Requires legislators and candidates for members of the legislature to provide a link to their financial disclosure statements on their official state and campaign websites which shall direct website visitors to current and past financial disclosure forms that the legislator has submitted.
STATE OF NEW YORK
________________________________________________________________________
3469--A
2021-2022 Regular Sessions
IN ASSEMBLY
January 26, 2021
___________
Introduced by M. of A. McDONALD, WALSH, ASHBY, MORINELLO, LUPARDO --
Multi-Sponsored by -- M. of A. TAGUE, THIELE -- read once and referred
to the Committee on Governmental Operations -- recommitted to the
Committee on Governmental Operations in accordance with Assembly Rule
3, sec. 2 -- committee discharged, bill amended, ordered reprinted as
amended and recommitted to said committee
AN ACT to amend the public officers law, in relation to requiring legis-
lators and candidates for member of the legislature to provide a link
to their financial disclosure statements on their official state and
campaign websites
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. The opening paragraph of paragraph (k) of subdivision 2 of
2 section 73-a of the public officers law is designated subparagraph (i)
3 and two new subparagraphs (ii) and (iii) are added to read as follows:
4 (ii) Notwithstanding any other provision of law to the contrary, all
5 members of the legislature who maintain any state website for service in
6 their official capacity shall establish a clearly visible link entitled
7 "MY FINANCIAL DISCLOSURE STATEMENTS" on the front page of their website
8 which shall direct website visitors to current and past financial
9 disclosure forms that the legislator has submitted to the joint commis-
10 sion on public ethics.
11 (iii) Notwithstanding any other provision of law to the contrary,
12 every candidate for member of the legislature who maintains any website
13 for service in their official campaign capacity shall establish a clear-
14 ly visible link entitled "MY FINANCIAL DISCLOSURE STATEMENTS" on the
15 front page of their campaign website which shall direct visitors to
16 current and past financial disclosure forms that the candidate has
17 submitted to the joint commission on public ethics, in accordance with
18 paragraph (a) of this subdivision.
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD01851-03-2
A. 3469--A 2
1 § 2. The opening paragraph of paragraph (a) of subdivision 2 of
2 section 73-a of the public officers law, as amended by section 7 of part
3 QQ of chapter 56 of the laws of 2022, is amended to read as follows:
4 Every statewide elected official, state officer or employee, member of
5 the legislature, legislative employee and political party chair and
6 every candidate for statewide elected office or for member of the legis-
7 lature shall file an annual statement of financial disclosure containing
8 the information and in the form set forth in subdivision three of this
9 section. Every member of the legislature and candidate for member of the
10 legislature must file their annual statement of financial disclosure
11 electronically in an electronic, readable, searchable and downloadable
12 format. On or before the fifteenth day of May with respect to the
13 preceding calendar year: (1) every member of the legislature, every
14 candidate for member of the legislature and legislative employee shall
15 file such statement with the legislative ethics commission which shall
16 provide such statement along with any requests for exemptions or
17 deletions to the commission on ethics and lobbying in government for
18 filing and rulings with respect to such requests for exemptions or
19 deletions, on or before the thirtieth day of June; and (2) all other
20 individuals required to file such statement shall file it with the
21 commission on ethics and lobbying in government, except that:
22 § 3. Subdivision 3 of section 73-a of the public officers law, as
23 amended by section 18 of part QQ of chapter 56 of the laws of 2022,
24 subparagraphs (b), (b-2) and (c) of paragraph 8 as separately amended by
25 section 8 of part QQ of chapter 56 of the laws of 2022 and paragraph 13
26 as amended by section 1 of part CC of chapter 56 of the laws of 2015, is
27 amended to read as follows:
28 3. (a) The annual statement of financial disclosure shall contain the
29 information and shall be in the form set forth hereinbelow:
30 ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
31 1. Name ______________________________________________________________
32 2. (a) Title of Position _____________________________________________
33 (b) Department, Agency or other Governmental Entity _______________
34 (c) Address of Present Office _____________________________________
35 (d) Office Telephone Number _______________________________________
36 3. (a) Marital Status ______________. If married, please give spouse's
37 full name.
38 __________________________________________________________________.
39 (b) Full name of domestic partner (if applicable).
40 _________________________________________________________________ .
41 (c) List the names of all unemancipated children.
42 ____________________________________________________________________
43 ____________________________________________________________________
44 ____________________________________________________________________
45 ____________________________________________________________________
46 ____________________________________________________________________
47 Answer each of the following questions completely, with respect to
48 calendar year _________, unless another period or date is otherwise
49 specified. If additional space is needed, attach additional pages.
A. 3469--A 3
1 Whenever a "value" or "amount" is required to be reported herein, such
2 value or amount shall be reported as being within one of the following
3 Categories in Table I or Table II of this subdivision as called for in
4 the question: A reporting individual shall indicate the Category by
5 letter only.
6 Whenever "income" is required to be reported herein, the term "income"
7 shall mean the aggregate net income before taxes from the source identi-
8 fied.
9 The term "calendar year" shall mean the year ending the December 31st
10 preceding the date of filing of the annual statement.
11 4. (a) List any office, trusteeship, directorship, partnership, or
12 position of any nature, whether compensated or not, held by the
13 reporting individual with any firm, corporation, association, part-
14 nership, or other organization other than the State of New York.
15 Include compensated honorary positions; do NOT list membership or
16 uncompensated honorary positions. If the listed entity was licensed
17 by any state or local agency, was regulated by any state regulatory
18 agency or local agency, or, as a regular and significant part of the
19 business or activity of said entity, did business with, or had
20 matters other than ministerial matters before, any state or local
21 agency, list the name of any such agency.
