GroundRules
N.Y. Public Officers Law § 73-a: Financial disclosure
Where this section sits in the code
- Public Officers Law
- Article 4. Powers and Duties of Public Officers
§ 73-a. Financial disclosure. 1. As used in this section:
(a) The term "statewide elected official" shall mean the governor,
lieutenant governor, comptroller, or attorney general.
(b) The term "state agency" shall mean any state department, or
division, board, commission, or bureau of any state department, any
public benefit corporation, public authority or commission at least one
of whose members is appointed by the governor, or the state university
of New York or the city university of New York, including all their
constituent units except community colleges of the state university of
New York and the independent institutions operating statutory or
contract colleges on behalf of the state.
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants;
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions,
commissions, councils or other state agencies, who receive annual
compensation in excess of the filing rate established by paragraph (l)
of this subdivision or who hold policy-making positions, as annually
determined by the appointing authority and set forth in a written
instrument which shall be filed with the commission on ethics and
lobbying in government established by section ninety-four of the
executive law during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making
responsibilities by a new employee or any other employee whose name did
not appear on the most recent written instrument; and
(iii) members or directors of public authorities, other than
multi-state authorities, public benefit corporations and commissions at
least one of whose members is appointed by the governor, and employees
of such authorities, corporations and commissions who receive annual
compensation in excess of the filing rate established by paragraph (l)
of this subdivision or who hold policy-making positions, as determined
annually by the appointing authority and set forth in a written
instrument which shall be filed with the commission on ethics and
lobbying in government established by section ninety-four of the
executive law during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making
responsibilities by a new employee or any other employee whose name did
not appear on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is determined to
hold a policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ethics
commission and the commission on ethics and lobbying in government.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
with the commission on ethics and lobbying in government upon its
filing, in accordance with this section, with the legislative ethics
commission for all purposes including, but not limited to, section
ninety-four of the executive law, subdivision nine of section eighty of
the legislative law and subdivision four of this section.
(e) The term "spouse" shall mean the husband or wife of the reporting
individual unless living separate and apart from the reporting
individual with the intention of terminating the marriage or providing
for permanent separation or unless separated pursuant to: (i) a judicial
order, decree or judgment, or (ii) a legally binding separation
agreement.
(e-1) The term "domestic partner" shall mean a person who, with
respect to another person, is formally a party in a domestic partnership
or similar relationship with the other person, entered into pursuant to
the laws of the United States or any state, local or foreign
jurisdiction, or registered as the domestic partner of the other person
with any registry maintained by the employer of either party or any
state, municipality, or foreign jurisdiction.
(f) The term "relative" shall mean such individual's spouse, child,
stepchild, stepparent, or any person who is a direct descendant of the
grandparents of the reporting individual or of the reporting
individual's spouse.
(g) The term "unemancipated child" shall mean any son, daughter,
stepson or stepdaughter who is under age eighteen, unmarried and living
in the household of the reporting individual.
(h) The term "political party chairman" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(i) The term "local agency" shall mean:
(i) any county, city, town, village, school district or district
corporation, or any agency, department, division, board, commission or
bureau thereof; and
(ii) any public benefit corporation or public authority not included
in the definition of a state agency.
(j) The term "regulatory agency" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(k) The term "ministerial matter" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this article.
(l) The term "filing rate" shall mean the higher of the job rates of
SG-24 as set forth in paragraph a or c of subdivision one of section one
hundred thirty of the civil service law as of April first of the year in
which an annual financial disclosure statement shall be filed.
(m) The term "lobbyist" shall have the same meaning as ascribed to
such term in subdivision (a) of section one-c of the legislative law.
