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A03841 Summary:
| BILL NO | A03841 |
| SAME AS | SAME AS S00979 |
| SPONSOR | McDonald |
| COSPNSR | D'Urso, Gottfried, Walsh, Vanel, Lawrence, Morinello, Ashby, Arroyo, Rosenthal D, Santabarbara, Thiele, Sayegh, Schmitt, Miller B, Blake, Seawright |
| MLTSPNSR | Simon, Tague |
| Amd §73-a, Pub Off L | |
| Relates to electronic financial disclosures of members and candidates of the legislature and requires creation of electronic version of disclosure statement. | |
A03841 Committee Votes:
Go to topA03841 Floor Votes:
There are no votes for this bill in this legislative session.
Go to topA03841 Memo:
Go to topNEW YORK STATE ASSEMBLY
MEMORANDUM IN SUPPORT OF LEGISLATION
submitted in accordance with Assembly Rule III, Sec 1(f)
TITLE OF BILL: An act to amend the public officers law, in relation to electronic financial disclosures of members and candidates of the legislature PURPOSE OR GENERAL IDEA OF BILL: The purpose of this legislation is to increase transparency and accessi- bility of financial disclosure statements for constituents and the elec- torate to easily access them and search their contents. SUMMARY OF SPECIFIC PROVISIONS: Section 1 of the bill amends Section 73-a (2) of the Public Officers Law by adding Section 2 of the bill adds a paragraph (b) that requires JCOPE to make available an editable, electronic, readable, and searchable version of the annual statement of financial disclosure to anyone required to submit such forms. Section 3 of the bill establishes the effective date. JUSTIFICATION: The Public Integrity Reform Act of 2011 required New York State govern- ment officials and State legislative candidates to file financial disclosure statements to the Joint Commission on Public Ethics (JCOPE) on an annual basis. The financial disclosure statements must be submit- ted to JCOPE by May 15 of each calendar year, where they are thoroughly review by the commission. After the commission approves the statements for public posting, JCOPE is required to post such statements on their website by June 30 of each calendar year. The intent of the act was to comprehensively reform both the requirements and enforcement of public ethics in the state. I applaud the intent of the act for its efforts to restore public confi- dence in our government by requiring the disclosure of outside income sources of elected officials. Posting the statements on JCOPE's website is a step in the right direction; however providing the statements in a searchable format allows the public to access the information with ease. PRIOR LEGISLATIVE HISTORY: 2017-2018 A.6222/S.5477 FISCAL IMPLICATIONS: To be determined. EFFECTIVE DATE: This act shall take effect immediately Section one shall take effect on January 1, 2021.
A03841 Text:
Go to topSTATE OF NEW YORK ________________________________________________________________________ 3841 2019-2020 Regular Sessions IN ASSEMBLY January 31, 2019 ___________ Introduced by M. of A. McDONALD, D'URSO, GOTTFRIED, WALSH, VANEL, LAWRENCE, MORINELLO, ASHBY -- read once and referred to the Committee on Governmental Operations AN ACT to amend the public officers law, in relation to electronic financial disclosures of members and candidates of the legislature 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 (a) of subdivision 2 of 2 section 73-a of the public officers law, as amended by section 5 of part 3 A of chapter 399 of the laws of 2011, 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 chairman 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 10 the 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 joint commission on public ethics for filing and 18 rulings with respect to such requests for exemptions or deletions, on or 19 before the thirtieth day of June; and (2) all other individuals required 20 to file such statement shall file it with the joint commission on public 21 ethics, except that: 22 § 2. Subdivision 3 of section 73-a of the public officers law, as 23 amended by section 5 of part A of chapter 399 of the laws of 2011, para- 24 graph 8 as amended by section 6 of part K of chapter 286 of the laws of EXPLANATION--Matter in italics (underscored) is new; matter in brackets [] is old law to be omitted. LBD00588-01-9A. 3841 2 1 2016 and paragraph 13 as amended by section 1 of part CC of chapter 56 2 of the laws of 2015, is amended to read as follows: 3 3. (a) The annual statement of financial disclosure shall contain the 4 information and shall be in the form set forth hereinbelow: 5 ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________) 6 1. Name ______________________________________________________________ 7 2. (a) Title of Position _____________________________________________ 8 (b) Department, Agency or other Governmental Entity _______________ 9 (c) Address of Present Office _____________________________________ 10 (d) Office Telephone Number _______________________________________ 11 3. (a) Marital Status ______________. If married, please give spouse's 12 full name including maiden name where applicable. 13 _____________________________________________________________ . 14 (b) List the names of all unemancipated children. 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 ____________________________________________________________________ 20 Answer each of the following questions completely, with respect to 21 calendar year _________, unless another period or date is otherwise 22 specified. If additional space is needed, attach additional pages. 23 Whenever a "value" or "amount" is required to be reported herein, such 24 value or amount shall be reported as being within one of the following 25 Categories in Table I or Table II of this subdivision as called for in 26 the question: A reporting individual shall indicate the Category by 27 letter only. 28 Whenever "income" is required to be reported herein, the term "income" 29 shall mean the aggregate net income before taxes from the source identi- 30 fied. 31 The term "calendar year" shall mean the year ending the December 31st 32 preceding the date of filing of the annual statement. 33 4. (a) List any office, trusteeship, directorship, partnership, or 34 position of any nature, whether compensated or not, held by the 35 reporting individual with any firm, corporation, association, part- 36 nership, or other organization other than the State of New York. 37 Include compensated honorary positions; do NOT list membership or 38 uncompensated honorary positions. If the listed entity was licensed 39 by any state or local agency, was regulated by any state regulatory 40 agency or local agency, or, as a regular and significant part of the 41 business or activity of said entity, did business with, or had 42 matters other than ministerial matters before, any state or local 43 agency, list the name of any such agency. 