, or to any neutral state
for transshipment to, or for the use of, such foreign state.
"(d) The President shall, from time to
time by proclamation, definitely enumerate the arms, ammunition, and implements
of war, the export of which is prohibited by this section. The arms,
ammunition, and implements of war so enumerated shall include those enumerated
in the President's proclamation Numbered 2163, of April 10, 1936, but shall not
include raw materials or any other articles or materials not of the same
general character as those enumerated in the said proclamation, and in the
Convention for the Supervision of the International Trade in Arms and
Ammunition and in Implements of War, signed at Geneva June 17, 1925.
"(e) Whoever, in violation of any of the
provisions of this Act, shall export, or attempt to export, or cause to be
exported, arms, ammunition, or implements of war from the United States shall
be fined not more than $10,000, or imprisoned not more than five years, or
both, and the property, vessel, or vehicle containing the same shall be subject
to the provisions of sections 1 to 8, inclusive, title 6, chapter 30, of the
Act approved June 15, 1917 (40 Stat. 223-225; U. S. C., 1934 ed., title 22,
sess. 238-245).
"(f) In the case of the forfeiture of
any arms, ammunition, or implements of war by reason of a violation of this
Act. no public or private sale shall be required; but such arms, ammunition, or
implements of war shall be delivered to the Secretary of War for such use
356
DOCUMENTS
or disposal thereof as shall be approved by the President of the United
States.
"(g) Whenever, in the judgment of the
President, the conditions which have caused him to issue any proclamation under
the authority of this section have ceased to exist, he shall revoke the same,
and the provisions of this section shall thereupon cease to apply with respect
to the state or states named in such proclamation, except with respect to
offenses committed, or forfeitures incurred, prior to such revocation.
“EXPORT OF OTHER ARTICLES AND MATERIALS
SEC. 2. (a) Whenever the President shall have
issued a proclamation under the authority of section 1 of this Act and he shall
thereafter find that the placing of restrictions on the shipment of certain
articles or materials in addition to arms, ammunition, and implements of war
from the United States to belligerent states, or to a state wherein civil
strife exists, is necessary to promote the security or preserve the peace of
the United States or to protect the lives of citizens of the United States, he
shall so proclaim, and it shall thereafter be unlawful, except under such
limitations and exceptions as the President may prescribe as to lakes, rivers,
and inland waters bordering on the United States, and as to transportation on
or over lands bordering on the United States, for any American vessel to carry
such articles or materials to any belligerent state, or to any state wherein
civil strife exists, named in such proclamation issued under the authority of
section 1 of this Act, or to any neutral state for transshipment to, or for the
use of, any such belligerent state or any such state wherein civil strife
exists. The President shall by proclamation from time to time definitely
enumerate the articles and materials which it shall be unlawful for American
vessels to so transport.
"(b) Whenever the President shall have
issued a proclamation under the authority of section 1 of this Act and he shall
thereafter find that the placing of restrictions on the export of articles or
materials from the United States to belligerent states, or to a state wherein
civil strife exists, is necessary to promote the security or preserve the peace
of the United States or to protect the lives or commerce of citizens of the
United States, he shall so proclaim, and it shall thereafter be unlawful,
except under such limitations and exceptions as the President may prescribe as
to lakes, rivers, and inland waters bordering on the United States, and as to
transportation on or over land bordering on the United States, to export or
transport, or attempt to export or transport, or cause to be exported or trans-
357
DOCUMENTS
ported, from the United States to any belligerent state, or to any state
wherein civil strife exists, named in such proclamation issued under the
authority of section 1 of this Act, or to any neutral state for transshipment
to, or for the use of, any such belligerent state or any such state wherein
civil strife exists, any articles or materials whatever until all right, title,
and interest therein shall have been transferred to some foreign government,
agency, institution, association, partnership, corporation, or national. The
shipper of such articles or materials shall be required to file with the
collector of the port from which they are to be exported a declaration under
oath that there exists in citizens of the United States no right, title, or
interest in such articles or materials, and to comply with such rules and
regulations as shall be promulgated from time to time by the President? Any
such declaration so filed shall be a conclusive estoppel against any claim of
any citizen of the United States of right, title, or interest in such articles
or materials. Insurance written by underwriters on any articles or materials
the export of which is prohibited by this Act, or on articles or materials carried
by an American vessel in violation of subsection (a) of this section, shall not
be deemed an American interest therein, and no insurance policy issued on such
articles or materials and no loss incurred thereunder or by the owner of the
vessel carrying the same shall be made a basis of any claim put forward by the
Government of the United States.
