‘‘(8) to conduct investigations and hearings ex-
peditiously, to encourage voluntary compliance, and 
to report apparent violations to the appropriate law 
enforcement authorities; and 
‘‘(9) to transmit to the President and to Con-
gress not later than June 1 of each year, a report 
which states in detail the activities of the Adminis-
tration in carrying out its duties under this Act, and 
which includes any recommendations for any legisla-
tive or other action the Administration considers ap-
propriate. 
‘‘SEC. 362. INDEPENDENT BUDGET REQUESTS AND LEGIS-
LATIVE PROPOSALS. 
‘‘(a) EXEMPTION FROM OMB OVERSIGHT.—When-
ever the Chair submits any budget estimate or request to 
the President or the Office of Management and Budget, 
the Chair shall concurrently transmit a copy of such esti-
mate or request to Congress. 
‘‘(b) AUTHORITY TO MAKE INDEPENDENT LEGISLA-
TIVE RECOMMENDATIONS.—Whenever the Administration 
submits any legislative recommendation, testimony, or 
comments on legislation requested by Congress or by any 
Member of Congress, to the President or the Office of 
Management and Budget, the Administration shall con-
currently transmit a copy thereof to Congress or to the 
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Member requesting the same. No officer or agency of the 
United States shall have any authority to require the Ad-
ministration to submit its legislative recommendations, 
testimony, or comments on legislation, to any office or 
agency of the United States for approval, comments, or 
review, prior to the submission of such recommendations, 
testimony, or comments to Congress. 
‘‘SEC. 363. ADVISORY OPINIONS. 
‘‘(a) REQUESTS FOR ADVISORY OPINIONS.— 
‘‘(1) IN
GENERAL.—Not later than 60 days 
after the Administration receives from a person a 
complete written request concerning the application 
of this Act, chapter 95 or 96 of the Internal Rev-
enue Code of 1986, or a rule or regulation pre-
scribed by the Administration, with respect to a spe-
cific transaction or activity by the person, the Ad-
ministration shall render a written advisory opinion 
relating to such transaction or activity to the person. 
‘‘(2) REQUESTS BY CANDIDATES.—If an advi-
sory opinion is requested by a candidate, or any au-
thorized committee of such candidate, during the 60- 
day period before any election for Federal office in-
volving the requesting party, the Administration 
shall render a written advisory opinion relating to 
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such request not later than 20 days after the Ad-
ministration receives a complete written request. 
‘‘(b) RULEMAKING REQUIRED.—Any rule of law 
which is not stated in this Act or in chapter 95 or 96 
of the Internal Revenue Code of 1986 may be initially pro-
posed by the Administration only as a rule or regulation 
pursuant to procedures established in section 365. No 
opinion of an advisory nature may be issued by the Admin-
istration or any other officer or employee of the Adminis-
tration except in accordance with the provisions of this 
section. 
‘‘(c) RELIANCE ON ADVISORY OPINIONS.— 
‘‘(1) IN GENERAL.—Any advisory opinion ren-
dered by the Administration under subsection (a) 
may be relied upon by— 
‘‘(A) any person involved in the specific 
transaction or activity with respect to which 
such advisory opinion is rendered; and 
‘‘(B) any person involved in any specific 
transaction or activity which is indistinguish-
able in all its material aspects from the trans-
action or activity with respect to which such ad-
visory opinion is rendered. 
‘‘(2) PROTECTION FROM LIABILITY.—Notwith-
standing any other provisions of law, any person 
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who relies upon any provision or finding of an advi-
sory opinion in accordance with the provisions of 
paragraph (1) and who acts in good faith in accord-
ance with the provisions and findings of such advi-
sory opinion shall not, as a result of any such act, 
be subject to any sanction provided by this Act or 
by chapter 95 or 96 of the Internal Revenue Code 
of 1986. 
‘‘(d) NOTICE AND COMMENT.— 
‘‘(1) PUBLICATION OF REQUESTS.—The Admin-
istration shall make public any request made under 
subsection (a) for an advisory opinion. 