22 State or
23 Position Organization Local Agency
24 ____________________________________________________________________
25 ____________________________________________________________________
26 ____________________________________________________________________
27 ____________________________________________________________________
28 ____________________________________________________________________
29 (b) List any office, trusteeship, directorship, partnership, or position
30 of any nature, whether compensated or not, held by the spouse,
31 domestic partner or unemancipated child of the reporting individual,
32 with any firm, corporation, association, partnership, or other
33 organization other than the State of New York. Include compensated
34 honorary positions; do NOT list membership or uncompensated honorary
35 positions. If the listed entity was licensed by any state or local
36 agency, was regulated by any state regulatory agency or local agen-
37 cy, or, as a regular and significant part of the business or activ-
38 ity of said entity, did business with, or had matters other than
39 ministerial matters before, any state or local agency, list the name
40 of any such agency.
41 State or
42 Position Organization Local Agency
43 ____________________________________________________________________
44 ____________________________________________________________________
45 ____________________________________________________________________
46 ____________________________________________________________________
47 ____________________________________________________________________
48 5. (a) List the name, address and description of any occupation,
49 employment (other than the employment listed under Item 2 above),
A. 3469--A 4
1 trade, business or profession engaged in by the reporting individ-
2 ual. If such activity was licensed by any state or local agency, was
3 regulated by any state regulatory agency or local agency, or, as a
4 regular and significant part of the business or activity of said
5 entity, did business with, or had matters other than ministerial
6 matters before, any state or local agency, list the name of any such
7 agency.
8 State or
9 Name & Address Local
10 Position of Organization Description Agency
11 ____________________________________________________________________
12 ____________________________________________________________________
13 ____________________________________________________________________
14 ____________________________________________________________________
15 ____________________________________________________________________
16 (b) If the spouse, domestic partner or unemancipated child of the
17 reporting individual was engaged in any occupation, employment,
18 trade, business or profession which activity was licensed by any
19 state or local agency, was regulated by any state regulatory agency
20 or local agency, or, as a regular and significant part of the busi-
21 ness or activity of said entity, did business with, or had matters
22 other than ministerial matters before, any state or local agency,
23 list the name, address and description of such occupation, employ-
24 ment, trade, business or profession and the name of any such agency.
25 State or
26 Name & Address Local
27 Position of Organization Description Agency
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 6. List any interest, in EXCESS of $1,000, held by the reporting indi-
34 vidual, such individual's spouse, domestic partner or unemancipated
35 child, or partnership of which any such person is a member, or
36 corporation, 10% or more of the stock of which is owned or
37 controlled by any such person, whether vested or contingent, in any
38 contract made or executed by a state or local agency and include the
39 name of the entity which holds such interest and the relationship of
40 the reporting individual or such individual's spouse, domestic part-
41 ner or such child to such entity and the interest in such contract.
42 Do NOT include bonds and notes. Do NOT list any interest in any such
43 contract on which final payment has been made and all obligations
44 under the contract except for guarantees and warranties have been
45 performed, provided, however, that such an interest must be listed
46 if there has been an ongoing dispute during the calendar year for
47 which this statement is filed with respect to any such guarantees or
48 warranties. Do NOT list any interest in a contract made or executed
49 by a local agency after public notice and pursuant to a process for
A. 3469--A 5
1 competitive bidding or a process for competitive requests for
2 proposals.
3 Entity Relationship Contracting Category
4 Self, Which Held to Entity State or of
5 Spouse, Interest in and Interest Local Value of
6 Domestic Contract in Contract Agency Contract
7 Partner or
8 Child (In Table II)
9 ____________________________________________________________________
10 ____________________________________________________________________
11 ____________________________________________________________________
12 ____________________________________________________________________
13 ____________________________________________________________________
14 7. List any position the reporting individual held as an officer of any
15 political party or political organization, as a member of any poli-
16 tical party committee, or as a political party district leader. The
17 term "party" shall have the same meaning as "party" in the election
18 law. The term "political organization" means any party or independ-
19 ent body as defined in the election law or any organization that is
20 affiliated with or a subsidiary of a party or independent body.
21 ____________________________________________________________________
22 ____________________________________________________________________
23 ____________________________________________________________________
24 ____________________________________________________________________
25 ____________________________________________________________________
26 8. (a) If the reporting individual practices law, is licensed by the
27 department of state as a real estate broker or agent or practices a
28 profession licensed by the department of education, or works as a member
29 or employee of a firm required to register pursuant to section one-e of
30 the legislative law as a lobbyist, describe the services rendered for
31 which compensation was paid including a general description of the prin-
32 cipal subject areas of matters undertaken by such individual and princi-
33 pal duties performed. Specifically state whether the reporting individ-
34 ual provides services directly to clients. Additionally, if such an
35 individual practices with a firm or corporation and is a partner or
36 shareholder of the firm or corporation, give a general description of
37 principal subject areas of matters undertaken by such firm or corpo-
38 ration.
39 ____________________________________________________________________
40 ____________________________________________________________________
41 ____________________________________________________________________
42 ____________________________________________________________________
43 ____________________________________________________________________
44 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
45 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
46 THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
47 CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
A. 3469--A 6
1 OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
2 THIRTY-FIRST, TWO THOUSAND FIFTEEN:
3 If the reporting individual personally provides services to any person
4 or entity, or works as a member or employee of a partnership or corpo-
5 ration that provides such services (referred to hereinafter as a
6 "firm"), then identify each client or customer to whom the reporting
7 individual personally provided services, or who was referred to the firm
8 by the reporting individual, and from whom the reporting individual or
9 his or her firm earned fees in excess of $10,000 during the reporting
10 period for such services rendered in direct connection with:
11 (i) A contract in an amount totaling $50,000 or more from the state or
12 any state agency for services, materials, or property;
13 (ii) A grant of $25,000 or more from the state or any state agency
14 during the reporting period;
15 (iii) A grant obtained through a legislative initiative during the
16 reporting period; or
17 (iv) A case, proceeding, application or other matter that is not a
18 ministerial matter before a state agency during the reporting period.
19 For purposes of this question, "referred to the firm" shall mean:
20 having intentionally and knowingly taken a specific act or series of
21 acts to intentionally procure for the reporting individual's firm or
22 knowingly solicit or direct to the reporting individual's firm in whole
23 or substantial part, a person or entity that becomes a client of that
24 firm for the purposes of representation for a matter as defined in
25 subparagraphs (i) through (iv) of this paragraph, as the result of such
26 procurement, solicitation or direction of the reporting individual. A
27 reporting individual need not disclose activities performed while
28 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
29 sion seven of section seventy-three of this article.