"(c) The President shall from time to
time by proclamation extend such restrictions as are imposed under the
authority of this section to other states as and when they may be declared to
become belligerent states under proclamations issued under the authority of
section 1 of this Act.
"(d) The President may from time to time
change, modify, or revoke in whole or in part any proclamations issued by him
under the authority of this section.
"(e) Except with respect to offenses
committed, or forfeitures incurred, prior to May 1, 1939, this section and all
proclamations issued thereunder shall not be effective after May 1, 1939.
"FINANCIAL TRANSACTIONS
"SEC. 3. (a) Whenever the President
shall have issued a proclamation under the authority of section 1 of this Act,
it shall thereafter be unlawful for any person within the United States to
purchase, sell, or exchange bonds, securities, or other obligations of the government
of any belligerent state or of any state wherein civil
358
DOCUMENTS
strife exists, named in such proclamation, or of any political
subdivision of any such state, or of any person acting for or on behalf of the
government of any such state, or of any faction or asserted government within
any such state wherein civil strife exists, or of any person acting for or on
behalf of any faction or asserted government within any such state wherein
civil strife exists, issued after the date of such proclamation, or to make any
loan or extend any credit to any such government, political subdivision,
faction, asserted government, or person, or to solicit or receive any
contribution for any such government, political subdivision, faction, asserted
government, or person: Provided, That
if the President shall find that such action will serve to protect the
commercial or other interests of the United States or its citizens, he may, in
his discretion, and to such extent and under such regulations as he may prescribe,
except from the operation of this section ordinary commercial credits and
short-time obligations in aid of legal transactions and of a character
customarily used in normal peacetime commercial transactions. Nothing in this
subsection shall be construed to prohibit the solicitation or collection of
funds to be used for medical aid and assistance, or for food and clothing to
relieve human suffering, when such solicitation or collection of funds is made
on behalf of and for use by any person or organization which is not acting for
or on behalf of any such government, political subdivision, faction, or
asserted government, but all such solicitations and collections of funds shall
be subject to the approval of the President and shall be made under such rules
and regulations as he shall prescribe.
"(b) The provisions of this section
shall not apply to a renewal or adjustment of such indebtedness as may exist on
the date of the President's proclamation.
"(c) Whoever shall violate the
provisions of this section or of any regulations issued hereunder shall, upon
conviction thereof, be fined not more than $50,000 or imprisoned for not more
than five years, or both. Should the violation be by a corporation,
organization, or association, each officer or agent thereof participating in
the violation may be liable to the penalty herein prescribed.
"(d) Whenever the President shall have
revoked any such proclamation issued under the authority of section 1 of this
Act, the provisions of this section and of any regulations issued by the
President hereunder shall thereupon cease to apply with respect to the state or
states named in such proclamation, except with respect to offenses committed
prior to such revocation.
359
DOCUMENTS
“EXCEPTIONS—AMERICAN REPUBLICS
SEC. 4. This Act shall not apply to an
American republic or republics engaged in war against a non-American state or
states, provided the American republic is not cooperating with a non-American
state or states in such war.