‘‘(2) OPPORTUNITY TO COMMENT.— 
‘‘(A) WRITTEN
COMMENTS.—Before ren-
dering an advisory opinion, the Administration 
shall accept written comments submitted by any 
interested party within the 10-day period fol-
lowing the date on which the request is made 
public. 
‘‘(B) TESTIMONY.—To the extent that the 
Commission provides an opportunity for a per-
son requesting an advisory opinion under this 
section (or counsel for such person) to appear 
before the Commission to present testimony in 
support of the request, and the person (or coun-
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sel) accepts such opportunity, the Commission 
shall provide a reasonable opportunity for an 
interested party who submitted written com-
ments under subparagraph (A) in response to 
the request (or counsel for such interested 
party) to appear before the Commission to 
present testimony in response to the request. 
‘‘(e) JUDICIAL REVIEW.— 
‘‘(1) IN GENERAL.—Any person adversely af-
fected by an advisory opinion rendered by the Ad-
ministration may obtain judicial review of such advi-
sory opinion by filing a petition in the United States 
Court of Appeals for the District of Columbia Cir-
cuit. 
‘‘(2) SCOPE OF REVIEW.—For purposes of con-
ducting the judicial review described in paragraph 
(1), the provisions of section 706 of title 5, United 
States Code, shall apply. 
‘‘SEC. 364. ISSUANCE AND ENFORCEMENT OF SUBPOENAS. 
‘‘(a) ISSUANCE BY THE CHAIR.—If the Administra-
tion is conducting an investigation pursuant to section 371 
or 372, the Chair shall, on behalf of the Administration, 
have the power to require by subpoena the attendance and 
testimony of witnesses and the production of all documen-
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tary evidence relating to the execution of the Administra-
tion’s duties. 
‘‘(b) ISSUANCE
BY
AN
ADMINISTRATIVE
LAW 
JUDGE.—Any administrative law judge presiding over an 
enforcement action pursuant to section 373 shall have the 
power to require by subpoena the attendance and testi-
mony of witnesses and the production of all documentary 
evidence relating to the administrative law judge’s duties. 
‘‘(c) ISSUANCE
AND
ENFORCEMENT
OF
SUB-
POENAS.— 
‘‘(1) ISSUANCE.—Subpoenas issued under sub-
section (a) or (b) shall bear the signature of the 
Chair or an administrative law judge, respectively, 
and shall be served by any person or class of persons 
designated by the Chair or administrative law judge 
for that purpose. 
‘‘(2) ENFORCEMENT.—In the case of contu-
macy or failure to obey a subpoena issued under 
subsection (a) or (b), the Federal district court for 
the judicial district in which the subpoenaed person 
resides, is served, or may be found may issue an 
order requiring such person to appear at any des-
ignated place to testify or to produce documentary 
or other evidence. Any failure to obey the order of 
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the court may be punished by the court as a con-
tempt of that court. 
‘‘(d) WITNESS ALLOWANCES
AND FEES.—Section 
1821 of title 28, United States Code, shall apply to wit-
nesses requested or subpoenaed to appear at any hearing 
of the Administration. The per diem and mileage allow-
ances for witnesses shall be paid from funds available to 
pay the expenses of the Administration. 
‘‘(e) JURISDICTION.—Subpoenas for witnesses who 
are required to attend a Federal district court may run 
into any other district. 
‘‘SEC. 365. RULEMAKING AUTHORITY. 
‘‘(a) IN GENERAL.—The Administration may, pursu-
ant to the provisions of chapter 5 of title 5, United States 
Code, prescribe such rules and regulations as the Adminis-
tration deems necessary to carry out the provisions of this 
Act and chapters 95 and 96 of the Internal Revenue Code 
of 1986, including the authority to promulgate rules of 
practice and procedure for agency adjudications. 
‘‘(b) AUTHORITY TO PROMULGATE INDEPENDENT 
REGULATIONS.—Whenever the Administration promul-
gates any regulation, it shall not be required to submit 
such regulation for review or approval to the President 
or the Office of Management and Budget. 
