New York Codes, Rules and Regulations
Title 19 - DEPARTMENT OF STATE
Chapter XX - Joint Commission on Public Ethics
Part 938 - Source of Funding Regulations
Section 938.11 - Special Filing Rules for the Client Semi-Annual Report Due January 17, 2017

Current through Register Vol. 44, No. 38, September 21, 2022

The provisions of this section apply only for purposes of the Client Semi-Annual Filing due January 17, 2017 (covering the period July 1, 2016 - December 31, 2016), and supersede any parallel provisions found in this Part. Notwithstanding the definition of "Reportable Amount of Contribution" in section 938.2(g), contribution amounts attributable to membership dues, fees or assessments shall be disclosed for all contributions received prior to September 23, 2016.

(a) Definitions.

(1) Expenditure Threshold consists of the following two requirements:
(i) For the Expenditure Threshold Period of January 1, 2016 - December 31, 2016:
(a) the Client Filer has spent in excess of $50,000 in Reportable Compensation and/or Expenses for lobbying in New York State during the Expenditure Threshold Period; and

(b) The Client Filer's Reportable Compensation and Expenses constitute at least 3% of the Client Filer's Total Expenditures during the Expenditure Threshold Period.

(ii) For the Expenditure Threshold Period of September 23, 2016 - December 31, 2016:
(a) the Client Filer has spent in excess of $15,000 in Reportable Compensation and/or Expenses for lobbying in New York State during the Expenditure Threshold Period; and

(b) The Client Filer's Reportable Compensation and Expenses constitute at least 3% of the Client Filer's Total Expenditures during the Expenditure Threshold Period.

(2) Expenditure Threshold Period is determined according to the following:
(i) Full Year Calculation: January 1, 2016 - December 31, 2016.

(ii) Special Period Calculation: September 23, 2016 - December 31, 2016.

Any Client Filer that does not meet the Expenditure Threshold using the Full Year Calculation must then determine whether it has met the Expenditure Threshold using the Special Period Calculation, and if it has, then the Client Filer is deemed to have met the statutory Expenditure Threshold.

(b) Contribution Reporting Requirements for Entities Exceeding the Expenditure Threshold in this section.

(1) If a Client Filer met the Expenditure Threshold during the first client semi-annual reporting period (January 1 - June 30) based on the provisions of section 938.3 of this Part in effect at the time, and thus was required to disclose Sources of Funding in the July 15, 2016 Client Semi-Annual Report, the Client Filer shall disclose the information in section 938.3(e) of this Part for:
(i) all contributions received during the second client semi-annual reporting period from a source who was previously disclosed in the first client semi-annual report;

(ii) all contributions received during the year from a source who was not previously disclosed in the first client semi-annual reporting period, if the total of such contributions is in excess of $5,000; and

(iii) all contributions received from September 23, 2016 - December 31, 2016 from a source who was not previously disclosed in the first client semi-annual reporting period, if the total of contributions received from September 23, 2016 - December 31, 2016 is in excess of $2,500.

(2) If a Client Filer did not meet the Expenditure Threshold during the first client semiannual reporting period (January 1 - June 30) based on the provisions of section 938.3 of this Part in effect at the time, and thus was not required to disclose Sources of Funding in the July 15, 2016 Client Semi-Annual Report, the Client Filer shall disclose the information in section 938.3(e) of this Part for:
(i) all contributions received from July 1, 2016 - December 31, 2016 from a source, if the total of contributions given by a source from July 1, 2016 - December 31, 2016 is in excess of $5,000; and

(ii) all contributions received from September 23, 2016 - December 31, 2016 from a source, if the total of such contributions is in excess of $2,500.

Amended, New York State Register May 21, 2014/Volume XXXVI, Issue 20, eff.5/21/2014

Amended New York State Register February 15, 2017/Volume XXXIX, Issue 07, eff. 2/15/2017

Amended New York State Register May 9, 2018/Volume XL, Issue 19, eff. 1/1/2019

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