§ 2. Paragraph (b) of subdivision 13 of section 94 of the executive
law, as added by section 2 of part QQ of chapter 56 of the laws of 2022,
is amended to read as follows:
(b) The commission shall post on its website the following documents:
(i) the information set forth in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law except information deleted pursuant to paragraph (g) of subdi-
vision nine of this section of statewide elected officials and members
of the legislature, AND CANDIDATES FOR STATEWIDE ELECTED OFFICE AND
MEMBERS OF THE LEGISLATURE;
(ii) notices of delinquency sent under subdivision nine of this
section;
(iii) notices of civil assessments imposed under this section which
shall include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed;
(iv) the terms of any settlement or compromise of a complaint or
referral which includes a fine, penalty or other remedy;
(v) those required to be held or maintained publicly available pursu-
ant to article one-A of the legislative law; and
(vi) reports issued by the commission pursuant to this section.
§ 3. Paragraph (f) of subdivision 1 of section 73-a of the public
officers law, as amended by section 5 of part A of chapter 399 of the
laws of 2011, is amended to read as follows:
(f) The term "relative" shall mean such individual's spouse, DOMESTIC
PARTNER, child, stepchild, stepparent, or any person who is a direct
descendant of the grandparents of the reporting individual or of the
reporting individual's spouse.
§ 4. Paragraph 8 of subdivision 3 of section 73-a of the public offi-
cers law, as amended by section 18, subparagraphs (b), (b-2), and (c) as
separately amended by section 8 of part QQ of chapter 56 of the laws of
2022, is amended to read as follows:
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, or works as a member
or employee of a firm required to register pursuant to section one-e of
the legislative law as a lobbyist, describe the services rendered for
which compensation was paid including a general description of the prin-
cipal subject areas of matters undertaken by such individual and princi-
pal duties performed. Specifically state whether the reporting individ-
ual provides services directly to clients. Additionally, if such an
individual practices with a firm or corporation and is a partner or
shareholder of the firm or corporation, give a general description of
principal subject areas of matters undertaken by such firm or corpo-
ration.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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(b) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
A. 463--B 3
OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (iv) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, provided, however, that a reporting
individual who first enters public office after July first, two thousand
twelve, need not report clients or customers with respect to matters for
which the reporting individual or his or her firm was retained prior to
entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
A. 463--B 4
SAND FIFTEEN] (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or enti-
ty, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting individual personally provided services, or who was referred
to the firm by the reporting individual, and from whom the reporting
individual or [his or her] THEIR firm earned fees in excess of $10,000
during the reporting period in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
having knowingly solicited or directed to the reporting individual's
firm in whole or substantial part, a person or entity that becomes a
client of that firm for the purposes of representation for a matter as
defined in clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting individ-
ual. A reporting individual need not disclose activities performed while
lawfully acting in [his or her] THEIR capacity as provided in paragraphs
(c), (d), (e) and (f) of subdivision seven of section seventy-three of
this article.
Client Matter Nature of Services Provided Category
of Amount
(in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
[(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN] (B-1) (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL
MEAN CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
A. 463--B 5
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
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FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in [his or her] THEIR capacity as provided in paragraphs
(c), (d), (e) and (f) of subdivision seven of section seventy-three of
this article.