30 The disclosure requirement in this question shall not require disclo-
31 sure of clients or customers receiving medical or dental services,
32 mental health services, residential real estate brokering services, or
33 insurance brokering services from the reporting individual or his or her
34 firm. The reporting individual need not identify any client to whom he
35 or she or his or her firm provided legal representation with respect to
36 investigation or prosecution by law enforcement authorities, bankruptcy,
37 or domestic relations matters. With respect to clients represented in
38 other matters, where disclosure of a client's identity is likely to
39 cause harm, the reporting individual shall request an exemption from the
40 commission on ethics and lobbying in government pursuant to section
41 ninety-four of the executive law, provided, however, that a reporting
42 individual who first enters public office after July first, two thousand
43 twelve, need not report clients or customers with respect to matters for
44 which the reporting individual or his or her firm was retained prior to
45 entering public office.
46 Client Nature of Services Provided
47 ________________________________________________________________________
48 ________________________________________________________________________
49 ________________________________________________________________________
50 ________________________________________________________________________
51 ________________________________________________________________________
52 (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
53 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
54 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
55 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
A. 3469--A 7
1 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
2 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
3 If the reporting individual receives income from employment reportable
4 in question 8(a) and personally provides services to any person or enti-
5 ty, or works as a member or employee of a partnership or corporation
6 that provides such services (referred to hereinafter as a "firm"), the
7 reporting individual shall identify each client or customer to whom the
8 reporting individual personally provided services, or who was referred
9 to the firm by the reporting individual, and from whom the reporting
10 individual or his or her firm earned fees in excess of $10,000 during
11 the reporting period in direct connection with:
12 (i) A contract in an amount totaling $10,000 or more from the state or
13 any state agency for services, materials, or property;
14 (ii) A grant of $10,000 or more from the state or any state agency
15 during the reporting period;
16 (iii) A grant obtained through a legislative initiative during the
17 reporting period; or
18 (iv) A case, proceeding, application or other matter that is not a
19 ministerial matter before a state agency during the reporting period.
20 For such services rendered by the reporting individual directly to
21 each such client, describe each matter that was the subject of such
22 representation, the services actually provided and the payment received.
23 For payments received from clients referred to the firm by the reporting
24 individual, if the reporting individual directly received a referral fee
25 or fees for such referral, identify the client and the payment so
26 received.
27 For purposes of this question, "referred to the firm" shall mean:
28 having intentionally and knowingly taken a specific act or series of
29 acts to intentionally procure for the reporting individual's firm or
30 having knowingly solicited or directed to the reporting individual's
31 firm in whole or substantial part, a person or entity that becomes a
32 client of that firm for the purposes of representation for a matter as
33 defined in clauses (i) through (iv) of this subparagraph, as the result
34 of such procurement, solicitation or direction of the reporting individ-
35 ual. A reporting individual need not disclose activities performed while
36 lawfully acting in his or her capacity as provided in paragraphs (c),
37 (d), (e) and (f) of subdivision seven of section seventy-three of this
38 article.
39 Client Matter Nature of Services Provided Category
40 of Amount
41 (in Table I)
42 ________________________________________________________________________
43 ________________________________________________________________________
44 ________________________________________________________________________
45 ________________________________________________________________________
46 ________________________________________________________________________
47 (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
48 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
49 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
50 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
51 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
52 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
53 (i) With respect to reporting individuals who receive ten thousand
54 dollars or more from employment or activity reportable under question
A. 3469--A 8
1 8(a), for each client or customer NOT otherwise disclosed or exempted in
2 question 8 or 13, disclose the name of each client or customer known to
3 the reporting individual to whom the reporting individual provided
4 services: (A) who paid the reporting individual in excess of five thou-
5 sand dollars for such services; or (B) who had been billed with the
6 knowledge of the reporting individual in excess of five thousand dollars
7 by the firm or other entity named in question 8(a) for the reporting
8 individual's services.
9 Client Services Category of Amount
10 Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
11 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
12 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
13 * REVIEWED DOCUMENTS AND CORRESPONDENCE;
14 * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
15 * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
16 * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
17 OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
18 * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
19 NAME);
20 * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
21 REPRESENTATION OR CONSULTATION;
22 * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
23 * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
24 RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
25 * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
26 (ii) With respect to reporting individuals who disclosed in question
27 8(a) that the reporting individual did not provide services to a client
28 but provided services to a firm or business, identify the category of
29 amount received for providing such services and describe the services
30 rendered.
31 Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
32 A reporting individual need not disclose activities performed while
33 lawfully acting in his or her capacity as provided in paragraphs (c),
34 (d), (e) and (f) of subdivision seven of section seventy-three of this
35 article.