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chair and every candidate for statewide elected office or for member of
the legislature shall file an annual statement of financial disclosure
containing the information and in the form set forth in subdivision
three of this section. On or before the fifteenth day of May with
respect to the preceding calendar year: (1) every member of the
legislature, every candidate for member of the legislature and
legislative employee shall file such statement with the legislative
ethics commission which shall provide such statement along with any
requests for exemptions or deletions to the commission on ethics and
lobbying in government for filing and rulings with respect to such
requests for exemptions or deletions, on or before the thirtieth day of
June; and (2) all other individuals required to file such statement
shall file it with the commission on ethics and lobbying in government,
except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure
statement on or before May fifteenth but may, without being subjected to
any civil penalty on account of a deficient statement, indicate with
respect to any item of the disclosure statement that information with
respect thereto is lacking but will be supplied in a supplementary
statement of financial disclosure, which shall be filed on or before the
seventh day after the expiration of the period of such automatic
extension of time within which to file such individual income tax
return, provided that failure to file or to timely file such
supplementary statement of financial disclosure or the filing of an
incomplete or deficient supplementary statement of financial disclosure
shall be subject to the notice and penalty provisions of this section
respecting annual statements of financial disclosure as if such
supplementary statement were an annual statement;
(ii) a person who is required to file an annual financial disclosure
statement with the commission on ethics and lobbying in government, and
who is granted an additional period of time within which to file such
statement due to justifiable cause or undue hardship, in accordance with
required rules and regulations adopted pursuant to section ninety-four
of the executive law shall file such statement within the additional
period of time granted; and the legislative ethics commission shall
notify the commission on ethics and lobbying in government of any
extension granted pursuant to this paragraph;
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within ten days after the date of
the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within ten
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within ten days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been
designated by a party to receive a nomination shall file such statement
within ten days after the last day allowed by law for the filing of
independent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within ten days after the date of the
meeting of the party committee at which they are nominated;
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within ten days after the last
day allowed by law to file a certificate to fill a vacancy in such party
designation or independent nomination;
(ix) with respect to all candidates for member of the legislature, the
legislative ethics commission shall within five days of receipt provide
the commission on ethics and lobbying in government the statement filed
pursuant to subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative
employee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
commission on ethics and lobbying in government in accordance with
paragraph (d-1) of subdivision one of this section. If the reporting
individual is a statewide elected official, candidate for statewide
elected office, a state officer or employee or a political party chair,
such statement shall be filed with the commission on ethics and lobbying
in government established by section ninety-four of the executive law.
(d) The commission on ethics and lobbying in government shall obtain
from the state board of elections a list of all candidates for statewide
office and for member of the legislature, and from such list, shall
determine and publish a list of those candidates who have not, within
ten days after the required date for filing such statement, filed the
statement required by this subdivision.
(e) Any person required to file such statement who commences
employment after May fifteenth of any year and political party chair
shall file such statement within thirty days after commencing employment
or of taking the position of political party chair, as the case may be.
In the case of members of the legislature and legislative employees,
such statements shall be filed with the legislative ethics commission
within thirty days after commencing employment, and the legislative
ethics commission shall provide such statements to the commission on
ethics and lobbying in government within forty-five days of receipt.
(f) A person who may otherwise be required to file more than one
annual financial disclosure statement with both the commission on ethics
and lobbying in government and the legislative ethics commission in any
one calendar year may satisfy such requirement by filing one such
statement with either body and by notifying the other body of such
compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the same ethics
commission, as the case may be, and who receives distinctly separate
payments of compensation for such employment shall be subject to the
filing requirements of this section if the aggregate annual compensation
for all such employment capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be required to file
with respect to any one particular employment capacity. A person not
otherwise required to file a financial disclosure statement hereunder
who is employed by an employer certain of whose officers or employees
are subject to filing a financial disclosure statement with the
commission on ethics and lobbying in government and who is also employed
by an employer certain of whose officers or employees are subject to
filing a financial disclosure statement with the legislative ethics
commission shall not be subject to filing such statement with either
such commission on the basis that his aggregate annual compensation from
all such employers is in excess of the filing rate.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this
subdivision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(k) The commission on ethics and lobbying in government shall post for
at least five years beginning for filings made on January first, two
thousand thirteen the annual statement of financial disclosure and any
amendments filed by each person subject to the reporting requirements of
this subdivision who is an elected official on its website for public
review within thirty days of its receipt of such statement or within ten
days of its receipt of such amendment that reflects any corrections of
deficiencies identified by the commission or by the reporting individual
after the reporting individual's initial filing. Except upon an
individual determination by the commission that certain information may
be deleted from a reporting individual's annual statement of financial
disclosure, none of the information in the statement posted on the
commission's website shall be otherwise deleted.
3. The annual statement of financial disclosure shall contain the
information and shall be in the form set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
1. Name ______________________________________________________________
2. (a) Title of Position _____________________________________________
(b) Department, Agency or other Governmental Entity _______________
(c) Address of Present Office _____________________________________
(d) Office Telephone Number _______________________________________
3. (a) Marital Status ______________. If married, please give spouse's
full name.
__________________________________________________________________.
(b) Full name of domestic partner (if applicable).