44 State or 45 Position Organization Local Agency 46 ____________________________________________________________________ 47 ____________________________________________________________________A. 3841 3 1 ____________________________________________________________________ 2 ____________________________________________________________________ 3 ____________________________________________________________________ 4 (b) List any office, trusteeship, directorship, partnership, or position 5 of any nature, whether compensated or not, held by the spouse or 6 unemancipated child of the reporting individual, with any firm, 7 corporation, association, partnership, or other organization other 8 than the State of New York. Include compensated honorary positions; 9 do NOT list membership or uncompensated honorary positions. If the 10 listed entity was licensed by any state or local agency, was regu- 11 lated by any state regulatory agency or local agency, or, as a regu- 12 lar and significant part of the business or activity of said entity, 13 did business with, or had matters other than ministerial matters 14 before, any state or local agency, list the name of any such agency. 15 State or 16 Position Organization Local Agency 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 ____________________________________________________________________ 20 ____________________________________________________________________ 21 ____________________________________________________________________ 22 5. (a) List the name, address and description of any occupation, 23 employment (other than the employment listed under Item 2 above), 24 trade, business or profession engaged in by the reporting individ- 25 ual. If such activity was licensed by any state or local agency, was 26 regulated by any state regulatory agency or local agency, or, as a 27 regular and significant part of the business or activity of said 28 entity, did business with, or had matters other than ministerial 29 matters before, any state or local agency, list the name of any such 30 agency. 31 State or 32 Name & Address Local 33 Position of Organization Description Agency 34 ____________________________________________________________________ 35 ____________________________________________________________________ 36 ____________________________________________________________________ 37 ____________________________________________________________________ 38 ____________________________________________________________________ 39 (b) If the spouse or unemancipated child of the reporting individual was 40 engaged in any occupation, employment, trade, business or profession 41 which activity was licensed by any state or local agency, was regu- 42 lated by any state regulatory agency or local agency, or, as a regu- 43 lar and significant part of the business or activity of said entity, 44 did business with, or had matters other than ministerial matters 45 before, any state or local agency, list the name, address and 46 description of such occupation, employment, trade, business or 47 profession and the name of any such agency. 48 State orA. 3841 4 1 Name & Address Local 2 Position of Organization Description Agency 3 ____________________________________________________________________ 4 ____________________________________________________________________ 5 ____________________________________________________________________ 6 ____________________________________________________________________ 7 ____________________________________________________________________ 8 6. List any interest, in EXCESS of $1,000, held by the reporting indi- 9 vidual, such individual's spouse or unemancipated child, or partner- 10 ship of which any such person is a member, or corporation, 10% or 11 more of the stock of which is owned or controlled by any such 12 person, whether vested or contingent, in any contract made or 13 executed by a state or local agency and include the name of the 14 entity which holds such interest and the relationship of the report- 15 ing individual or such individual's spouse or such child to such 16 entity and the interest in such contract. Do NOT include bonds and 17 notes. Do NOT list any interest in any such contract on which final 18 payment has been made and all obligations under the contract except 19 for guarantees and warranties have been performed, provided, howev- 20 er, that such an interest must be listed if there has been an ongo- 21 ing dispute during the calendar year for which this statement is 22 filed with respect to any such guarantees or warranties. Do NOT list 23 any interest in a contract made or executed by a local agency after 24 public notice and pursuant to a process for competitive bidding or a 25 process for competitive requests for proposals. 26 Entity Relationship Contracting Category 27 Self, Which Held to Entity State or of 28 Spouse or Interest in and Interest Local Value of 29 Child Contract in Contract Agency Contract 30 (In Table II) 31 ____________________________________________________________________ 32 ____________________________________________________________________ 33 ____________________________________________________________________ 34 ____________________________________________________________________ 35 ____________________________________________________________________ 36 7. List any position the reporting individual held as an officer of any 37 political party or political organization, as a member of any poli- 38 tical party committee, or as a political party district leader. The 39 term "party" shall have the same meaning as "party" in the election 40 law. The term "political organization" means any party or independ- 41 ent body as defined in the election law or any organization that is 42 affiliated with or a subsidiary of a party or independent body. 43 ____________________________________________________________________ 44 ____________________________________________________________________ 45 ____________________________________________________________________ 46 ____________________________________________________________________ 47 ____________________________________________________________________A. 3841 5 1 8. (a) If the reporting individual practices law, is licensed by the 2 department of state as a real estate broker or agent or practices a 3 profession licensed by the department of education, or works as a member 4 or employee of a firm required to register pursuant to section one-e of 5 the legislative law as a lobbyist, describe the services rendered for 6 which compensation was paid including a general description of the prin- 7 cipal subject areas of matters undertaken by such individual and princi- 8 pal duties performed. Specifically state whether the reporting individ- 9 ual provides services directly to clients. Additionally, if such an 10 individual practices with a firm or corporation and is a partner or 11 shareholder of the firm or corporation, give a general description of 12 principal subject areas of matters undertaken by such firm or corpo- 13 ration. 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 20 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 21 THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING 22 CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON 23 OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 24 THIRTY-FIRST, TWO THOUSAND FIFTEEN: 25 If the reporting individual personally provides services to any person 26 or entity, or works as a member or employee of a partnership or corpo- 27 ration that provides such services (referred to hereinafter as a 28 "firm"), then identify each client or customer to whom the reporting 29 individual personally provided services, or who was referred to the firm 30 by the reporting individual, and from whom the reporting individual or 31 his or her firm earned fees in excess of $10,000 during the reporting 32 period for such services rendered in direct connection with: 33 (i) A contract in an amount totaling $50,000 or more from the state or 34 any state agency for services, materials, or property; 35 (ii) A grant of $25,000 or more from the state or any state agency 36 during the reporting period; 37 (iii) A grant obtained through a legislative initiative during the 38 reporting period; or 39 (iv) A case, proceeding, application or other matter that is not a 40 ministerial matter before a state agency during the reporting period. 