36 The disclosure requirement in questions (b-1) and (b-2) shall not
37 require disclosing clients or customers receiving medical, pharmaceu-
38 tical or dental services, mental health services, or residential real
39 estate brokering services from the reporting individual or his or her
40 firm or if federal law prohibits or limits disclosure. The reporting
41 individual need not identify any client to whom he or she or his or her
42 firm provided legal representation with respect to investigation or
43 prosecution by law enforcement authorities, bankruptcy, family court,
44 estate planning, or domestic relations matters, nor shall the reporting
45 individual identify individuals represented pursuant to an insurance
46 policy but the reporting individual shall in such circumstances only
47 report the entity that provides compensation to the reporting individ-
A. 3469--A 9
1 ual; with respect to matters in which the client's name is required by
2 law to be kept confidential (such as matters governed by the family
3 court act) or in matters in which the reporting individual represents or
4 provides services to minors, the client's name may be replaced with
5 initials. To the extent that the reporting individual, or his or her
6 firm, provided legal representation with respect to an initial public
7 offering, and professional disciplinary rules, federal law or regu-
8 lations restrict the disclosure of information relating to such work,
9 the reporting individual shall (i) disclose the identity of the client
10 and the services provided relating to the initial public offering to the
11 office of court administration, who will maintain such information
12 confidentially in a locked box; and (ii) include in his or her response
13 to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
14 sure to the office of court administration has been made. Upon such time
15 that the disclosure of information maintained in the locked box is no
16 longer restricted by professional disciplinary rules, federal law or
17 regulation, the reporting individual shall disclose such information in
18 an amended disclosure statement in response to the disclosure require-
19 ments in questions (b-1) and (b-2). The office of court administration
20 shall develop and maintain a secure portal through which information
21 submitted to it pursuant to this paragraph can be safely and confiden-
22 tially stored. With respect to clients represented in other matters not
23 otherwise exempt, the reporting individual may request an exemption to
24 publicly disclosing the name of that client from the commission on
25 ethics and lobbying in government pursuant to section ninety-four of the
26 executive law, or from the office of court administration. In such
27 application, the reporting individual shall state the following: "My
28 client is not currently receiving my services or seeking my services in
29 connection with:
30 (i) A proposed bill or resolution in the senate or assembly during the
31 reporting period;
32 (ii) A contract in an amount totaling $10,000 or more from the state
33 or any state agency for services, materials, or property;
34 (iii) A grant of $10,000 or more from the state or any state agency
35 during the reporting period;
36 (iv) A grant obtained through a legislative initiative during the
37 reporting period; or
38 (v) A case, proceeding, application or other matter that is not a
39 ministerial matter before a state agency during the reporting period."
40 In reviewing the request for an exemption, the commission on ethics
41 and lobbying in government or the office of court administration may
42 consult with bar or other professional associations and the legislative
43 ethics commission for individuals subject to its jurisdiction and may
44 consider the rules of professional conduct. In making its determination,
45 the commission on ethics and lobbying in government or the office of
46 court administration shall conduct its own inquiry and shall consider
47 factors including, but not limited to: (i) the nature and the size of
48 the client; (ii) whether the client has any business before the state;
49 and if so, how significant the business is; and whether the client has
50 any particularized interest in pending legislation and if so how signif-
51 icant the interest is; (iii) whether disclosure may reveal trade
52 secrets; (iv) whether disclosure could reasonably result in retaliation
53 against the client; (v) whether disclosure may cause undue harm to the
54 client; (vi) whether disclosure may result in undue harm to the attor-
55 ney-client relationship; and (vii) whether disclosure may result in an
56 unnecessary invasion of privacy to the client.
A. 3469--A 10
1 The commission on ethics and lobbying in government or, as the case
2 may be, the office of court administration shall promptly make a final
3 determination in response to such request, which shall include an expla-
4 nation for its determination. The office of court administration shall
5 issue its final determination within three days of receiving the
6 request. Notwithstanding any other provision of law or any professional
7 disciplinary rule to the contrary, the disclosure of the identity of any
8 client or customer in response to this question shall not constitute
9 professional misconduct or a ground for disciplinary action of any kind,
10 or form the basis for any civil or criminal cause of action or proceed-
11 ing. A reporting individual who first enters public office after January
12 first, two thousand sixteen, need not report clients or customers with
13 respect to matters for which the reporting individual or his or her firm
14 was retained prior to entering public office.
15 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
16 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
17 NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
18 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
19 SAND FIFTEEN:
20 If the reporting individual receives income of ten thousand dollars or
21 greater from any employment or activity reportable under question 8(a),
22 identify each registered lobbyist who has directly referred to such
23 individual a client who was successfully referred to the reporting indi-
24 vidual's business and from whom the reporting individual or firm
25 received a fee for services in excess of five thousand dollars. Report
26 only those referrals that were made to a reporting individual by direct
27 communication from a person known to such reporting individual to be a
28 registered lobbyist at the time the referral is made. With respect to
29 each such referral, the reporting individual shall identify the client,
30 the registered lobbyist who has made the referral, the category of value
31 of the compensation received and a general description of the type of
32 matter so referred. A reporting individual need not disclose activities
33 performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
34 (f) of subdivision seven of section seventy-three of this article. The
35 disclosure requirements in this question shall not require disclosing
36 clients or customers receiving medical, pharmaceutical or dental
37 services, mental health services, or residential real estate brokering
38 services from the reporting individual or his or her firm or if federal
39 law prohibits or limits disclosure. The reporting individual need not
40 identify any client to whom he or she or his or her firm provided legal
41 representation with respect to investigation or prosecution by law
42 enforcement authorities, bankruptcy, family court, estate planning, or
43 domestic relations matters, nor shall the reporting individual identify
44 individuals represented pursuant to an insurance policy but the report-
45 ing individual shall in such circumstances only report the entity that
46 provides compensation to the reporting individual; with respect to
47 matters in which the client's name is required by law to be kept confi-
48 dential (such as matters governed by the family court act) or in matters
49 in which the reporting individual represents or provides services to
50 minors, the client's name may be replaced with initials. To the extent
51 that the reporting individual, or his or her firm, provided legal repre-
52 sentation with respect to an initial public offering, and federal law or
53 regulations restricts the disclosure of information relating to such
54 work, the reporting individual shall (i) disclose the identity of the
55 client and the services provided relating to the initial public offering
56 to the office of court administration, who will maintain such informa-
A. 3469--A 11
1 tion confidentially in a locked box; and (ii) include in his or her
2 response a statement that pursuant to this paragraph, a disclosure to
3 the office of court administration has been made. Upon such time that
4 the disclosure of information maintained in the locked box is no longer
5 restricted by federal law or regulation, the reporting individual shall
6 disclose such information in an amended disclosure statement in response
7 to the disclosure requirements of this paragraph. The office of court
8 administration shall develop and maintain a secure portal through which
9 information submitted to it pursuant to this paragraph can be safely and
10 confidentially stored. With respect to clients represented in other
11 matters not otherwise exempt, the reporting individual may request an
12 exemption to publicly disclosing the name of that client from the
13 commission on ethics and lobbying in government pursuant to section
14 ninety-four of the executive law, or from the office of court adminis-
15 tration. In such application, the reporting individual shall state the
16 following: "My client is not currently receiving my services or seeking
17 my services in connection with:
18 (i) A proposed bill or resolution in the senate or assembly during the
19 reporting period;
20 (ii) A contract in an amount totaling $10,000 or more from the state
21 or any state agency for services, materials, or property;
22 (iii) A grant of $10,000 or more from the state or any state agency
23 during the reporting period;
24 (iv) A grant obtained through a legislative initiative during the
25 reporting period; or
26 (v) A case, proceeding, application or other matter that is not a
27 ministerial matter before a state agency during the reporting period."