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‘‘(c) CONDUCT OF ACTIVITIES.—The Administration 
shall prepare written rules for the conduct of its activities, 
including procedures for the conduct of enforcement ac-
tions under sections 371, 372, and 373. 
‘‘(d) FORMS.— 
‘‘(1) IN GENERAL.—The Administration shall 
prescribe forms necessary to implement this Act and 
chapters 95 and 96 of the Internal Revenue Code of 
1986. 
‘‘(2) PUBLIC
PROTECTION.—Any forms pre-
scribed by the Administration under paragraph (1), 
and any information-gathering activities of the Ad-
ministration under this Act, shall not be subject to 
the provisions of section 3512 of title 44, United 
States Code. 
‘‘(e) RELIANCE UPON RULES AND REGULATIONS.— 
Notwithstanding any other provision of law, any person 
who relies upon any rule or regulation prescribed by the 
Administration in accordance with the provisions of this 
section and who acts in good faith in accordance with such 
rule or regulation shall not, as a result of such act, be 
subject to any sanction provided by this Act or by chapter 
95 or 96 of the Internal Revenue Code of 1986. 
‘‘(f) CONSULTATION
WITH
IRS.—In prescribing 
rules, regulations, and forms under this section, the Ad-
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ministration and the Secretary of the Treasury shall con-
sult and work together to promulgate rules, regulations, 
and forms which are mutually consistent. The Administra-
tion shall report to Congress annually on the steps it has 
taken to comply with this subsection. 
‘‘(g) JUDICIAL REVIEW.— 
‘‘(1) IN GENERAL.—Any person adversely af-
fected by a rule, regulation, or form promulgated by 
the Administration may obtain judicial review of 
such rule, regulation, or form by filing a petition in 
the United States Court of Appeals for the District 
of Columbia Circuit. 
‘‘(2) SCOPE OF REVIEW.—For purposes of con-
ducting the judicial review described in paragraph 
(1), the provisions of section 706 of title 5, United 
States Code, shall apply. 
‘‘(h) RULE
AND REGULATION DEFINED.—In this 
Act, the terms ‘rule’ and ‘regulation’ mean a provision or 
series of interrelated provisions stating a single, separable 
rule of law. 
‘‘SEC. 366. LITIGATION AUTHORITY. 
‘‘(a) IN GENERAL.—Notwithstanding sections 516 
and 518 of title 28, United States Code, and section 3106 
of title 5, United States Code, the Administration is au-
thorized to bring, appear in, defend against, and appeal 
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any action instituted under this Act or chapter 95 or 96 
of the Internal Revenue Code of 1986, in any court ei-
ther— 
‘‘(1) by attorneys employed by the Administra-
tion; or 
‘‘(2) by counsel whom it may appoint, on a tem-
porary basis as may be necessary for such purpose, 
without regard to the provisions of title 5, United 
States Code, governing appointments in the competi-
tive service, and whose compensation it may fix 
without regard to the provisions of chapter 51 and 
subchapter III of chapter 53 of such title. 
‘‘(b) COMPENSATION
OF APPOINTED COUNSEL.— 
The compensation of counsel appointed on a temporary 
basis under subsection (a)(2) shall be paid out of any 
funds otherwise available to pay the compensation of em-
ployees of the Administration. 
‘‘(c) INDEPENDENCE FROM ATTORNEY GENERAL.— 
In pursuing an action under this section, the Administra-
tion may act independently of the Attorney General. 
‘‘SEC. 367. AVAILABILITY OF REPORTS. 