41 For purposes of this question, "referred to the firm" shall mean: 42 having intentionally and knowingly taken a specific act or series of 43 acts to intentionally procure for the reporting individual's firm or 44 knowingly solicit or direct to the reporting individual's firm in whole 45 or substantial part, a person or entity that becomes a client of that 46 firm for the purposes of representation for a matter as defined in 47 subparagraphs (i) through (iv) of this paragraph, as the result of such 48 procurement, solicitation or direction of the reporting individual. A 49 reporting individual need not disclose activities performed while 50 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi- 51 sion seven of section seventy-three of this article. 52 The disclosure requirement in this question shall not require disclo- 53 sure of clients or customers receiving medical or dental services, 54 mental health services, residential real estate brokering services, orA. 3841 6 1 insurance brokering services from the reporting individual or his or her 2 firm. The reporting individual need not identify any client to whom he 3 or she or his or her firm provided legal representation with respect to 4 investigation or prosecution by law enforcement authorities, bankruptcy, 5 or domestic relations matters. With respect to clients represented in 6 other matters, where disclosure of a client's identity is likely to 7 cause harm, the reporting individual shall request an exemption from the 8 joint commission pursuant to paragraph (i-1) of subdivision nine of 9 section ninety-four of the executive law, provided, however, that a 10 reporting individual who first enters public office after July first, 11 two thousand twelve, need not report clients or customers with respect 12 to matters for which the reporting individual or his or her firm was 13 retained prior to entering public office. 14 Client Nature of Services Provided 15 ________________________________________________________________________ 16 ________________________________________________________________________ 17 ________________________________________________________________________ 18 ________________________________________________________________________ 19 ________________________________________________________________________ 20 (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES 21 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR 22 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE 23 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU- 24 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN 25 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES): 26 If the reporting individual receives income from employment reportable 27 in question 8(a) and personally provides services to any person or enti- 28 ty, or works as a member or employee of a partnership or corporation 29 that provides such services (referred to hereinafter as a "firm"), the 30 reporting individual shall identify each client or customer to whom the 31 reporting individual personally provided services, or who was referred 32 to the firm by the reporting individual, and from whom the reporting 33 individual or his or her firm earned fees in excess of $10,000 during 34 the reporting period in direct connection with: 35 (i) A contract in an amount totaling $10,000 or more from the state or 36 any state agency for services, materials, or property; 37 (ii) A grant of $10,000 or more from the state or any state agency 38 during the reporting period; 39 (iii) A grant obtained through a legislative initiative during the 40 reporting period; or 41 (iv) A case, proceeding, application or other matter that is not a 42 ministerial matter before a state agency during the reporting period. 43 For such services rendered by the reporting individual directly to 44 each such client, describe each matter that was the subject of such 45 representation, the services actually provided and the payment received. 46 For payments received from clients referred to the firm by the reporting 47 individual, if the reporting individual directly received a referral fee 48 or fees for such referral, identify the client and the payment so 49 received. 50 For purposes of this question, "referred to the firm" shall mean: 51 having intentionally and knowingly taken a specific act or series of 52 acts to intentionally procure for the reporting individual's firm or 53 having knowingly solicited or directed to the reporting individual's 54 firm in whole or substantial part, a person or entity that becomes a 55 client of that firm for the purposes of representation for a matter asA. 3841 7 1 defined in clauses (i) through (iv) of this subparagraph, as the result 2 of such procurement, solicitation or direction of the reporting individ- 3 ual. A reporting individual need not disclose activities performed while 4 lawfully acting in his or her capacity as provided in paragraphs (c), 5 (d), (e) and (f) of subdivision seven of section seventy-three of this 6 article. 7 Client Matter Nature of Services Provided Category 8 of Amount 9 (in Table I) 10 ________________________________________________________________________ 11 ________________________________________________________________________ 12 ________________________________________________________________________ 13 ________________________________________________________________________ 14 ________________________________________________________________________ 15 (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES 16 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR 17 FOR 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 (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN 20 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES): 21 (i) With respect to reporting individuals who receive ten thousand 22 dollars or more from employment or activity reportable under question 23 8(a), for each client or customer NOT otherwise disclosed or exempted in 24 question 8 or 13, disclose the name of each client or customer known to 25 the reporting individual to whom the reporting individual provided 26 services: (A) who paid the reporting individual in excess of five thou- 27 sand dollars for such services; or (B) who had been billed with the 28 knowledge of the reporting individual in excess of five thousand dollars 29 by the firm or other entity named in question 8(a) for the reporting 30 individual's services. 31 Client Services Category of Amount 32 Actually Provided (in Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 33 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF 34 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED": 35 * REVIEWED DOCUMENTS AND CORRESPONDENCE; 36 * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING; 37 * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME); 38 * CONSULTED WITH CLIENT OR CONSULTED WITH 39 LAW PARTNERS/ASSOCIATES/MEMBERS 40 OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME); 41 * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY 42 CLIENT BY 43 NAME); 44 * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR 45 REPRESENTATION OR CONSULTATION; 46 * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME); 47 * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING 48 RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);A. 3841 8 1 * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT). 