28 In reviewing the request for an exemption, the commission on ethics
29 and lobbying in government or the office of court administration may
30 consult with bar or other professional associations and the legislative
31 ethics commission for individuals subject to its jurisdiction and may
32 consider the rules of professional conduct. In making its determination,
33 the commission on ethics and lobbying in government or the office of
34 court administration shall conduct its own inquiry and shall consider
35 factors including, but not limited to: (i) the nature and the size of
36 the client; (ii) whether the client has any business before the state;
37 and if so, how significant the business is; and whether the client has
38 any particularized interest in pending legislation and if so how signif-
39 icant the interest is; (iii) whether disclosure may reveal trade
40 secrets; (iv) whether disclosure could reasonably result in retaliation
41 against the client; (v) whether disclosure may cause undue harm to the
42 client; (vi) whether disclosure may result in undue harm to the attor-
43 ney-client relationship; and (vii) whether disclosure may result in an
44 unnecessary invasion of privacy to the client.
45 The commission on ethics and lobbying in government or, as the case
46 may be, the office of court administration shall promptly make a final
47 determination in response to such request, which shall include an expla-
48 nation for its determination. The office of court administration shall
49 issue its final determination within three days of receiving the
50 request. Notwithstanding any other provision of law or any professional
51 disciplinary rule to the contrary, the disclosure of the identity of any
52 client or customer in response to this question shall not constitute
53 professional misconduct or a ground for disciplinary action of any kind,
54 or form the basis for any civil or criminal cause of action or proceed-
55 ing. A reporting individual who first enters public office after Decem-
56 ber thirty-first, two thousand fifteen, need not report clients or
A. 3469--A 12
1 customers with respect to matters for which the reporting individual or
2 his or her firm was retained prior to entering public office.
3 Client Name of Lobbyist Description Category of Amount
4 of Matter (in Table [1] I)
5 ________________________________________________________________________
6 ________________________________________________________________________
7 ________________________________________________________________________
8 ________________________________________________________________________
9 ________________________________________________________________________
10 (d) List the name, principal address and general description or the
11 nature of the business activity of any entity in which the reporting
12 individual or such individual's spouse or domestic partner had an
13 investment in excess of $1,000 excluding investments in securities and
14 interests in real property.
15 9. List each source of gifts, EXCLUDING campaign contributions, in
16 EXCESS of $1,000, received during the reporting period for which this
17 statement is filed by the reporting individual or such individual's
18 spouse, domestic partner or unemancipated child from the same donor,
19 EXCLUDING gifts from a relative. INCLUDE the name and address of the
20 donor. The term "gifts" does not include reimbursements, which term is
21 defined in item 10. Indicate the value and nature of each such gift.
22 Category
23 Self, of
24 Spouse, Name of Nature Value of
25 Domestic Donor Address of Gift Gift
26 Partner (In Table I)
27 or Child
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 10. Identify and briefly describe the source of any reimbursements for
34 expenditures, EXCLUDING campaign expenditures and expenditures in
35 connection with official duties reimbursed by the state, in EXCESS
36 of $1,000 from each such source. For purposes of this item, the term
37 "reimbursements" shall mean any travel-related expenses provided by
38 nongovernmental sources and for activities related to the reporting
39 individual's official duties such as, speaking engagements, confer-
40 ences, or factfinding events. The term "reimbursements" does NOT
41 include gifts reported under item 9.
42 Source Description
43 ____________________________________________________________________
44 ____________________________________________________________________
45 ____________________________________________________________________
46 ____________________________________________________________________
47 ____________________________________________________________________
A. 3469--A 13
1 11. List the identity and value, if reasonably ascertainable, of each
2 interest in a trust, estate or other beneficial interest, including
3 retirement plans (other than retirement plans of the state of New
4 York or the city of New York), and deferred compensation plans
5 (e.g., 401, 403(b), 457, etc.) established in accordance with the
6 internal revenue code, in which the REPORTING INDIVIDUAL held a
7 beneficial interest in EXCESS of $1,000 at any time during the
8 preceding year. Do NOT report interests in a trust, estate or other
9 beneficial interest established by or for, or the estate of, a rela-
10 tive.
11 Category
12 Identity of Value*
13 (In Table II)
14 ____________________________________________________________________
15 ____________________________________________________________________
16 ____________________________________________________________________
17 ____________________________________________________________________
18 ____________________________________________________________________
19 * The value of such interest shall be reported only if reasonably
20 ascertainable.
21 12. (a) Describe the terms of, and the parties to, any contract, prom-
22 ise, or other agreement between the reporting individual and any
23 person, firm, or corporation with respect to the employment of such
24 individual after leaving office or position (other than a leave of
25 absence).
26 ____________________________________________________________________
27 ____________________________________________________________________
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 (b) Describe the parties to and the terms of any agreement providing
32 for continuation of payments or benefits to the REPORTING INDIVIDUAL
33 in EXCESS of $1,000 from a prior employer OTHER THAN the State.
34 (This includes interests in or contributions to a pension fund,
35 profit-sharing plan, or life or health insurance; buy-out agree-
36 ments; severance payments; etc.)