_________________________________________________________________ .
(c) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories in Table I or Table II of this subdivision as called for in
the question: A reporting individual shall indicate the Category by
letter only.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source
identified.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
4. (a) List any office, trusteeship, directorship, partnership, or
position of any nature, whether compensated or not, held by the
reporting individual with any firm, corporation, association,
partnership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity was licensed
by any state or local agency, was regulated by any state regulatory
agency or local agency, or, as a regular and significant part of the
business or activity of said entity, did business with, or had
matters other than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List any office, trusteeship, directorship, partnership, or position
of any nature, whether compensated or not, held by the spouse,
domestic partner or unemancipated child of the reporting individual,
with any firm, corporation, association, partnership, or other
organization other than the State of New York. Include compensated
honorary positions; do NOT list membership or uncompensated honorary
positions. If the listed entity was licensed by any state or local
agency, was regulated by any state regulatory agency or local
agency, or, as a regular and significant part of the business or
activity of said entity, did business with, or had matters other
than ministerial matters before, any state or local agency, list the
name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5. (a) List the name, address and description of any occupation,
employment (other than the employment listed under Item 2 above),
trade, business or profession engaged in by the reporting
individual. If such activity was licensed by any state or local
agency, was regulated by any state regulatory agency or local
agency, or, as a regular and significant part of the business or
activity of said entity, did business with, or had matters other
than ministerial matters before, any state or local agency, list the
name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) If the spouse, domestic partner or unemancipated child of the
reporting individual was engaged in any occupation, employment,
trade, business or profession which activity was licensed by any
state or local agency, was regulated by any state regulatory agency
or local agency, or, as a regular and significant part of the
business or activity of said entity, did business with, or had
matters other than ministerial matters before, any state or local
agency, list the name, address and description of such occupation,
employment, trade, business or profession and the name of any such
agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting
individual, such individual's spouse, domestic partner or
unemancipated child, or partnership of which any such person is a
member, or corporation, 10% or more of the stock of which is owned
or controlled by any such person, whether vested or contingent, in
any contract made or executed by a state or local agency and include
the name of the entity which holds such interest and the
relationship of the reporting individual or such individual's
spouse, domestic partner or such child to such entity and the
interest in such contract. Do NOT include bonds and notes. Do NOT
list any interest in any such contract on which final payment has
been made and all obligations under the contract except for
guarantees and warranties have been performed, provided, however,
that such an interest must be listed if there has been an ongoing
dispute during the calendar year for which this statement is filed
with respect to any such guarantees or warranties. Do NOT list any
interest in a contract made or executed by a local agency after
public notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse, Interest in and Interest Local Value of
Domestic Contract in Contract Agency Contract
Partner or
Child (In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any
political party committee, or as a political party district leader.
The term "party" shall have the same meaning as "party" in the
election law. The term "political organization" means any party or
independent body as defined in the election law or any organization
that is affiliated with or a subsidiary of a party or independent
body.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, or works as a member
or employee of a firm required to register pursuant to section one-e of
the legislative law as a lobbyist, describe the services rendered for
which compensation was paid including a general description of the
principal subject areas of matters undertaken by such individual and
principal duties performed. Specifically state whether the reporting
individual provides services directly to clients. Additionally, if such
an individual practices with a firm or corporation and is a partner or
shareholder of the firm or corporation, give a general description of
principal subject areas of matters undertaken by such firm or
corporation.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or
corporation that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (iv) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of
subdivision seven of section seventy-three of this article.
The disclosure requirement in this question shall not require
disclosure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, provided, however, that a reporting
individual who first enters public office after July first, two thousand
twelve, need not report clients or customers with respect to matters for
which the reporting individual or his or her firm was retained prior to
entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO
THOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or
entity, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting individual personally provided services, or who was referred
to the firm by the reporting individual, and from whom the reporting
individual or his or her firm earned fees in excess of $10,000 during
the reporting period in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
having knowingly solicited or directed to the reporting individual's
firm in whole or substantial part, a person or entity that becomes a
client of that firm for the purposes of representation for a matter as
defined in clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting
individual. A reporting individual need not disclose activities
performed while lawfully acting in his or her capacity as provided in
paragraphs (c), (d), (e) and (f) of subdivision seven of section
seventy-three of this article.