2 (ii) With respect to reporting individuals who disclosed in question 3 8(a) that the reporting individual did not provide services to a client 4 but provided services to a firm or business, identify the category of 5 amount received for providing such services and describe the services 6 rendered. 7 Services Actually Provided Category of Amount (Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 8 A reporting individual need not disclose activities performed while 9 lawfully acting in his or her capacity as provided in paragraphs (c), 10 (d), (e) and (f) of subdivision seven of section seventy-three of this 11 article. 12 The disclosure requirement in questions (b-1) and (b-2) shall not 13 require disclosing clients or customers receiving medical, pharmaceu- 14 tical or dental services, mental health services, or residential real 15 estate brokering services from the reporting individual or his or her 16 firm or if federal law prohibits or limits disclosure. The reporting 17 individual need not identify any client to whom he or she or his or her 18 firm provided legal representation with respect to investigation or 19 prosecution by law enforcement authorities, bankruptcy, family court, 20 estate planning, or domestic relations matters, nor shall the reporting 21 individual identify individuals represented pursuant to an insurance 22 policy but the reporting individual shall in such circumstances only 23 report the entity that provides compensation to the reporting individ- 24 ual; with respect to matters in which the client's name is required by 25 law to be kept confidential (such as matters governed by the family 26 court act) or in matters in which the reporting individual represents or 27 provides services to minors, the client's name may be replaced with 28 initials. To the extent that the reporting individual, or his or her 29 firm, provided legal representation with respect to an initial public 30 offering, and professional disciplinary rules, federal law or regu- 31 lations restrict the disclosure of information relating to such work, 32 the reporting individual shall (i) disclose the identity of the client 33 and the services provided relating to the initial public offering to the 34 office of court administration, who will maintain such information 35 confidentially in a locked box; and (ii) include in his or her response 36 to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo- 37 sure to the office of court administration has been made. Upon such time 38 that the disclosure of information maintained in the locked box is no 39 longer restricted by professional disciplinary rules, federal law or 40 regulation, the reporting individual shall disclose such information in 41 an amended disclosure statement in response to the disclosure require- 42 ments in questions (b-1) and (b-2). The office of court administration 43 shall develop and maintain a secure portal through which information 44 submitted to it pursuant to this paragraph can be safely and confiden- 45 tially stored. With respect to clients represented in other matters not 46 otherwise exempt, the reporting individual may request an exemption to 47 publicly disclosing the name of that client from the joint commission 48 pursuant to paragraph (i-1) of subdivision nine of section ninety-four 49 of the executive law, or from the office of court administration. In 50 such application, the reporting individual shall state the following: 51 "My client is not currently receiving my services or seeking my services 52 in connection with:A. 3841 9 1 (i) A proposed bill or resolution in the senate or assembly during the 2 reporting period; 3 (ii) A contract in an amount totaling $10,000 or more from the state 4 or any state agency for services, materials, or property; 5 (iii) A grant of $10,000 or more from the state or any state agency 6 during the reporting period; 7 (iv) A grant obtained through a legislative initiative during the 8 reporting period; or 9 (v) A case, proceeding, application or other matter that is not a 10 ministerial matter before a state agency during the reporting period." 11 In reviewing the request for an exemption, the joint commission or the 12 office of court administration may consult with bar or other profes- 13 sional associations and the legislative ethics commission for individ- 14 uals subject to its jurisdiction and may consider the rules of profes- 15 sional conduct. In making its determination, the joint commission or the 16 office of court administration shall conduct its own inquiry and shall 17 consider factors including, but not limited to: (i) the nature and the 18 size of the client; (ii) whether the client has any business before the 19 state; and if so, how significant the business is; and whether the 20 client has any particularized interest in pending legislation and if so 21 how significant the interest is; (iii) whether disclosure may reveal 22 trade secrets; (iv) whether disclosure could reasonably result in retal- 23 iation against the client; (v) whether disclosure may cause undue harm 24 to the client; (vi) whether disclosure may result in undue harm to the 25 attorney-client relationship; and (vii) whether disclosure may result in 26 an unnecessary invasion of privacy to the client. 27 The joint commission or, as the case may be, the office of court 28 administration shall promptly make a final determination in response to 29 such request, which shall include an explanation for its determination. 30 The office of court administration shall issue its final determination 31 within three days of receiving the request. Notwithstanding any other 32 provision of law or any professional disciplinary rule to the contrary, 33 the disclosure of the identity of any client or customer in response to 34 this question shall not constitute professional misconduct or a ground 35 for disciplinary action of any kind, or form the basis for any civil or 36 criminal cause of action or proceeding. A reporting individual who first 37 enters public office after January first, two thousand sixteen, need not 38 report clients or customers with respect to matters for which the 39 reporting individual or his or her firm was retained prior to entering 40 public office. 41 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 42 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR 43 NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE 44 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU- 45 SAND FIFTEEN: 46 If the reporting individual receives income of ten thousand dollars or 47 greater from any employment or activity reportable under question 8(a), 48 identify each registered lobbyist who has directly referred to such 49 individual a client who was successfully referred to the reporting indi- 50 vidual's business and from whom the reporting individual or firm 51 received a fee for services in excess of five thousand dollars. Report 52 only those referrals that were made to a reporting individual by direct 53 communication from a person known to such reporting individual to be a 54 registered lobbyist at the time the referral is made. With respect to 55 each such referral, the reporting individual shall identify the client, 56 the registered lobbyist who has made the referral, the category of valueA. 