37 ____________________________________________________________________
38 ____________________________________________________________________
39 ____________________________________________________________________
40 ____________________________________________________________________
41 ____________________________________________________________________
42 13. List below the nature and amount of any income in EXCESS of $1,000
43 from EACH SOURCE for the reporting individual and such individual's
44 spouse or domestic partner for the taxable year last occurring prior
45 to the date of filing. Each such source must be described with
46 particularity. Nature of income includes, but is not limited to, all
47 income (other than that received from the employment listed under
48 Item 2 above) from compensated employment whether public or private,
49 directorships and other fiduciary positions, contractual arrange-
A. 3469--A 14
1 ments, teaching income, partnerships, honorariums, lecture fees,
2 consultant fees, bank and bond interest, dividends, income derived
3 from a trust, real estate rents, and recognized gains from the sale
4 or exchange of real or other property. Income from a business or
5 profession and real estate rents shall be reported with the source
6 identified by the building address in the case of real estate rents
7 and otherwise by the name of the entity and not by the name of the
8 individual customers, clients or tenants, with the aggregate net
9 income before taxes for each building address or entity. The
10 receipt of maintenance received in connection with a matrimonial
11 action, alimony and child support payments shall not be listed.
12 Self/ Category
13 Spouse Source Nature of Amount
14 or Domestic (In Table I)
15 Partner
16 ____________________________________________________________________
17 ____________________________________________________________________
18 ____________________________________________________________________
19 ____________________________________________________________________
20 ____________________________________________________________________
21 14. List the sources of any deferred income (not retirement income) in
22 EXCESS of $1,000 from each source to be paid to the reporting indi-
23 vidual following the close of the calendar year for which this
24 disclosure statement is filed, other than deferred compensation
25 reported in item 11 hereinabove. Deferred income derived from the
26 practice of a profession shall be listed in the aggregate and shall
27 identify as the source, the name of the firm, corporation, partner-
28 ship or association through which the income was derived, but shall
29 not identify individual clients.
30 Category
31 Source of Amount
32 (In Table I)
33 ____________________________________________________________________
34 ____________________________________________________________________
35 ____________________________________________________________________
36 ____________________________________________________________________
37 ____________________________________________________________________
38 15. List each assignment of income in EXCESS of $1,000, and each trans-
39 fer other than to a relative during the reporting period for which
40 this statement is filed for less than fair consideration of an
41 interest in a trust, estate or other beneficial interest, securities
42 or real property, by the reporting individual, in excess of $1,000,
43 which would otherwise be required to be reported herein and is not
44 or has not been so reported.
45 Item Assigned Assigned or Category
46 or Transferred Transferred to of Value
47 (In Table I)
A. 3469--A 15
1 ____________________________________________________________________
2 ____________________________________________________________________
3 ____________________________________________________________________
4 ____________________________________________________________________
5 ____________________________________________________________________
6 16. List below the type and market value of securities held by the
7 reporting individual or such individual's spouse or domestic partner
8 from each issuing entity in EXCESS of $1,000 at the close of the
9 taxable year last occurring prior to the date of filing, including
10 the name of the issuing entity exclusive of securities held by the
11 reporting individual issued by a professional corporation. Whenever
12 an interest in securities exists through a beneficial interest in a
13 trust, the securities held in such trust shall be listed ONLY IF the
14 reporting individual has knowledge thereof except where the report-
15 ing individual or the reporting individual's spouse or domestic
16 partner has transferred assets to such trust for his or her benefit
17 in which event such securities shall be listed unless they are not
18 ascertainable by the reporting individual because the trustee is
19 under an obligation or has been instructed in writing not to
20 disclose the contents of the trust to the reporting individual.
21 Securities of which the reporting individual or the reporting indi-
22 vidual's spouse or domestic partner is the owner of record but in
23 which such individual or the reporting individual's spouse or domes-
24 tic partner has no beneficial interest shall not be listed. Indicate
25 percentage of ownership ONLY if the reporting person or the report-
26 ing person's spouse or domestic partner holds more than five percent
27 (5%) of the stock of a corporation in which the stock is publicly
28 traded or more than ten percent (10%) of the stock of a corporation
29 in which the stock is NOT publicly traded. Also list securities
30 owned for investment purposes by a corporation more than fifty
31 percent (50%) of the stock of which is owned or controlled by the
32 reporting individual or such individual's spouse or domestic part-
33 ner. For the purpose of this item the term "securities" shall mean
34 mutual funds, bonds, mortgages, notes, obligations, warrants and
35 stocks of any class, investment interests in limited or general
36 partnerships and certificates of deposits (CDs) and such other
37 evidences of indebtedness and certificates of interest as are usual-
38 ly referred to as securities. The market value for such securities
39 shall be reported only if reasonably ascertainable and shall not be
40 reported if the security is an interest in a general partnership
41 that was listed in item 8 (a) or if the security is corporate stock,
42 NOT publicly traded, in a trade or business of a reporting individ-
43 ual or a reporting individual's spouse or domestic partner.
44 Percentage
45 of corporate
46 stock owned
47 or controlled Category of
48 (if more than Market Value
49 5% of pub- as of the close
50 licly traded of the
51 stock, or taxable year
52 more than last occurring
53 10% if stock prior to
54 Self/ Issuing Type of not publicly the filing of
A. 3469--A 16
1 Spouse Entity Security traded, is held) this statement
2 or (In Table II)
3 Domestic
4 Partner
5 ____________________________________________________________________
6 ____________________________________________________________________
7 ____________________________________________________________________
8 ____________________________________________________________________
9 ____________________________________________________________________
10 17. List below the location, size, general nature, acquisition date,
11 market value and percentage of ownership of any real property in
12 which any vested or contingent interest in EXCESS of $1,000 is held
13 by the reporting individual or the reporting individual's spouse or
14 domestic partner. Also list real property owned for investment
15 purposes by a corporation more than fifty percent (50%) of the stock
16 of which is owned or controlled by the reporting individual or such
17 individual's spouse or domestic partner. Do NOT list any real prop-
18 erty which is the primary or secondary personal residence of the
19 reporting individual or the reporting individual's spouse or domes-
20 tic partner, except where there is a co-owner who is other than a
21 relative.