“NATIONAL MUNITIONS CONTROL BOARD
"SEC. 5. (a) There is hereby established
a National Munitions Control Board (hereinafter referred to as the 'Board') to
carry out the provisions of this Act. The Board shall consist of the Secretary
of State, who shall be chairman and executive officer of the Board, the
Secretary of the Treasury, the Secretary of War, the Secretary of the Navy, and
the Secretary of Commerce. Except as otherwise provided in this Act, or by
other law, the administration of this Act is vested in the Department of State.
The Secretary of State shall promulgate such rules and regulations with regard
to the enforcement of this section as he may deem necessary to carry out its
provisions. The Board shall be convened by the chairman and shall hold at least
one meeting a year.
"(b) Every person who engages in the
business of manufacturing, exporting, or importing any of the arms, ammunition,
or implements of war referred to in this Act, whether as an exporter, importer,
manufacturer, or dealer, shall register with the Secretary of State his name,
or business name, principal place of business, and places of business in the
United States, and a list of the arms, ammunition, and implements of war which
he manufactures, imports, or exports.
"(c) Every person required to register
under this section shall notify the Secretary of State of any change in the
arms, ammunition, or implements of war which he exports, imports, or
manufactures; and upon such notification the Secretary of State shall issue to
such person an amended certificate of registration, free of charge, which shall
remain valid until the date of expiration of the original certificate. Every
person required to register under the provisions of this section shall pay a
registration fee of $500, unless he manufactured, exported, or imported arms,
ammunition, and implements of war to a total sales value of less than $50,000
during the twelve months immediately preceding his registration, in which case
he shall pay a registration fee of $100. Upon receipt of the required
registration fee, the Secretary of State shall issue a registration certificate
valid for five years, which shall be renewable for further periods of
360
DOCUMENTS
five years upon the payment for each renewal of a fee of $500 in the case
of persons who manufactured, exported, or imported arms, ammunition, and
implements of war to a total sales value of more than $50,000 during the twelve
months immediately preceding the renewal, or a fee of $100 in the case of
persons who manufactured, exported, or imported arms, ammunition, and
implements of war to a total sales value of less than $50,000 during the twelve
months immediately preceding the renewal. The Secretary of the Treasury is
hereby directed to refund, out of any moneys in the Treasury not otherwise
appropriated, the sum of $400 to every person who shall have paid a
registration fee of $500 pursuant to this Act, who manufactured, exported, or
imported arms, ammunition, and implements of war to a total sales value of less
than $50,000 during the twelve months immediately preceding his registration.
"(d) It shall be unlawful for any person
to export, or attempt to export, from the United States to any other state, any
of the arms, ammunition, or implements of war referred to in this Act, or to
import, or attempt to import, to the United States from any other state, any of
the arms, ammunition, or implements of war referred to in this Act, without
first having obtained a license therefor.
"(e) All persons required to register
under this section shall maintain, subject to the inspection of the Secretary
of State, or any person or persons designated by him, such permanent records of
manufacture for export, importation, and exportation of arms, ammunition, and
implements of war as the Secretary of State shall prescribe.
"(f) Licenses shall be issued to persons
who have registered as herein provided for, except in cases of export or import
licenses where the export of arms, ammunition, or implements of war would be in
violation of this Act or any other law of the United States, or of a treaty to
which the United States is a party, in which cases such licenses shall not be
issued.
"(g) Whenever the President shall have
issued a proclamation under the authority of section 1 of this Act, all
licenses theretofore issued under this Act shall ipso facto and immediately
upon the issuance of such proclamation, cease to grant authority to export
arms, ammunition, or implements of war from any place in the United States to
any belligerent state, or to any state wherein civil strife exists, named in
such proclamation, or to any neutral state for transshipment to, or for the use
of, any such belligerent state or any such state wherein civil strife exists;
and said licenses, insofar as the grant of authority to export to the state or
states named in such proclamation is concerned, shall be null and void.