Client Matter Nature of Services Provided Category
of Amount
(in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO
THOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five
thousand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (b-1) and (b-2) shall not
require disclosing clients or customers receiving medical,
pharmaceutical or dental services, mental health services, or
residential real estate brokering services from the reporting individual
or his or her firm or if federal law prohibits or limits disclosure. The
reporting individual need not identify any client to whom he or she or
his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
family court, estate planning, or domestic relations matters, nor shall
the reporting individual identify individuals represented pursuant to an
insurance policy but the reporting individual shall in such
circumstances only report the entity that provides compensation to the
reporting individual; with respect to matters in which the client's name
is required by law to be kept confidential (such as matters governed by
the family court act) or in matters in which the reporting individual
represents or provides services to minors, the client's name may be
replaced with initials. To the extent that the reporting individual, or
his or her firm, provided legal representation with respect to an
initial public offering, and professional disciplinary rules, federal
law or regulations restrict the disclosure of information relating to
such work, the reporting individual shall (i) disclose the identity of
the client and the services provided relating to the initial public
offering to the office of court administration, who will maintain such
information confidentially in a locked box; and (ii) include in his or
her response to questions (b-1) and (b-2) that pursuant to this
paragraph, a disclosure to the office of court administration has been
made. Upon such time that the disclosure of information maintained in
the locked box is no longer restricted by professional disciplinary
rules, federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements in questions (b-1) and (b-2). The office
of court administration shall develop and maintain a secure portal
through which information submitted to it pursuant to this paragraph can
be safely and confidentially stored. With respect to clients represented
in other matters not otherwise exempt, the reporting individual may
request an exemption to publicly disclosing the name of that client from
the commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, or from the office of court
administration. In such application, the reporting individual shall
state the following: "My client is not currently receiving my services
or seeking my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how
significant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an
explanation for its determination. The office of court administration
shall issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or
proceeding. A reporting individual who first enters public office after
January first, two thousand sixteen, need not report clients or
customers with respect to matters for which the reporting individual or
his or her firm was retained prior to entering public office.
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO
THOUSAND FIFTEEN:
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting
individual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. The reporting individual need not
identify any client to whom he or she or his or her firm provided legal
representation with respect to investigation or prosecution by law
enforcement authorities, bankruptcy, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the
reporting individual shall in such circumstances only report the entity
that provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept
confidential (such as matters governed by the family court act) or in
matters in which the reporting individual represents or provides
services to minors, the client's name may be replaced with initials. To
the extent that the reporting individual, or his or her firm, provided
legal representation with respect to an initial public offering, and
federal law or regulations restricts the disclosure of information
relating to such work, the reporting individual shall (i) disclose the
identity of the client and the services provided relating to the initial
public offering to the office of court administration, who will maintain
such information confidentially in a locked box; and (ii) include in his
or her response a statement that pursuant to this paragraph, a
disclosure to the office of court administration has been made. Upon
such time that the disclosure of information maintained in the locked
box is no longer restricted by federal law or regulation, the reporting
individual shall disclose such information in an amended disclosure
statement in response to the disclosure requirements of this paragraph.
The office of court administration shall develop and maintain a secure
portal through which information submitted to it pursuant to this
paragraph can be safely and confidentially stored. With respect to
clients represented in other matters not otherwise exempt, the reporting
individual may request an exemption to publicly disclosing the name of
that client from the commission on ethics and lobbying in government
pursuant to section ninety-four of the executive law, or from the office
of court administration. In such application, the reporting individual
shall state the following: "My client is not currently receiving my
services or seeking my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how
significant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an
explanation for its determination. The office of court administration
shall issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or
proceeding. A reporting individual who first enters public office after
December thirty-first, two thousand fifteen, need not report clients or
customers with respect to matters for which the reporting individual or
his or her firm was retained prior to entering public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(d) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse or domestic partner had an
investment in excess of $1,000 excluding investments in securities and
interests in real property.
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which this
statement is filed by the reporting individual or such individual's
spouse, domestic partner or unemancipated child from the same donor,
EXCLUDING gifts from a relative. INCLUDE the name and address of the
donor. The term "gifts" does not include reimbursements, which term is
defined in item 10. Indicate the value and nature of each such gift.
Category
Self, of
Spouse, Name of Nature Value of
Domestic Donor Address of Gift Gift
Partner (In Table I)
or Child
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Identify and briefly describe the source of any reimbursements for
expenditures, EXCLUDING campaign expenditures and expenditures in
connection with official duties reimbursed by the state, in EXCESS
of $1,000 from each such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses provided by
nongovernmental sources and for activities related to the reporting
individual's official duties such as, speaking engagements,
conferences, or factfinding events. The term "reimbursements" does
NOT include gifts reported under item 9.