22 Self/ Percentage Category
23 Spouse/ General Acquisition of of Market
24 Domestic Nature Date Ownership Value
25 Partner (In
26 Corporation Location Size Table II)
27 ________________________________________________________________________
28 ________________________________________________________________________
29 ________________________________________________________________________
30 ________________________________________________________________________
31 ________________________________________________________________________
32 18. List below all notes and accounts receivable, other than from goods
33 or services sold, held by the reporting individual at the close of
34 the taxable year last occurring prior to the date of filing and
35 other debts owed to such individual at the close of the taxable year
36 last occurring prior to the date of filing, in EXCESS of $1,000,
37 including the name of the debtor, type of obligation, date due and
38 the nature of the collateral securing payment of each, if any,
39 excluding securities reported in item 16 hereinabove. Debts, notes
40 and accounts receivable owed to the individual by a relative shall
41 not be reported.
42 Type of Obligation, Category
43 Date Due, and Nature of
44 Name of Debtor of Collateral, if any Amount
45 (In Table II)
46 ____________________________________________________________________
47 ____________________________________________________________________
48 ____________________________________________________________________
A. 3469--A 17
1 ____________________________________________________________________
2 ____________________________________________________________________
3 19. List below all liabilities of the reporting individual and such
4 individual's spouse or domestic partner, in EXCESS of $10,000 as of
5 the date of filing of this statement, other than liabilities to a
6 relative. Do NOT list liabilities incurred by, or guarantees made
7 by, the reporting individual or such individual's spouse or domestic
8 partner or by any proprietorship, partnership or corporation in
9 which the reporting individual or such individual's spouse or domes-
10 tic partner has an interest, when incurred or made in the ordinary
11 course of the trade, business or professional practice of the
12 reporting individual or such individual's spouse or domestic part-
13 ner. Include the name of the creditor and any collateral pledged by
14 such individual to secure payment of any such liability. A reporting
15 individual shall not list any obligation to pay maintenance in
16 connection with a matrimonial action, alimony or child support
17 payments. Any loan issued in the ordinary course of business by a
18 financial institution to finance educational costs, the cost of home
19 purchase or improvements for a primary or secondary residence, or
20 purchase of a personally owned motor vehicle, household furniture or
21 appliances shall be excluded. If any such reportable liability has
22 been guaranteed by any third person, list the liability and name the
23 guarantor.
24 Category
25 Name of Creditor Type of Liability of
26 or Guarantor and Collateral, if any Amount
27 (In Table II)
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 The requirements of law relating to the reporting of financial
34 interests are in the public interest and no adverse inference of
35 unethical or illegal conduct or behavior will be drawn merely from
36 compliance with these requirements.
37 ___________________________________ _________________________
38 (Signature of Reporting Individual) Date (month/day/year)
39 TABLE I
40 Category A none
41 Category B $ 1 to under $ 1,000
42 Category C $ 1,000 to under $ 5,000
43 Category D $ 5,000 to under $ 20,000
44 Category E $ 20,000 to under $ 50,000
45 Category F $ 50,000 to under $ 75,000
46 Category G $ 75,000 to under $ 100,000
47 Category H $ 100,000 to under $ 150,000
48 Category I $ 150,000 to under $ 250,000
49 Category J $ 250,000 to under $ 350,000
50 Category K $ 350,000 to under $ 450,000
A. 3469--A 18
1 Category L $ 450,000 to under $ 550,000
2 Category M $ 550,000 to under $ 650,000
3 Category N $ 650,000 to under $ 750,000
4 Category O $ 750,000 to under $ 850,000
5 Category P $ 850,000 to under $ 950,000
6 Category Q $ 950,000 to under $1,050,000
7 Category R $1,050,000 to under $1,150,000
8 Category S $1,150,000 to under $1,250,000
9 Category T $1,250,000 to under $1,350,000
10 Category U $1,350,000 to under $1,450,000
11 Category V $1,450,000 to under $1,550,000
12 Category W $1,550,000 to under $1,650,000
13 Category X $1,650,000 to under $1,750,000
14 Category Y $1,750,000 to under $1,850,000
15 Category Z $1,850,000 to under $1,950,000
16 Category AA $1,950,000 to under $2,050,000
17 Category BB $2,050,000 to under $2,150,000
18 Category CC $2,150,000 to under $2,250,000
19 Category DD $2,250,000 to under $2,350,000
20 Category EE $2,350,000 to under $2,450,000
21 Category FF $2,450,000 to under $2,550,000
22 Category GG $2,550,000 to under $2,650,000
23 Category HH $2,650,000 to under $2,750,000
24 Category II $2,750,000 to under $2,850,000
25 Category JJ $2,850,000 to under $2,950,000
26 Category KK $2,950,000 to under $3,050,000
27 Category LL $3,050,000 to under $3,150,000
28 Category MM $3,150,000 to under $3,250,000
29 Category NN $3,250,000 to under $3,350,000
30 Category OO $3,350,000 to under $3,450,000
31 Category PP $3,450,000 to under $3,550,000
32 Category QQ $3,550,000 to under $3,650,000
33 Category RR $3,650,000 to under $3,750,000
34 Category SS $3,750,000 to under $3,850,000
35 Category TT $3,850,000 to under $3,950,000
36 Category UU $3,950,000 to under $4,050,000
37 Category VV $4,050,000 to under $4,150,000
38 Category WW $4,150,000 to under $4,250,000
39 Category XX $4,250,000 to under $4,350,000