361
DOCUMENTS
"(h) No purchase of arms, ammunition, or
implements of war shall be made on behalf of the United States by any officer,
executive department, or independent establishment of the Government from any
person who shall have failed to register under the provisions of this Act.
" (i) The provisions of the Act of
August 29, 1916, relating to the sale of ordnance and stores to the Government
of Cuba (39 Stat. 619, 643; U. S. C., 1934 ed., title 50, sec. 72), are hereby
repealed as of December 31, 1937.
"(j) The Board shall make an annual
report to Congress, copies of which shall be distributed as are other reports
transmitted to Congress. Such reports shall contain such information and data
collected by the Board as may be considered of value in the determination of
questions connected with the control of trade in arms, ammunition, and
implements of war. The Board shall include in such reports a list of all
persons required to register under the provisions of this Act, and full
information concerning the licenses issued hereunder.
"(k) The President is hereby authorized
to proclaim upon recommendation of the Board from time to time a list of
articles which shall be considered arms, ammunition, and implements of war for
the purposes of this section.
"AMERICAN VESSELS PROHIBITED FROM
CARRYING ARMS TO BELLIGERENT STATES
"SEC. 6. (a) Whenever the President
shall have issued a proclamation under the authority of section 1 of this Act,
it shall thereafter be unlawful, until such proclamation is revoked, for any
American vessel to carry any arms, ammunition, or implements of war to any
belligerent state, or to any state wherein civil strife exists, named in such
proclamation, or to any neutral state for transshipment to, or for the use of,
any such belligerent state or any such state wherein civil strife exists.
"(b) Whoever, in violation of the
provisions of this section shall take, or attempt to take, or shall authorize,
hire, or solicit another to take, any American vessel carrying such cargo out
of port or from the jurisdiction of the United States shall be fined not more
than $10,000, or imprisoned not more than five years, or both; and, in
addition, such vessel, and her tackle, apparel, furniture, and equipment, and
the arms, ammunition, and implements of war on board, shall be forfeited to the
United States.
362
DOCUMENTS
"USE OF AMERICAN PORTS AS BASE OF SUPPLY
"SEC. 7. (a) Whenever, during any war in
which the United States is neutral, the President, or any person "hereunto
authorized by him, shall have cause to believe that any vessel, domestic or
foreign, whether requiring clearance or not, is about to carry out of a port of
the United States, fuel, men, arms, ammunition, implements of war, or other
supplies to any warship, tender, or supply ship of a belligerent state, but the
evidence is not deemed sufficient to justify forbidding the departure of the
vessel as provided for by section 1, title V, chapter 30, of the Act approved
June 15, 1917 (40 Stat. 217, 221; U. S. C., 1934 ed., title 18, sec. 31), and
if, in the President's judgment, such action will serve to maintain peace
between the United States and foreign states, or to protect the commercial
interests of the United States and its citizens, or to promote the security or
neutrality of the United States, he shall have the power and it shall be his
duty to require the owner, master, or person in command thereof, before
departing from a port of the United States, to give a bond to the United
States, with sufficient sureties, in such amount as he shall deem proper,
conditioned that the vessel will not deliver the men, or any part of the cargo,
to any warship, tender, or supply ship of a belligerent state.
"(b) If the President, or any person
"hereunto authorized by him, shall find that a vessel, domestic or
foreign, in a port of the United States, has previously cleared from a port of
the United States during such war and delivered its cargo or any part thereof
to a warship, tender, or supply ship of a belligerent state, he may prohibit
the departure of such vessel during the duration of the war.
“SUBMARINES AND ARMED MERCHANT VESSELS
"SEC. 8. Whenever, during any war in
which the United States is neutral, the President shall find that special
restrictions placed on the use of the ports and territorial waters of the
United States by the submarines or armed merchant vessels of a foreign state,
will serve to maintain peace between the United States and foreign states, or
to protect the commercial interests of the United States and its citizens, or
to promote the security of the United States, and shall make proclamation
thereof, it shall thereafter be unlawful for any such submarine or armed
merchant vessel to enter a port or the territorial waters of the United States
or to depart therefrom, except under such conditions and subject to such
limitations as the President may prescribe. Whenever, in his judgment, the
conditions which
363
DOCUMENTS
have caused him to issue his proclamation have ceased to exist, he shall
revoke his proclamation and the provisions of this section shall thereupon
cease to apply.