3841 10 1 of the compensation received and a general description of the type of 2 matter so referred. A reporting individual need not disclose activities 3 performed while lawfully acting pursuant to paragraphs (c), (d), (e) and 4 (f) of subdivision seven of section seventy-three of this article. The 5 disclosure requirements in this question shall not require disclosing 6 clients or customers receiving medical, pharmaceutical or dental 7 services, mental health services, or residential real estate brokering 8 services from the reporting individual or his or her firm or if federal 9 law prohibits or limits disclosure. The reporting individual need not 10 identify any client to whom he or she or his or her firm provided legal 11 representation with respect to investigation or prosecution by law 12 enforcement authorities, bankruptcy, family court, estate planning, or 13 domestic relations matters, nor shall the reporting individual identify 14 individuals represented pursuant to an insurance policy but the report- 15 ing individual shall in such circumstances only report the entity that 16 provides compensation to the reporting individual; with respect to 17 matters in which the client's name is required by law to be kept confi- 18 dential (such as matters governed by the family court act) or in matters 19 in which the reporting individual represents or provides services to 20 minors, the client's name may be replaced with initials. To the extent 21 that the reporting individual, or his or her firm, provided legal repre- 22 sentation with respect to an initial public offering, and federal law or 23 regulations restricts the disclosure of information relating to such 24 work, the reporting individual shall (i) disclose the identity of the 25 client and the services provided relating to the initial public offering 26 to the office of court administration, who will maintain such informa- 27 tion confidentially in a locked box; and (ii) include in his or her 28 response a statement that pursuant to this paragraph, a disclosure to 29 the office of court administration has been made. Upon such time that 30 the disclosure of information maintained in the locked box is no longer 31 restricted by federal law or regulation, the reporting individual shall 32 disclose such information in an amended disclosure statement in response 33 to the disclosure requirements of this paragraph. The office of court 34 administration shall develop and maintain a secure portal through which 35 information submitted to it pursuant to this paragraph can be safely and 36 confidentially stored. With respect to clients represented in other 37 matters not otherwise exempt, the reporting individual may request an 38 exemption to publicly disclosing the name of that client from the joint 39 commission pursuant to paragraph (i-1) of subdivision nine of section 40 ninety-four of the executive law, or from the office of court adminis- 41 tration. In such application, the reporting individual shall state the 42 following: "My client is not currently receiving my services or seeking 43 my services in connection with: 44 (i) A proposed bill or resolution in the senate or assembly during the 45 reporting period; 46 (ii) A contract in an amount totaling $10,000 or more from the state 47 or any state agency for services, materials, or property; 48 (iii) A grant of $10,000 or more from the state or any state agency 49 during the reporting period; 50 (iv) A grant obtained through a legislative initiative during the 51 reporting period; or 52 (v) A case, proceeding, application or other matter that is not a 53 ministerial matter before a state agency during the reporting period." 54 In reviewing the request for an exemption, the joint commission or the 55 office of court administration may consult with bar or other profes- 56 sional associations and the legislative ethics commission for individ-A. 3841 11 1 uals subject to its jurisdiction and may consider the rules of profes- 2 sional conduct. In making its determination, the joint commission or the 3 office of court administration shall conduct its own inquiry and shall 4 consider factors including, but not limited to: (i) the nature and the 5 size of the client; (ii) whether the client has any business before the 6 state; and if so, how significant the business is; and whether the 7 client has any particularized interest in pending legislation and if so 8 how significant the interest is; (iii) whether disclosure may reveal 9 trade secrets; (iv) whether disclosure could reasonably result in retal- 10 iation against the client; (v) whether disclosure may cause undue harm 11 to the client; (vi) whether disclosure may result in undue harm to the 12 attorney-client relationship; and (vii) whether disclosure may result in 13 an unnecessary invasion of privacy to the client. 14 The joint commission or, as the case may be, the office of court 15 administration shall promptly make a final determination in response to 16 such request, which shall include an explanation for its determination. 17 The office of court administration shall issue its final determination 18 within three days of receiving the request. Notwithstanding any other 19 provision of law or any professional disciplinary rule to the contrary, 20 the disclosure of the identity of any client or customer in response to 21 this question shall not constitute professional misconduct or a ground 22 for disciplinary action of any kind, or form the basis for any civil or 23 criminal cause of action or proceeding. A reporting individual who first 24 enters public office after December thirty-first, two thousand fifteen, 25 need not report clients or customers with respect to matters for which 26 the reporting individual or his or her firm was retained prior to enter- 27 ing public office. 28 Client Name of Lobbyist Description Category of Amount 29 of Matter (in Table 1) 30 ________________________________________________________________________ 31 ________________________________________________________________________ 32 ________________________________________________________________________ 33 ________________________________________________________________________ 34 ________________________________________________________________________ 35 (d) List the name, principal address and general description or the 36 nature of the business activity of any entity in which the reporting 37 individual or such individual's spouse had an investment in excess of 38 $1,000 excluding investments in securities and interests in real proper- 39 ty. 40 9. List each source of gifts, EXCLUDING campaign contributions, in 41 EXCESS of $1,000, received during the reporting period for which this 42 statement is filed by the reporting individual or such individual's 43 spouse or unemancipated child from the same donor, EXCLUDING gifts from 44 a relative. INCLUDE the name and address of the donor. The term "gifts" 45 does not include reimbursements, which term is defined in item 10. 