40 Category YY $4,350,000 to under $4,450,000
41 Category ZZ $4,450,000 to under $4,550,000
42 Category AAA $4,550,000 to under $4,650,000
43 Category BBB $4,650,000 to under $4,750,000
44 Category CCC $4,750,000 to under $4,850,000
45 Category DDD $4,850,000 to under $4,950,000
46 Category EEE $4,950,000 to under $5,050,000
47 Category FFF $5,050,000 to under $5,150,000
48 Category GGG $5,150,000 to under $5,250,000
49 Category HHH $5,250,000 to under $5,350,000
50 Category III $5,350,000 to under $5,450,000
51 Category JJJ $5,450,000 to under $5,550,000
52 Category KKK $5,550,000 to under $5,650,000
53 Category LLL $5,650,000 to under $5,750,000
54 Category MMM $5,750,000 to under $5,850,000
55 Category NNN $5,850,000 to under $5,950,000
56 Category OOO $5,950,000 to under $6,050,000
A. 3469--A 19
1 Category PPP $6,050,000 to under $6,150,000
2 Category QQQ $6,150,000 to under $6,250,000
3 Category RRR $6,250,000 to under $6,350,000
4 Category SSS $6,350,000 to under $6,450,000
5 Category TTT $6,450,000 to under $6,550,000
6 Category UUU $6,550,000 to under $6,650,000
7 Category VVV $6,650,000 to under $6,750,000
8 Category WWW $6,750,000 to under $6,850,000
9 Category XXX $6,850,000 to under $6,950,000
10 Category YYY $6,950,000 to under $7,050,000
11 Category ZZZ $7,050,000 to under $7,150,000
12 Category AAAA $7,150,000 to under $7,250,000
13 Category BBBB $7,250,000 to under $7,350,000
14 Category CCCC $7,350,000 to under $7,450,000
15 Category DDDD $7,450,000 to under $7,550,000
16 Category EEEE $7,550,000 to under $7,650,000
17 Category FFFF $7,650,000 to under $7,750,000
18 Category GGGG $7,750,000 to under $7,850,000
19 Category HHHH $7,850,000 to under $7,950,000
20 Category IIII $7,950,000 to under $8,050,000
21 Category JJJJ $8,050,000 to under $8,150,000
22 Category KKKK $8,150,000 to under $8,250,000
23 Category LLLL $8,250,000 to under $8,350,000
24 Category MMMM $8,350,000 to under $8,450,000
25 Category NNNN $8,450,000 to under $8,550,000
26 Category OOOO $8,550,000 to under $8,650,000
27 Category PPPP $8,650,000 to under $8,750,000
28 Category QQQQ $8,750,000 to under $8,850,000
29 Category RRRR $8,850,000 to under $8,950,000
30 Category SSSS $8,950,000 to under $9,050,000
31 Category TTTT $9,050,000 to under $9,150,000
32 Category UUUU $9,150,000 to under $9,250,000
33 Category VVVV $9,250,000 to under $9,350,000
34 Category WWWW $9,350,000 to under $9,450,000
35 Category XXXX $9,450,000 to under $9,550,000
36 Category YYYY $9,550,000 to under $9,650,000
37 Category ZZZZ $9,650,000 to under $9,750,000
38 Category AAAAA $9,750,000 to under $9,850,000
39 Category BBBBB $9,850,000 to under $9,950,000
40 Category CCCCC $9,950,000 to under $10,000,000
41 Category DDDDD $10,000,000 or over
42 TABLE II
43 Category A none
44 Category B $ 1 to under $ 1,000
45 Category C $ 1,000 to under $ 5,000
46 Category D $ 5,000 to under $ 20,000
47 Category E $ 20,000 to under $ 50,000
48 Category F $ 50,000 to under $ 75,000
49 Category G $ 75,000 to under $ 100,000
50 Category H $ 100,000 to under $ 150,000
51 Category I $ 150,000 to under $ 250,000
52 Category J $ 250,000 to under $ 500,000
53 Category K $ 500,000 to under $ 750,000
54 Category L $ 750,000 to under $1,000,000
55 Category M $1,000,000 to under $1,250,000
A. 3469--A 20
1 Category N $1,250,000 to under $1,500,000
2 Category O $1,500,000 to under $1,750,000
3 Category P $1,750,000 to under $2,000,000
4 Category Q $2,000,000 to under $2,250,000
5 Category R $2,250,000 to under $2,500,000
6 Category S $2,500,000 to under $2,750,000
7 Category T $2,750,000 to under $3,000,000
8 Category U $3,000,000 to under $3,250,000
9 Category V $3,250,000 to under $3,500,000
10 Category W $3,500,000 to under $3,750,000
11 Category X $3,750,000 to under $4,000,000
12 Category Y $4,000,000 to under $4,250,000
13 Category Z $4,250,000 to under $4,500,000
14 Category AA $4,500,000 to under $4,750,000
15 Category BB $4,750,000 to under $5,000,000
16 Category CC $5,000,000 to under $5,250,000
17 Category DD $5,250,000 to under $5,500,000
18 Category EE $5,500,000 to under $5,750,000
19 Category FF $5,750,000 to under $6,000,000
20 Category GG $6,000,000 to under $6,250,000
21 Category HH $6,250,000 to under $6,500,000
22 Category II $6,500,000 to under $6,750,000
23 Category JJ $6,750,000 to under $7,000,000
24 Category KK $7,000,000 to under $7,250,000
25 Category LL $7,250,000 to under $7,500,000
26 Category MM $7,500,000 to under $7,750,000
27 Category NN $7,750,000 to under $8,000,000
28 Category OO $8,000,000 to under $8,250,000
29 Category PP $8,250,000 to under $8,500,000
30 Category QQ $8,500,000 to under $8,750,000
31 Category RR $8,750,000 to under $9,000,000
32 Category SS $9,000,000 to under $9,250,000
33 Category TT $9,250,000 to under $9,500,000
34 Category UU $9,500,000 or over
35 (b) The joint commission on public ethics shall make available an
36 editable, electronic, readable and searchable version of the annual
37 statement of financial disclosure by January first, two thousand twen-
38 ty-three to all those required by law to submit such forms.
39 § 4. This act shall take effect on the same date and in the same
40 manner as part QQ of chapter 56 of the laws of 2022, takes effect;
41 provided, however, that section two of this act shall take effect on
42 January first, two thousand twenty-three; provided, further, that if
43 section 7 of part QQ of chapter 56 of the laws of 2022 shall not have
44 taken effect on or before such date then section two of this act shall
45 take effect on the same date and in the same manner as such chapter of
46 the laws of 2022 takes effect. Effective immediately the addition,
47 amendment and/or repeal of any rule or regulation necessary for the
48 implementation of this act on its effective date are authorized to be
49 made on or before such date.