Source Description
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York), and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a
relative.
Category
Identity of Value*
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* The value of such interest shall be reported only if reasonably
ascertainable.
12. (a) Describe the terms of, and the parties to, any contract,
promise, or other agreement between the reporting individual and any
person, firm, or corporation with respect to the employment of such
individual after leaving office or position (other than a leave of
absence).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the REPORTING INDIVIDUAL
in EXCESS of $1,000 from a prior employer OTHER THAN the State.
(This includes interests in or contributions to a pension fund,
profit-sharing plan, or life or health insurance; buy-out
agreements; severance payments; etc.)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and such individual's
spouse or domestic partner for the taxable year last occurring prior
to the date of filing. Each such source must be described with
particularity. Nature of income includes, but is not limited to, all
income (other than that received from the employment listed under
Item 2 above) from compensated employment whether public or private,
directorships and other fiduciary positions, contractual
arrangements, teaching income, partnerships, honorariums, lecture
fees, consultant fees, bank and bond interest, dividends, income
derived from a trust, real estate rents, and recognized gains from
the sale or exchange of real or other property. Income from a
business or profession and real estate rents shall be reported with
the source identified by the building address in the case of real
estate rents and otherwise by the name of the entity and not by the
name of the individual customers, clients or tenants, with the
aggregate net income before taxes for each building address or
entity. The receipt of maintenance received in connection with a
matrimonial action, alimony and child support payments shall not be
listed.
Self/ Category
Spouse Source Nature of Amount
or Domestic (In Table I)
Partner
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting
individual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation,
partnership or association through which the income was derived, but
shall not identify individual clients.
Category
Source of Amount
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each
transfer other than to a relative during the reporting period for
which this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or Category
or Transferred Transferred to of Value
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or such individual's spouse or domestic partner
from each issuing entity in EXCESS of $1,000 at the close of the
taxable year last occurring prior to the date of filing, including
the name of the issuing entity exclusive of securities held by the
reporting individual issued by a professional corporation. Whenever
an interest in securities exists through a beneficial interest in a
trust, the securities held in such trust shall be listed ONLY IF the
reporting individual has knowledge thereof except where the
reporting individual or the reporting individual's spouse or
domestic partner has transferred assets to such trust for his or her
benefit in which event such securities shall be listed unless they
are not ascertainable by the reporting individual because the
trustee is under an obligation or has been instructed in writing not
to disclose the contents of the trust to the reporting individual.
Securities of which the reporting individual or the reporting
individual's spouse or domestic partner is the owner of record but
in which such individual or the reporting individual's spouse or
domestic partner has no beneficial interest shall not be listed.
Indicate percentage of ownership ONLY if the reporting person or the
reporting person's spouse or domestic partner holds more than five
percent (5%) of the stock of a corporation in which the stock is
publicly traded or more than ten percent (10%) of the stock of a
corporation in which the stock is NOT publicly traded. Also list
securities owned for investment purposes by a corporation more than
fifty percent (50%) of the stock of which is owned or controlled by
the reporting individual or such individual's spouse or domestic
partner. For the purpose of this item the term "securities" shall
mean mutual funds, bonds, mortgages, notes, obligations, warrants
and stocks of any class, investment interests in limited or general
partnerships and certificates of deposits (CDs) and such other
evidences of indebtedness and certificates of interest as are
usually referred to as securities. The market value for such
securities shall be reported only if reasonably ascertainable and
shall not be reported if the security is an interest in a general
partnership that was listed in item 8 (a) or if the security is
corporate stock, NOT publicly traded, in a trade or business of a
reporting individual or a reporting individual's spouse or domestic
partner.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
or (In Table II)
Domestic
Partner
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16-a. List below the name and market value of digital assets held by
the reporting individual or such individual's spouse or domestic partner
in EXCESS of $1,000 at the close of the taxable year last occurring
prior to the date of filing. Whenever an interest in digital assets
exists through a beneficial interest in a trust, the digital assets held
in such trust shall be listed ONLY IF the reporting individual has
knowledge thereof except where the reporting individual or the reporting
individual's spouse or domestic partner has transferred assets to such
trust for his or her benefit in which event such digital assets shall be
listed unless they are not ascertainable by the reporting individual
because the trustee is under an obligation or has been instructed in
writing not to disclose the contents of the trust to the reporting
individual. The digital assets of which the reporting individual or the
reporting individual's spouse or domestic partner is the owner of record
but in which such individual or the reporting individual's spouse or
domestic partner has no beneficial interest shall not be listed. Also
list digital assets owned for investment purposes by a corporation more
than fifty percent (50%) of the stock of which is owned or controlled by
the reporting individual or such individual's spouse or domestic
partner. For purposes of this subdivision, the following terms shall
have the following meanings:
(a) "Digital asset" shall mean an asset that is issued, transferred,
or both, using distributed ledger or blockchain technology, including,
but not limited to, digital currencies, digital coins, digital
non-fungible tokens or other similar assets.