46 Indicate the value and nature of each such gift.A. 3841 12 1 Category 2 Self, of 3 Spouse or Name of Nature Value of 4 Child Donor Address of Gift Gift 5 (In Table I) 6 ____________________________________________________________________ 7 ____________________________________________________________________ 8 ____________________________________________________________________ 9 ____________________________________________________________________ 10 ____________________________________________________________________ 11 10. Identify and briefly describe the source of any reimbursements for 12 expenditures, EXCLUDING campaign expenditures and expenditures in 13 connection with official duties reimbursed by the state, in EXCESS 14 of $1,000 from each such source. For purposes of this item, the term 15 "reimbursements" shall mean any travel-related expenses provided by 16 nongovernmental sources and for activities related to the reporting 17 individual's official duties such as, speaking engagements, confer- 18 ences, or factfinding events. The term "reimbursements" does NOT 19 include gifts reported under item 9. 20 Source Description 21 ____________________________________________________________________ 22 ____________________________________________________________________ 23 ____________________________________________________________________ 24 ____________________________________________________________________ 25 ____________________________________________________________________ 26 11. List the identity and value, if reasonably ascertainable, of each 27 interest in a trust, estate or other beneficial interest, including 28 retirement plans (other than retirement plans of the state of New 29 York or the city of New York), and deferred compensation plans 30 (e.g., 401, 403(b), 457, etc.) established in accordance with the 31 internal revenue code, in which the REPORTING INDIVIDUAL held a 32 beneficial interest in EXCESS of $1,000 at any time during the 33 preceding year. Do NOT report interests in a trust, estate or other 34 beneficial interest established by or for, or the estate of, a rela- 35 tive. 36 Category 37 Identity of Value* 38 (In Table II) 39 ____________________________________________________________________ 40 ____________________________________________________________________ 41 ____________________________________________________________________ 42 ____________________________________________________________________ 43 ____________________________________________________________________ 44 * The value of such interest shall be reported only if reasonably 45 ascertainable. 46 12. (a) Describe the terms of, and the parties to, any contract, prom- 47 ise, or other agreement between the reporting individual and any 48 person, firm, or corporation with respect to the employment of suchA. 3841 13 1 individual after leaving office or position (other than a leave of 2 absence). 3 ____________________________________________________________________ 4 ____________________________________________________________________ 5 ____________________________________________________________________ 6 ____________________________________________________________________ 7 ____________________________________________________________________ 8 (b) Describe the parties to and the terms of any agreement providing 9 for continuation of payments or benefits to the REPORTING INDIVIDUAL 10 in EXCESS of $1,000 from a prior employer OTHER THAN the State. 11 (This includes interests in or contributions to a pension fund, 12 profit-sharing plan, or life or health insurance; buy-out agree- 13 ments; severance payments; etc.) 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 13. List below the nature and amount of any income in EXCESS of $1,000 20 from EACH SOURCE for the reporting individual and such individual's 21 spouse for the taxable year last occurring prior to the date of 22 filing. Each such source must be described with particularity. 23 Nature of income includes, but is not limited to, all income (other 24 than that received from the employment listed under Item 2 above) 25 from compensated employment whether public or private, directorships 26 and other fiduciary positions, contractual arrangements, teaching 27 income, partnerships, honorariums, lecture fees, consultant fees, 28 bank and bond interest, dividends, income derived from a trust, real 29 estate rents, and recognized gains from the sale or exchange of real 30 or other property. Income from a business or profession and real 31 estate rents shall be reported with the source identified by the 32 building address in the case of real estate rents and otherwise by 33 the name of the entity and not by the name of the individual custom- 34 ers, clients or tenants, with the aggregate net income before taxes 35 for each building address or entity. The receipt of maintenance 36 received in connection with a matrimonial action, alimony and child 37 support payments shall not be listed. 38 Self/ Category 39 Spouse Source Nature of Amount 40 (In Table I) 41 ____________________________________________________________________ 42 ____________________________________________________________________ 43 ____________________________________________________________________ 44 ____________________________________________________________________ 45 ____________________________________________________________________ 46 14. List the sources of any deferred income (not retirement income) in 47 EXCESS of $1,000 from each source to be paid to the reporting indi- 48 vidual following the close of the calendar year for which this 49 disclosure statement is filed, other than deferred compensationA. 3841 14 1 reported in item 11 hereinabove. Deferred income derived from the 2 practice of a profession shall be listed in the aggregate and shall 3 identify as the source, the name of the firm, corporation, partner- 4 ship or association through which the income was derived, but shall 5 not identify individual clients. 6 Category 7 Source of Amount 8 (In Table I) 9 ____________________________________________________________________ 10 ____________________________________________________________________ 11 ____________________________________________________________________ 12 ____________________________________________________________________ 13 ____________________________________________________________________ 14 15. List each assignment of income in EXCESS of $1,000, and each trans- 15 fer other than to a relative during the reporting period for which 16 this statement is filed for less than fair consideration of an 17 interest in a trust, estate or other beneficial interest, securities 18 or real property, by the reporting individual, in excess of $1,000, 19 which would otherwise be required to be reported herein and is not 20 or has not been so reported. 