‘‘(a) IN GENERAL.—The Administration shall— 
‘‘(1) prepare, publish, and furnish to all persons 
required to file reports and statements under this 
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Act a manual recommending uniform methods of 
bookkeeping and reporting; 
‘‘(2) develop a filing, coding, and cross-indexing 
system consistent with the purposes of this Act; 
‘‘(3) within 48 hours after the time of the re-
ceipt by the Administration of reports and state-
ments filed with the Administration, make them 
available for public inspection, and copying, at the 
expense of the person requesting such copying, ex-
cept that any information copied from such reports 
or statements may not be sold or used by any person 
for the purpose of soliciting contributions or for 
commercial purposes, other than using the name and 
address of any political committee to solicit contribu-
tions from such committee; 
‘‘(4) keep such designations, reports, and state-
ments for a period of 10 years from the date of re-
ceipt and maintain computerized records of such 
designations, reports, and statements thereafter; 
‘‘(5)(A) compile and maintain a cumulative 
index of designations, reports, and statements filed 
under this Act, publish the index at regular inter-
vals, and make the index available for purchase di-
rectly or by mail; 
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‘‘(B) compile, maintain, and revise a separate 
cumulative index of reports and statements filed by 
multicandidate committees, including in such index a 
list of multicandidate committees; and 
‘‘(C) compile and maintain a list of multi-
candidate committees, which shall be revised and 
made available monthly; 
‘‘(6) prepare and publish periodically lists of 
authorized committees which fail to file reports as 
required by this Act; and 
‘‘(7) serve as a national clearinghouse for the 
compilation of information and review of procedures 
with respect to the administration of Federal elec-
tions. 
‘‘(b) PSEUDONYMS.—For purposes of subsection 
(a)(3), a political committee may submit 10 pseudonyms 
on each report filed in order to protect against the illegal 
use of names and addresses of contributors, but only if 
such committee attaches a list of such pseudonyms to the 
appropriate report. The Administration shall exclude these 
lists from the public record. 
‘‘(c) CONTRACTS.—The Administration may enter 
into contracts for the purpose of performing the duties 
described in subsection (a). 
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‘‘(d) AVAILABILITY OF REPORTS.—Reports or other 
information described in subsection (a) shall be available 
to the public, except that— 
‘‘(1) copies shall be made available without cost, 
upon request, to agencies and branches of the Fed-
eral Government; and 
‘‘(2) information made available as a result of 
the application of paragraph (7) of such subsection 
shall be made available to the public only upon the 
payment of the cost thereof. 
‘‘SEC. 368. AUDITS AND FIELD EXAMINATIONS. 
‘‘(a) IN GENERAL.—The Administration may, in ac-
cordance with the provisions of this section, conduct audits 
and field investigations of any political committee required 
to file a report under section 304. 
‘‘(b) PRIORITY.—All audits and field investigations 
concerning the verification for, and receipt and use of, any 
payments received by a candidate or committee under 
chapter 95 or 96 of the Internal Revenue Code of 1986 
shall be given priority. 
‘‘(c) AUDITS
AND FIELD EXAMINATIONS WHERE 
THRESHOLDS NOT MET.— 
‘‘(1) INTERNAL REVIEW.—The Administration 
shall conduct an internal review of reports filed by 
selected committees to determine if the reports filed 
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100 
by a particular committee meet the threshold re-
quirements for substantial compliance with the Act. 
Such thresholds for compliance shall be established 
by the Administration. 
‘‘(2) AUDITS AND FIELD EXAMINATIONS.—The 
Administration may vote to conduct an audit and 
field investigation of any committee which it deter-
mines under paragraph (1) does not meet the 
threshold requirements established by the Adminis-
tration. Such audits shall be commenced within 30 
days of such vote, except that any audit under the 
provisions of this subsection of an authorized com-
mittee of a candidate shall be commenced within 6 
months of the election for which such committee is 
authorized. 
‘‘(d) RANDOM AUDITS.— 
‘‘(1) IN GENERAL.—In addition to any audits 
conducted under subsection (c), the Administration 
may, subject to paragraph (2), conduct audits of any 
committee selected at random to ensure compliance 
with this Act. The selection of any committee under 
this paragraph shall be based on standards and pro-
cedures adopted by the Administration, except that 
in any calendar year such audits may be initiated 
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101 
against no more than 3 percent of all authorized 
candidate campaign committees. 