(b) "Digital currency" shall mean any type of digital unit that is
used as a medium of exchange or a form of digitally stored value.
Virtual currency shall be broadly construed to include digital units of
exchange that: (i) have a centralized repository or administrator; (ii)
are decentralized and have no centralized repository or administrator;
or (iii) may be created or obtained by computing, manufacturing, or
other similar effort.
(c) "Distributed ledger or blockchain technology" shall mean a ledger
or database that stores shared state by maintaining it across a
multiplicity of devices belonging to different entities and securing it
through a combination of cryptographic and consensus protocols, where
the shared state serves to authenticate, record, share, and/or
synchronize transactions involving digital assets or virtual currencies.
Category of
Market Value
as of the close
of the taxable
year last
occurring
prior to
Self/ Type of the filing of
Spouse or Digital Asset this statement
Domestic (In Table II)
Partner
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or the reporting individual's spouse or
domestic partner. Also list real property owned for investment
purposes by a corporation more than fifty percent (50%) of the stock
of which is owned or controlled by the reporting individual or such
individual's spouse or domestic partner. Do NOT list any real
property which is the primary or secondary personal residence of the
reporting individual or the reporting individual's spouse or
domestic partner, except where there is a co-owner who is other than
a relative.
Self/ Percentage Category
Spouse/ General Acquisition of of Market
Domestic Nature Date Ownership Value
Partner (In
Corporation Location Size Table II)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse or domestic partner, in EXCESS of $10,000 as of
the date of filing of this statement, other than liabilities to a
relative. Do NOT list liabilities incurred by, or guarantees made
by, the reporting individual or such individual's spouse or domestic
partner or by any proprietorship, partnership or corporation in
which the reporting individual or such individual's spouse or
domestic partner has an interest, when incurred or made in the
ordinary course of the trade, business or professional practice of
the reporting individual or such individual's spouse or domestic
partner. Include the name of the creditor and any collateral pledged
by such individual to secure payment of any such liability. A
reporting individual shall not list any obligation to pay
maintenance in connection with a matrimonial action, alimony or
child support payments. Any loan issued in the ordinary course of
business by a financial institution to finance educational costs,
the cost of home purchase or improvements for a primary or secondary
residence, or purchase of a personally owned motor vehicle,
household furniture or appliances shall be excluded. If any such
reportable liability has been guaranteed by any third person, list
the liability and name the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
TABLE I
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 350,000
Category K $ 350,000 to under $ 450,000
Category L $ 450,000 to under $ 550,000
Category M $ 550,000 to under $ 650,000
Category N $ 650,000 to under $ 750,000
Category O $ 750,000 to under $ 850,000
Category P $ 850,000 to under $ 950,000
Category Q $ 950,000 to under $1,050,000
Category R $1,050,000 to under $1,150,000
Category S $1,150,000 to under $1,250,000
Category T $1,250,000 to under $1,350,000
Category U $1,350,000 to under $1,450,000
Category V $1,450,000 to under $1,550,000
Category W $1,550,000 to under $1,650,000
Category X $1,650,000 to under $1,750,000
Category Y $1,750,000 to under $1,850,000
Category Z $1,850,000 to under $1,950,000
Category AA $1,950,000 to under $2,050,000
Category BB $2,050,000 to under $2,150,000
Category CC $2,150,000 to under $2,250,000
Category DD $2,250,000 to under $2,350,000
Category EE $2,350,000 to under $2,450,000
Category FF $2,450,000 to under $2,550,000
Category GG $2,550,000 to under $2,650,000
Category HH $2,650,000 to under $2,750,000
Category II $2,750,000 to under $2,850,000
Category JJ $2,850,000 to under $2,950,000
Category KK $2,950,000 to under $3,050,000
Category LL $3,050,000 to under $3,150,000
Category MM $3,150,000 to under $3,250,000
Category NN $3,250,000 to under $3,350,000
Category OO $3,350,000 to under $3,450,000
Category PP $3,450,000 to under $3,550,000
Category QQ $3,550,000 to under $3,650,000