21 Item Assigned Assigned or Category 22 or Transferred Transferred to of Value 23 (In Table I) 24 ____________________________________________________________________ 25 ____________________________________________________________________ 26 ____________________________________________________________________ 27 ____________________________________________________________________ 28 ____________________________________________________________________ 29 16. List below the type and market value of securities held by the 30 reporting individual or such individual's spouse from each issuing 31 entity in EXCESS of $1,000 at the close of the taxable year last 32 occurring prior to the date of filing, including the name of the 33 issuing entity exclusive of securities held by the reporting indi- 34 vidual issued by a professional corporation. Whenever an interest in 35 securities exists through a beneficial interest in a trust, the 36 securities held in such trust shall be listed ONLY IF the reporting 37 individual has knowledge thereof except where the reporting individ- 38 ual or the reporting individual's spouse has transferred assets to 39 such trust for his or her benefit in which event such securities 40 shall be listed unless they are not ascertainable by the reporting 41 individual because the trustee is under an obligation or has been 42 instructed in writing not to disclose the contents of the trust to 43 the reporting individual. Securities of which the reporting individ- 44 ual or the reporting individual's spouse is the owner of record but 45 in which such individual or the reporting individual's spouse has no 46 beneficial interest shall not be listed. Indicate percentage of 47 ownership ONLY if the reporting person or the reporting person's 48 spouse holds more than five percent (5%) of the stock of a corpo- 49 ration in which the stock is publicly traded or more than ten 50 percent (10%) of the stock of a corporation in which the stock isA. 3841 15 1 NOT publicly traded. Also list securities owned for investment 2 purposes by a corporation more than fifty percent (50%) of the stock 3 of which is owned or controlled by the reporting individual or such 4 individual's spouse. For the purpose of this item the term "securi- 5 ties" shall mean mutual funds, bonds, mortgages, notes, obligations, 6 warrants and stocks of any class, investment interests in limited or 7 general partnerships and certificates of deposits (CDs) and such 8 other evidences of indebtedness and certificates of interest as are 9 usually referred to as securities. The market value for such secu- 10 rities shall be reported only if reasonably ascertainable and shall 11 not be reported if the security is an interest in a general partner- 12 ship that was listed in item 8 (a) or if the security is corporate 13 stock, NOT publicly traded, in a trade or business of a reporting 14 individual or a reporting individual's spouse. 15 Percentage 16 of corporate 17 stock owned 18 or controlled Category of 19 (if more than Market Value 20 5% of pub- as of the close 21 licly traded of the 22 stock, or taxable year 23 more than last occurring 24 10% if stock prior to 25 Self/ Issuing Type of not publicly the filing of 26 Spouse Entity Security traded, is held) this statement 27 (In Table II) 28 ____________________________________________________________________ 29 ____________________________________________________________________ 30 ____________________________________________________________________ 31 ____________________________________________________________________ 32 ____________________________________________________________________ 33 17. List below the location, size, general nature, acquisition date, 34 market value and percentage of ownership of any real property in 35 which any vested or contingent interest in EXCESS of $1,000 is held 36 by the reporting individual or the reporting individual's spouse. 37 Also list real property owned for investment purposes by a corpo- 38 ration more than fifty percent (50%) of the stock of which is owned 39 or controlled by the reporting individual or such individual's 40 spouse. Do NOT list any real property which is the primary or 41 secondary personal residence of the reporting individual or the 42 reporting individual's spouse, except where there is a co-owner who 43 is other than a relative. 44 Category 45 Self/ Percentage of 46 Spouse/ General Acquisition of Market 47 Corporation Location Size Nature Date Ownership Value 48 (In 49 Table 50 II)A. 3841 16 1 ____________________________________________________________________ 2 ____________________________________________________________________ 3 ____________________________________________________________________ 4 ____________________________________________________________________ 5 ____________________________________________________________________ 6 18. List below all notes and accounts receivable, other than from goods 7 or services sold, held by the reporting individual at the close of 8 the taxable year last occurring prior to the date of filing and 9 other debts owed to such individual at the close of the taxable year 10 last occurring prior to the date of filing, in EXCESS of $1,000, 11 including the name of the debtor, type of obligation, date due and 12 the nature of the collateral securing payment of each, if any, 13 excluding securities reported in item 16 hereinabove. Debts, notes 14 and accounts receivable owed to the individual by a relative shall 15 not be reported. 16 Type of Obligation, Category 17 Date Due, and Nature of 18 Name of Debtor of Collateral, if any Amount 19 (In Table II) 20 ____________________________________________________________________ 21 ____________________________________________________________________ 22 ____________________________________________________________________ 23 ____________________________________________________________________ 24 ____________________________________________________________________ 25 19. List below all liabilities of the reporting individual and such 26 individual's spouse, in EXCESS of $10,000 as of the date of filing 27 of this statement, other than liabilities to a relative. Do NOT list 28 liabilities incurred by, or guarantees made by, the reporting indi- 29 vidual or such individual's spouse or by any proprietorship, part- 30 nership or corporation in which the reporting individual or such 31 individual's spouse has an interest, when incurred or made in the 32 ordinary course of the trade, business or professional practice of 33 the reporting individual or such individual's spouse. Include the 34 name of the creditor and any collateral pledged by such individual 35 to secure payment of any such liability. A reporting individual 36 shall not list any obligation to pay maintenance in connection with 37 a matrimonial action, alimony or child support payments. Any loan 38 issued in the ordinary course of business by a financial institution 39 to finance educational costs, the cost of home purchase or improve- 40 ments for a primary or secondary residence, or purchase of a 41 personally owned motor vehicle, household furniture or appliances 42 shall be excluded. If any such reportable liability has been guaran- 43 teed by any third person, list the liability and name the guarantor. 44 Category 45 Name of Creditor Type of Liability of 46 or Guarantor and Collateral, if any Amount 47 (In Table II) 48 ____________________________________________________________________ 49 ____________________________________________________________________ 50 ____________________________________________________________________A. 3841 17 1 ____________________________________________________________________ 2 ____________________________________________________________________ 3 The requirements of law relating to the reporting of financial 4 interests are in the public interest and no adverse inference of 5 unethical or illegal conduct or behavior will be drawn merely from 6 compliance with these requirements. 