The disclosure requirement in [questions (b-1) and (b-2)] QUESTION (B-1)
shall not require disclosing clients or customers receiving medical,
pharmaceutical or dental services, mental health services, or residen-
tial real estate brokering services from the reporting individual or
[his or her] THEIR firm or if federal law prohibits or limits disclo-
sure. The reporting individual need not identify any client to whom [he
or she] THEY or [his or her] THEIR firm provided legal representation
with respect to investigation or prosecution by law enforcement authori-
ties, bankruptcy, family court, estate planning, or domestic relations
matters, nor shall the reporting individual identify individuals repres-
ented pursuant to an insurance policy but the reporting individual shall
in such circumstances only report the entity that provides compensation
A. 463--B 6
to the reporting individual; with respect to matters in which the
client's name is required by law to be kept confidential (such as
matters governed by the family court act) or in matters in which the
reporting individual represents or provides services to minors, the
client's name may be replaced with initials. To the extent that the
reporting individual, or [his or her] THEIR firm, provided legal repre-
sentation with respect to an initial public offering, and professional
disciplinary rules, federal law or regulations restrict the disclosure
of information relating to such work, the reporting individual shall (i)
disclose the identity of the client and the services provided relating
to the initial public offering to the office of court administration,
who will maintain such information confidentially in a locked box; and
(ii) include in [his or her] THEIR response to [questions (b-1) and
(b-2)] QUESTION (B-1) that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by professional disciplinary rules, federal law or regu-
lation, the reporting individual shall disclose such information in an
amended disclosure statement in response to the disclosure requirements
in [questions (b-1) and (b-2)] QUESTION (B-1). The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the
commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how signif-
icant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the attor-
A. 463--B 7
ney-client relationship; and (vii) whether disclosure may result in an
unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an expla-
nation for its determination. The office of court administration shall
issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or proceed-
ing. A reporting individual who first enters public office after January
first, two thousand sixteen, need not report clients or customers with
respect to matters for which the reporting individual or [his or her]
THEIR firm was retained prior to entering public office.
(c) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:]
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or [his or her] THEIR firm or if
federal law prohibits or limits disclosure. The reporting individual
need not identify any client to whom [he or she] THEY or [his or her]
THEIR firm provided legal representation with respect to investigation
or prosecution by law enforcement authorities, bankruptcy, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or [his or her]
THEIR firm, provided legal representation with respect to an initial
public offering, and federal law or regulations restricts the disclosure
of information relating to such work, the reporting individual shall (i)
A. 463--B 8
disclose the identity of the client and the services provided relating
to the initial public offering to the office of court administration,
who will maintain such information confidentially in a locked box; and
(ii) include in [his or her] THEIR response a statement that pursuant to
this paragraph, a disclosure to the office of court administration has
been made. Upon such time that the disclosure of information maintained
in the locked box is no longer restricted by federal law or regulation,
the reporting individual shall disclose such information in an amended
disclosure statement in response to the disclosure requirements of this
paragraph. The office of court administration shall develop and main-
tain a secure portal through which information submitted to it pursuant
to this paragraph can be safely and confidentially stored. With respect
to clients represented in other matters not otherwise exempt, the
reporting individual may request an exemption to publicly disclosing the
name of that client from the commission on ethics and lobbying in
government pursuant to section ninety-four of the executive law, or from
the office of court administration. In such application, the reporting
individual shall state the following: "My client is not currently
receiving my services or seeking my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how signif-
icant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the attor-
ney-client relationship; and (vii) whether disclosure may result in an
unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an expla-
nation for its determination. The office of court administration shall
issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or proceed-
A. 463--B 9
ing. A reporting individual who first enters public office after Decem-
ber thirty-first, two thousand fifteen, need not report clients or
customers with respect to matters for which the reporting individual or
[his or her] THEIR firm was retained prior to entering public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(d) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse or domestic partner had an
investment in excess of $1,000 excluding investments in securities and
interests in real property.
§ 5. Subparagraph (c) of paragraph 16-a of subdivision 3 of section
73-a of the public officers law, as added by chapter 591 of the laws of
2023, is amended to read as follows:
(c) "Distributed ledger or blockchain technology" shall mean a ledger
or database that stores shared state by maintaining it across a multi-
plicity of devices belonging to different entities and securing it
through a combination of cryptographic and consensus protocols, where
the shared state serves to authenticate, record, share, and/or synchro-
nize transactions involving digital assets or virtual currencies.
Category of
Market Value
as of the close
of the taxable
year last
occurring
prior to
Self/ [Type of] the filing of
Spouse or [Digital Asset] this statement
Domestic NAME (In Table II)
Partner
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§ 6. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.