Category RR $3,650,000 to under $3,750,000
Category SS $3,750,000 to under $3,850,000
Category TT $3,850,000 to under $3,950,000
Category UU $3,950,000 to under $4,050,000
Category VV $4,050,000 to under $4,150,000
Category WW $4,150,000 to under $4,250,000
Category XX $4,250,000 to under $4,350,000
Category YY $4,350,000 to under $4,450,000
Category ZZ $4,450,000 to under $4,550,000
Category AAA $4,550,000 to under $4,650,000
Category BBB $4,650,000 to under $4,750,000
Category CCC $4,750,000 to under $4,850,000
Category DDD $4,850,000 to under $4,950,000
Category EEE $4,950,000 to under $5,050,000
Category FFF $5,050,000 to under $5,150,000
Category GGG $5,150,000 to under $5,250,000
Category HHH $5,250,000 to under $5,350,000
Category III $5,350,000 to under $5,450,000
Category JJJ $5,450,000 to under $5,550,000
Category KKK $5,550,000 to under $5,650,000
Category LLL $5,650,000 to under $5,750,000
Category MMM $5,750,000 to under $5,850,000
Category NNN $5,850,000 to under $5,950,000
Category OOO $5,950,000 to under $6,050,000
Category PPP $6,050,000 to under $6,150,000
Category QQQ $6,150,000 to under $6,250,000
Category RRR $6,250,000 to under $6,350,000
Category SSS $6,350,000 to under $6,450,000
Category TTT $6,450,000 to under $6,550,000
Category UUU $6,550,000 to under $6,650,000
Category VVV $6,650,000 to under $6,750,000
Category WWW $6,750,000 to under $6,850,000
Category XXX $6,850,000 to under $6,950,000
Category YYY $6,950,000 to under $7,050,000
Category ZZZ $7,050,000 to under $7,150,000
Category AAAA $7,150,000 to under $7,250,000
Category BBBB $7,250,000 to under $7,350,000
Category CCCC $7,350,000 to under $7,450,000
Category DDDD $7,450,000 to under $7,550,000
Category EEEE $7,550,000 to under $7,650,000
Category FFFF $7,650,000 to under $7,750,000
Category GGGG $7,750,000 to under $7,850,000
Category HHHH $7,850,000 to under $7,950,000
Category IIII $7,950,000 to under $8,050,000
Category JJJJ $8,050,000 to under $8,150,000
Category KKKK $8,150,000 to under $8,250,000
Category LLLL $8,250,000 to under $8,350,000
Category MMMM $8,350,000 to under $8,450,000
Category NNNN $8,450,000 to under $8,550,000
Category OOOO $8,550,000 to under $8,650,000
Category PPPP $8,650,000 to under $8,750,000
Category QQQQ $8,750,000 to under $8,850,000
Category RRRR $8,850,000 to under $8,950,000
Category SSSS $8,950,000 to under $9,050,000
Category TTTT $9,050,000 to under $9,150,000
Category UUUU $9,150,000 to under $9,250,000
Category VVVV $9,250,000 to under $9,350,000
Category WWWW $9,350,000 to under $9,450,000
Category XXXX $9,450,000 to under $9,550,000
Category YYYY $9,550,000 to under $9,650,000
Category ZZZZ $9,650,000 to under $9,750,000
Category AAAAA $9,750,000 to under $9,850,000
Category BBBBB $9,850,000 to under $9,950,000
Category CCCCC $9,950,000 to under $10,000,000
Category DDDDD $10,000,000 or over
TABLE II
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 500,000
Category K $ 500,000 to under $ 750,000
Category L $ 750,000 to under $1,000,000
Category M $1,000,000 to under $1,250,000
Category N $1,250,000 to under $1,500,000
Category O $1,500,000 to under $1,750,000
Category P $1,750,000 to under $2,000,000
Category Q $2,000,000 to under $2,250,000
Category R $2,250,000 to under $2,500,000
Category S $2,500,000 to under $2,750,000
Category T $2,750,000 to under $3,000,000
Category U $3,000,000 to under $3,250,000
Category V $3,250,000 to under $3,500,000
Category W $3,500,000 to under $3,750,000
Category X $3,750,000 to under $4,000,000
Category Y $4,000,000 to under $4,250,000
Category Z $4,250,000 to under $4,500,000
Category AA $4,500,000 to under $4,750,000
Category BB $4,750,000 to under $5,000,000
Category CC $5,000,000 to under $5,250,000
Category DD $5,250,000 to under $5,500,000
Category EE $5,500,000 to under $5,750,000
Category FF $5,750,000 to under $6,000,000
Category GG $6,000,000 to under $6,250,000
Category HH $6,250,000 to under $6,500,000
Category II $6,500,000 to under $6,750,000
Category JJ $6,750,000 to under $7,000,000
Category KK $7,000,000 to under $7,250,000
Category LL $7,250,000 to under $7,500,000
Category MM $7,500,000 to under $7,750,000
Category NN $7,750,000 to under $8,000,000
Category OO $8,000,000 to under $8,250,000
Category PP $8,250,000 to under $8,500,000
Category QQ $8,500,000 to under $8,750,000
Category RR $8,750,000 to under $9,000,000
Category SS $9,000,000 to under $9,250,000
Category TT $9,250,000 to under $9,500,000
Category UU $9,500,000 or over
4. A reporting individual who knowingly and wilfully fails to file
