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1 copyright has a complete defense to any action for such infringement 2

if he proves that he was misled by the notice and began the undertak3 ing in good faith under a purported transfer or license from the person 4 named therein, unless before the undertaking was begun:

(1) registration for the work had been made in the name of 6 the owner of copyright; or 7

(2) a document executed by the person named in the notice 8

and showing the ownership of the copyright had been recorded. 9

The person named in the notice is liable to account to the copyright 10 owner for all receipts from purported transfers or licenses made by 11 him under the copyright. 12 (b) Error in DATE.-When the year date in the notice on copies or 13 phonorecords distributed by authority of the copyright owner is 14 earlier than the year in which publication first occurred, any period 15 computed from the year of first publication under section 302 is to be 16 computed from the year in the notice. Where the year date is more 17

than one year later than the year in which publication first occurred, 18

the work is considered to have been published without any notice and 19

is governed by the provisions of section 405.

(c) OMISSION OF Name or DATE.---Where copies or phonorecords 21

publicly distributed by authority of the copyright owner contain no 22 name or no dlate that could reasonably be considered a part of the 23 notice, the work is considered to have been published without any 2A notice and is governed by the provisions of section 405.

8 407. Deposit of copies or phonorecords for Library of Congress 26 (a) Except as provided by subsection (c), the owner of copyright 27

or of the exclusive right of publication in a work published with no28 tice of copyright in the United States shall deposit, within three 29 months after the date of such publication: 30

(1) two complete copies of the best edition; or 31

(2) if the work is a sound recording, two complete phono32 records of the best edition, together with any printed or other 33 visually perceptible material published with such phonorecords. 34 This deposit is not a condition of copyright protection, 35

(h) The required copies or phonorecords shall be deposited in the 36 Copyright Office for the use or disposition of the Library of Congress. 37 The Register of Copyrights shall, when requested by the depositor 38 and upon payment of the fee prescribed by section 708, issue a receipt 39 for the deposit. 40 (c) The Register of Copyrights may by regulation exempt any




1 categories of material from the deposit requirements of this section, 2 or require deposit of only one copy or phonorecord with respect to 3

any categories.

(d) At any time after publication of a work as provided by sub5 section (a), the Register of Copyrights may make written demand 6 for the required deposit on any of the persons obligated to make the 7 deposit under subsection (a). Unless deposit is made within three 8 months after the demand is received, the person or persons on whom the demand was made are liable :

(1) to a fine of not more than $250 for each work; and 11

(2) to pay to the Library of Congress the total retail price of 12 the copies or phonorecords demanded, or, if no retail price has 13

been fixed, the reasonable cost to the Library of Congress of 14 acquiring them. 15 8 408. Copyright registration in general 16 (a) REGISTRATION PERMISSIVE. - At any time during the subsistence 17 of copyright in any published or unpublished work, the owner of 18 copyright or of any exclusive right in the work may obtain registration 19 of the copyright claim by delivering to the Copyright Office the deposit 20 specified by this section, together with the application and fee specified 21 by sections 409 and 708. Subject to the provisions of section 405(a), 22 such registration is not a condition of copyright protection. 23 (b) DEPOSIT FOR COPYRIGHT REGISTRATION.--Except as provided by 24 subsection (c), the material deposited for registration shall include: 25

(1) in the case of an unpublished work, one complete copy or 26 phonorecord; 27 (2) in the case of a published work, two complete copies or 28

phonorecords of the best edition; 29

(3) in the case of a work first published abroad, one complete 30 copy or phonorecord as so published; 31

(4) in the case of a contribution to a collective work, one com32 plete copy or phonorecord of the best edition of the collective 33 work. 34 Copies or phonorecords deposited for the Library of Congress under 35 section 107 may be used to satisfy the deposit provisions of this section, 36 if they are accompanied by the prescribed application and fee, and by 37 any additional identifying material that the Register may, by regula38 tion, require.

(c) ADMINISTRATIVE CLASSIFICATION AND OPTIONAL DEPOSIT.--The 40 Register of Copyrights is authorized to specify by regulation the




1 administrative classes into which works are to be placed for purposes of 2 deposit and registration, and the nature of the copies or phonorecords 3 to be deposited in the various classes specified. The regulations may 4 require or permit, for particular classes, the deposit of identifying 5 material instead of copies or phonorecords, the deposit of only one copy 6 or phonorecord where two would normally be required, or a single 7 registration for a group of related works. This administrative classi

fication of works has no significance with respect to the subject matter 9 of copyright or the exclusive rights provided by this title. 10 (d) CORRECTIONS AND AMPLIFICATIONS.—The Register may also 11 establish, by regulation, formal procedures for the filing of an applica12 tion for supplementary registration, to corre t an error in a copyright 13 registration or to amplify the information given in a registration. Such 14 application shall be accompanied by the fee provided by section 708, 15 and shall clearly identify the registration to be corrected or amplified. 16 The information contained in a supplementary registration augments 17 but does not supersede that contained in the earlier registration. 18 (e) PUBLISHED EDITION OF PREVIOUSLY REGISTERED Work.-Reg. 19 istration for the first published edition of a work previously registered 20 in unpublished form may be made even though the work as published is 21 substantially the same as the unpublished version. 22