"TRAVEL ON VESSELS OF BELLIGERENT STATES
"SEC. 9. Whenever the President shall
have issued a proclamation under the authority of section 1 of this Act it
shall thereafter be unlawful for any citizen of the United States to travel on
any vessel of the state or states named in such proclamation, except in
accordance with such rules and regulations as the President shall prescribe: Provided, however, That the provisions
of this section shall not apply to a citizen of the United States traveling on
a vessel whose voyage was begun in advance of the date of the President's
proclamation, and who had no opportunity to discontinue his voyage after that
date: and provided: further, That
they shall not apply under ninety days after the date of the President's
proclamation to a citizen of the United States returning from a foreign state
to the United States. Whenever, in the President's judgment, the conditions
which have caused him to issue his proclamation have ceased to exist, he shall
revoke his proclamation and the provisions of this section shall thereupon
cease to apply with respect to the state or states named in such proclamation,
except with respect to offenses committed prior to such revocation.
"ARMING OF AMERICAN MERCHANT VESSELS
PROHIBITED
"SEC. 10. Whenever the President shall
have issued a proclamation under the authority of section 1, it shall
thereafter be unlawful, until such proclamation is revoked, for any American
vessel engaged in commerce with any belligerent state, or any state wherein
civil strife exists, named in such proclamation, to be armed or to carry any
armament, arms, ammunition, or implements of war, except small arms and
ammunition therefor which the President may deem necessary and shall publicly
designate for the preservation of discipline aboard such vessels.
“REGULATIONS
"SEC. 11. The President may, from time
to time, promulgate such rules and regulations, not inconsistent with law, as
may be necessary and proper to carry out any of the provisions of this Act; and
he may exercise any power or authority conferred on him by this Act through
such officer or officers, or agency or agencies, as he shall direct.
364
DOCUMENTS
"GENERAL PENALTY PROVISION
"SEC. 12. In every case of the violation
of any of the provisions of this Act or of any rule or regulation issued
pursuant thereto where a specific penalty is not herein provided, such violator
or violators, upon conviction, shall be fined not more than $10,000, or
imprisoned not more than five years, or both.
“DEFINITIONS
"SEC. 13. For the purposes of this Act—
" (a) The term 'United States', when
used in a geographical sense, includes the several States and Territories, the
insular possessions of the United States (including the Philippine Islands),
the Canal Zone, and the District of Columbia.
"(b) The term 'person' includes a
partnership, company, association, or corporation, as well as a natural person.
"(c) The term 'vessel' means every
description of watercraft (including aircraft) or other contrivance used, or
capable of being used, as a means of transportation on, under, or over water.
"(d) The term 'American vessel' means
any vessel (including aircraft) documented under the laws of the United States.
"(e) The term 'vehicle' means every
description of carriage (including aircraft) or other contrivance used, or
capable of being used, as a means of transportation on or over land.
"(f) The term 'state' shall include
nation, government, and country.
"SEPARABILITY OF PROVISIONS
"SEC. 14. If any of the provisions of
this Act, or the application thereof to any person or circumstance, is held
invalid, the remainder of the Act, and the application of such provision to
other persons or circumstances, shall not be affected thereby.
“APPROPRIATIONS
"SEC. 15. There is hereby authorized to
be appropriated from time to time, out of any money in the Treasury not
otherwise appropriated, such amounts as may be necessary to carry out the
provisions and accomplish the purposes of this Act."
Approved, May 1, 1937, 6.30 p. m., Central
Standard Time.
365
DOCUMENTS