an annual statement of financial disclosure or who knowingly and
wilfully with intent to deceive makes a false statement or gives
information which such individual knows to be false on such
statement of financial disclosure filed pursuant to this section
shall be subject to a civil penalty in an amount not to exceed forty
thousand dollars. Assessment of a civil penalty hereunder shall be
made by the commission on ethics and lobbying in government or by
the legislative ethics commission, as the case may be, with respect
to persons subject to their respective jurisdictions. The commission
on ethics and lobbying in government acting pursuant to subdivision
fourteen of section ninety-four of the executive law or the
legislative ethics commission acting pursuant to subdivision eleven
of section eighty of the legislative law, as the case may be, may,
in lieu of or in addition to a civil penalty, refer a violation to
the appropriate prosecutor and upon such conviction, but only after
such referral, such violation shall be punishable as a class A
misdemeanor. A civil penalty for false filing may not be imposed
hereunder in the event a category of "value" or "amount" reported
hereunder is incorrect unless such reported information is falsely
understated. Notwithstanding any other provision of law to the
contrary, no other penalty, civil or criminal may be imposed for a
failure to file, or for a false filing, of such statement, except
that the appointing authority may impose disciplinary action as
otherwise provided by law. The commission on ethics and lobbying in
government and the legislative ethics commission shall each be
deemed to be an agency within the meaning of article three of the
state administrative procedure act and shall adopt rules governing
the conduct of adjudicatory proceedings and appeals relating to the
assessment of the civil penalties herein authorized. Such rules,
which shall not be subject to the approval requirements of the state
administrative procedure act, shall provide for due process
procedural mechanisms substantially similar to those set forth in
such article three but such mechanisms need not be identical in
terms or scope. Assessment of a civil penalty shall be final unless
modified, suspended or vacated within thirty days of imposition and
upon becoming final shall be subject to review at the instance of
the affected reporting individual in a proceeding commenced against
the commission on ethics and lobbying in government or the
legislative ethics commission, pursuant to article seventy-eight of
the civil practice law and rules.
5. Nothing contained in this section shall be construed as
precluding any public authority or public benefit corporation from
exercising any authority or power now or hereafter existing to
require any of its members, directors, officers or employees to file
financial disclosure statements with such public authority or public
benefit corporation that are the same as, different from or
supplemental to any of the requirements contained herein and to
provide only for internal employment discipline for any violation
arising out of such internal filing.
6. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of
any client or customer on a reporting individual's annual statement
of financial disclosure shall not constitute professional misconduct
or a ground for disciplinary action of any kind, or form the basis
for any civil or criminal cause of action or proceeding.
7. With respect to an application to either the commission on
ethics and lobbying in government or the office of court
administration for an exemption to disclosing the name of a client
or customer in response to questions 8 (b-1), 8 (b-2) and 8 (c), all
information which is the subject of or a part of such application
shall remain confidential. The name of the client need not be
disclosed by the reporting individual unless and until the
commission on ethics and lobbying in government or the office of
court administration formally advises the reporting individual that
he or she must disclose such names and the reporting individual
agrees to represent the client. Any commissioner or person employed
by the commission on ethics and lobbying in government or any person
employed by the office of court administration who, intentionally
and without authorization from a court of competent jurisdiction
releases confidential information related to a request for an
exemption received by the commission or the office of court
administration shall be guilty of a class A misdemeanor.
Collected 2026-09-14T19:32:45Z. Source file · JSON