8 409. Application for registration 23

The application for copyright registration shall be made on a form 24 prescribed by the Register of Copyrights and shall include: 25

(1) the name and address of the copyright claimant; 26

(2) in the case of a work other than an anonymous or pseudony27 mous work, the name and nationality or domicile of the author or 28 authors and, if one or more of the authors is dead, the dates of 29

their deaths; 30

(3) if the work is anonymous or pseudonymous, the nationality 31 or domicile of the author or authors; 32

(4) in the case of a work made for hire, a statement to this 33 effect; 34

(5) if the copyright claimant is not the author, a brief state35 ment of how the claimant obtained ownership of the copyright; 36

(6) the title of the work, together with any previous or alterna37 tive titles under which the work can be identified; 38

(7) the year in which creation of the work was completed; 39

(*) if the work has been published, the date and nation of its 40 first publication;



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(9) in the case of a compilation or derivative work, an identification of any pre-existing work or works that it is based on or incorporates, and a brief, general statement of the additional material covered by the copyright claim being registered;

(10) in the case of a published work containing material of which copies are required by section 601 to be manufactured in the United States, the names of the persons or organizations who performed the processes specified by subsection (c) of section 601 with respect to that material, and the places where those processes were performed; and

(11) any other information regarded by the Register of Copyrights as bearing upon the preparation or identification of the

work or the existence, ownership, or duration of the copyright. $ 410. Registration of claim and issuance of certificate

(a) When, after examination, the Register of Copyrights determines that, in accordance with the provisions of this title, the material deposited constitutes copyrightable subject matter and that the other legal and formal requirements of this title have been met, he shall register the claim and issue to the applicant a certificate of registration under the seal of the Copyright Office. The certificate shall contain the information given in the application, together with the number and effective date of the registration.

(b) In any case in which the Register of Copyrights determines that, in accordance with the provisions of this title, the material deposited does not constitute copyrightable subject matter or that the claim is invalid for any other reason, he sall refuse registration and shall notify the applicant in writing of the reasons for his action.

(c) In any judicial proceedings the certificate of a registration made before or within five years after first publication of the work shall constitute prima facie evidence of the validity of the copyright and of the facts stated in the certificate. The evidentiary weight to be accorded the certificate of a registration made thereafter shall be within the discretion of the court.

(d) The effective date of a copyright registration is the day on which an application, deposit, and fee, which are later determined by the Register of ('opyrights or by a court of competent jurisdiction to be acceptable for registrtion, have all been received in the Copyright Office.

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1 $ 411. Registration as prerequisite to infringement suit 2 (a) Subject to the provisions of subsection (b), no action for in3 fringement of the copyright in any work shall be instituted until 4 registration of the copyright claim has been made in accordance with 5 this title. In any case, however, where the deposit, application, and fee 6 required for registration have been delivered to the Copyright Office 7 in proper form and registration has been refused, the applicant is 8 entitled to institute an action for infringement if notice thereof, with 9 a copy of the complaint, is served on the Register of Copyrights. The 10 Register may, at his option, become a party to the action with respect 11 to the issue of registrability of the copyright claim by entering his 12 appearance within sixty days after such service, but his failure to do 13 so shall not deprive the court of jurisdiction to determine that issue. 14 (b) In the case of a work consisting of sounds, images, or both, the 15 first fixation of which is made simultaneously with its transmission, 16

the copyright owner may either before or after such fixation takes 17 place, institute an action for infringement under section 501, fully 18 subject to the remedies provided by sections 502 through 506, if, in 19 accordance with requirements that the Register of Copyrights shall 20 prescribe by regulation, the copyright owner-21

(1) serves notice upon the infringer, not less than ten or more 22 than thirty days before such fixation, identifying the work and 23 the specific time and source of its first transmission, and declar. 24 ing an intention to secure copyright in the work; and 25

(2) makes registration for the work within three months after

its first transmission. 27 $ 412. Registration as prerequisite to certain remedies for 28

infringement 29 In any action under this title, other than an action instituted under 30 section 411(b), no award of statutory damages or of attorney's fees, as 31 provided by sections 501 and 303. shall be made for: 32

(1) any infringement of copyright in an unpublished work 33 commenced before the effective date of its registration; or 34

(2) any infringement of copyright commenced after first pub35 lication of the work and before the effective date of its registra36

tion, unless such registration is made within three months after 37 its first publication.


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