7 ___________________________________ _________________________ 8 (Signature of Reporting Individual) Date (month/day/year) 9 TABLE I 10 Category A none 11 Category B $ 1 to under $ 1,000 12 Category C $ 1,000 to under $ 5,000 13 Category D $ 5,000 to under $ 20,000 14 Category E $ 20,000 to under $ 50,000 15 Category F $ 50,000 to under $ 75,000 16 Category G $ 75,000 to under $ 100,000 17 Category H $ 100,000 to under $ 150,000 18 Category I $ 150,000 to under $ 250,000 19 Category J $ 250,000 to under $ 350,000 20 Category K $ 350,000 to under $ 450,000 21 Category L $ 450,000 to under $ 550,000 22 Category M $ 550,000 to under $ 650,000 23 Category N $ 650,000 to under $ 750,000 24 Category O $ 750,000 to under $ 850,000 25 Category P $ 850,000 to under $ 950,000 26 Category Q $ 950,000 to under $1,050,000 27 Category R $1,050,000 to under $1,150,000 28 Category S $1,150,000 to under $1,250,000 29 Category T $1,250,000 to under $1,350,000 30 Category U $1,350,000 to under $1,450,000 31 Category V $1,450,000 to under $1,550,000 32 Category W $1,550,000 to under $1,650,000 33 Category X $1,650,000 to under $1,750,000 34 Category Y $1,750,000 to under $1,850,000 35 Category Z $1,850,000 to under $1,950,000 36 Category AA $1,950,000 to under $2,050,000 37 Category BB $2,050,000 to under $2,150,000 38 Category CC $2,150,000 to under $2,250,000 39 Category DD $2,250,000 to under $2,350,000 40 Category EE $2,350,000 to under $2,450,000 41 Category FF $2,450,000 to under $2,550,000 42 Category GG $2,550,000 to under $2,650,000 43 Category HH $2,650,000 to under $2,750,000 44 Category II $2,750,000 to under $2,850,000 45 Category JJ $2,850,000 to under $2,950,000 46 Category KK $2,950,000 to under $3,050,000 47 Category LL $3,050,000 to under $3,150,000 48 Category MM $3,150,000 to under $3,250,000 49 Category NN $3,250,000 to under $3,350,000 50 Category OO $3,350,000 to under $3,450,000 51 Category PP $3,450,000 to under $3,550,000 52 Category QQ $3,550,000 to under $3,650,000 53 Category RR $3,650,000 to under $3,750,000A. 3841 18 1 Category SS $3,750,000 to under $3,850,000 2 Category TT $3,850,000 to under $3,950,000 3 Category UU $3,950,000 to under $4,050,000 4 Category VV $4,050,000 to under $4,150,000 5 Category WW $4,150,000 to under $4,250,000 6 Category XX $4,250,000 to under $4,350,000 7 Category YY $4,350,000 to under $4,450,000 8 Category ZZ $4,450,000 to under $4,550,000 9 Category AAA $4,550,000 to under $4,650,000 10 Category BBB $4,650,000 to under $4,750,000 11 Category CCC $4,750,000 to under $4,850,000 12 Category DDD $4,850,000 to under $4,950,000 13 Category EEE $4,950,000 to under $5,050,000 14 Category FFF $5,050,000 to under $5,150,000 15 Category GGG $5,150,000 to under $5,250,000 16 Category HHH $5,250,000 to under $5,350,000 17 Category III $5,350,000 to under $5,450,000 18 Category JJJ $5,450,000 to under $5,550,000 19 Category KKK $5,550,000 to under $5,650,000 20 Category LLL $5,650,000 to under $5,750,000 21 Category MMM $5,750,000 to under $5,850,000 22 Category NNN [$5,580,000] $5,850,000 to under $5,950,000 23 Category OOO $5,950,000 to under $6,050,000 24 Category PPP $6,050,000 to under $6,150,000 25 Category QQQ $6,150,000 to under $6,250,000 26 Category RRR $6,250,000 to under $6,350,000 27 Category SSS $6,350,000 to under $6,450,000 28 Category TTT $6,450,000 to under $6,550,000 29 Category UUU $6,550,000 to under $6,650,000 30 Category VVV $6,650,000 to under $6,750,000 31 Category WWW $6,750,000 to under $6,850,000 32 Category XXX $6,850,000 to under $6,950,000 33 Category YYY $6,950,000 to under $7,050,000 34 Category ZZZ $7,050,000 to under $7,150,000 35 Category AAAA $7,150,000 to under $7,250,000 36 Category BBBB $7,250,000 to under $7,350,000 37 Category CCCC $7,350,000 to under $7,450,000 38 Category DDDD $7,450,000 to under $7,550,000 39 Category EEEE $7,550,000 to under $7,650,000 40 Category FFFF $7,650,000 to under $7,750,000 41 Category GGGG $7,750,000 to under $7,850,000 42 Category HHHH $7,850,000 to under $7,950,000 43 Category IIII $7,950,000 to under $8,050,000 44 Category JJJJ $8,050,000 to under $8,150,000 45 Category KKKK $8,150,000 to under $8,250,000 46 Category LLLL $8,250,000 to under $8,350,000 47 Category MMMM $8,350,000 to under $8,450,000 48 Category NNNN $8,450,000 to under $8,550,000 49 Category OOOO $8,550,000 to under $8,650,000 50 Category PPPP $8,650,000 to under $8,750,000 51 Category QQQQ $8,750,000 to under $8,850,000 52 Category RRRR $8,850,000 to under $8,950,000 53 Category SSSS $8,950,000 to under $9,050,000 54 Category TTTT $9,050,000 to under $9,150,000 55 Category UUUU $9,150,000 to under $9,250,000 56 Category VVVV $9,250,000 to under $9,350,000A. 3841 19 1 Category WWWW $9,350,000 to under $9,450,000 2 Category XXXX $9,450,000 to under $9,550,000 3 Category YYYY $9,550,000 to under $9,650,000 4 Category ZZZZ $9,650,000 to under $9,750,000 5 Category AAAAA $9,750,000 to under $9,850,000 6 Category BBBBB $9,850,000 to under $9,950,000 7 Category CCCCC $9,950,000 to under $10,000,000 8 Category DDDDD $10,000,000 or over 9 TABLE II 10 Category A none 11 Category B $ 1 to under $ 1,000 12 Category C $ 1,000 to under $ 5,000 13 Category D $ 5,000 to under $ 20,000 14 Category E $ 20,000 to under $ 50,000 15 Category F $ 50,000 to under $ 75,000 16 Category G $ 75,000 to under $ 100,000 17 Category H $ 100,000 to under $ 150,000 18 Category I $ 150,000 to under $ 250,000 19 Category J $ 250,000 to under $ 500,000 20 Category K $ 500,000 to under $ 750,000 21 Category L $ 750,000 to under $1,000,000 22 Category M $1,000,000 to under $1,250,000 23 Category N $1,250,000 to under $1,500,000 24 Category O $1,500,000 to under $1,750,000 25 Category P $1,750,000 to under $2,000,000 26 Category Q $2,000,000 to under $2,250,000 27 Category R $2,250,000 to under $2,500,000 28 Category S $2,500,000 to under $2,750,000 29 Category T $2,750,000 to under $3,000,000 30 Category U $3,000,000 to under $3,250,000 31 Category V $3,250,000 to under $3,500,000 32 Category W $3,500,000 to under $3,750,000 33 Category X $3,750,000 to under $4,000,000 34 Category Y $4,000,000 to under $4,250,000 35 Category Z $4,250,000 to under $4,500,000 36 Category AA $4,500,000 to under $4,750,000 37 Category BB $4,750,000 to under $5,000,000 38 Category CC $5,000,000 to under $5,250,000 39 Category DD $5,250,000 to under $5,500,000 40 Category EE $5,500,000 to under $5,750,000 41 Category FF $5,750,000 to under $6,000,000 42 Category GG $6,000,000 to under $6,250,000 43 Category HH $6,250,000 to under $6,500,000 44 Category II $6,500,000 to under $6,750,000 45 Category JJ $6,750,000 to under $7,000,000 46 Category KK $7,000,000 to under $7,250,000 47 Category LL $7,250,000 to under $7,500,000 48 Category MM $7,500,000 to under $7,750,000 49 Category NN $7,750,000 to under $8,000,000 50 Category OO $8,000,000 to under $8,250,000 51 Category PP $8,250,000 to under $8,500,000 52 Category QQ $8,500,000 to under $8,750,000 53 Category RR $8,750,000 to under $9,000,000 54 Category SS $9,000,000 to under $9,250,000A. 3841 20 1 Category TT $9,250,000 to under $9,500,000 2 Category UU $9,500,000 or over 3 (b) The joint commission on public ethics shall make available an 4 editable, electronic, readable and searchable version of the annual 5 statement of financial disclosure by January first, two thousand twenty 6 to all those required by law to submit such forms. 7 § 3. This act shall take effect immediately; provided however that 8 section one of this act shall take effect January 1, 2021.