‘‘(2) APPLICABLE RULES.— 
‘‘(A) IN GENERAL.—If the Administration 
selects a committee for audit under paragraph 
(1), the Administration shall promptly notify 
the committee of the selection and commence 
the audit within 30 days of the selection. 
‘‘(B) SPECIAL
RULES
FOR
AUTHORIZED 
COMMITTEES.—If the committee selected under 
paragraph (1) is an authorized committee of a 
candidate, the audit— 
‘‘(i) shall be commenced and actively 
undertaken within 6 months of the election 
for which the committee is authorized; and 
‘‘(ii) may examine compliance with 
this Act only with respect to that election. 
‘‘(3) EXCEPTION.—This subsection shall not 
apply to an authorized committee of a candidate for 
President or Vice President subject to audit under 
section 9007 or 9038 of the Internal Revenue Code 
of 1986. 
‘‘SEC. 369. CONGRESSIONAL OVERSIGHT. 
‘‘Nothing in this Act shall be construed to limit, re-
strict, or diminish any investigatory, informational, over-
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102 
sight, supervisory, or disciplinary authority or function of 
Congress or any committee of Congress with respect to 
elections for Federal office. 
‘‘CHAPTER 3—ENFORCEMENT 
‘‘SEC. 371. INITIATION OF ENFORCEMENT ACTIONS BY AD-
MINISTRATION. 
‘‘(a) IN GENERAL.—The Administration may initiate 
a civil enforcement action under section 373 if, after con-
ducting an investigation, the Administration finds reason-
able grounds to believe that a violation of this Act or of 
chapter 95 or 96 of the Internal Revenue Code of 1986 
has occurred or is about to occur. 
‘‘(b) BASIS
FOR FINDINGS.—The Administration 
may make a finding under subsection (a) based on any 
information available to the Administration, including the 
filing of a complaint under section 372. 
‘‘(c) NOTICE AND OPPORTUNITY TO DEMONSTRATE 
NO VIOLATION.—Prior to initiating an enforcement action 
under subsection (a), the Administration shall give any 
person under investigation notice and the opportunity to 
demonstrate that there are no reasonable grounds to be-
lieve a violation has occurred or is about to occur, but the 
Administration’s decision on such matter shall not be sub-
ject to judicial review. 
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103 
‘‘SEC. 372. COMPLAINT TO INITIATE ENFORCEMENT AC-
TION. 
‘‘(a) FILING OF COMPLAINT.— 
‘‘(1) IN GENERAL.—Any person may file a com-
plaint with the Administration alleging a violation of 
this Act or of chapter 95 or 96 of the Internal Rev-
enue Code of 1986. 
‘‘(2) TECHNICAL REQUIREMENTS.—A complaint 
filed under paragraph (1) shall be— 
‘‘(A) in writing, signed, and sworn to by 
the person filing such complaint; 
‘‘(B) notarized; and 
‘‘(C) made under penalty of perjury and 
subject to the provisions of section 1001 of title 
18, United States Code. 
‘‘(3) ACTION BY THE ADMINISTRATION.—Sub-
ject to paragraph (4), based on the allegations in a 
complaint filed under paragraph (1), and such inves-
tigations the Administration deems necessary and 
appropriate, the Administration may— 
‘‘(A) initiate a civil enforcement action 
under section 373 if the Administration finds 
reasonable grounds to believe a violation has oc-
curred or is about to occur; or 
‘‘(B) dismiss the complaint. 
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104 
‘‘(4) 
PROHIBITION
OF
ANONYMOUS
COM-
PLAINTS.—The Commission may not conduct any 
investigation or take any other action under this sec-
tion solely on the basis of a complaint of a person 
whose identity is not disclosed to the Administration. 
‘‘(5) RECOVERY OF COSTS.—Any person who 
has filed a complaint under paragraph (1) shall be 
entitled to recover from the Administration up to 
$1,000 of the costs incurred in preparing and filing 
the complaint if, based on the complaint, the Admin-
istration— 
‘‘(A) makes a finding under section 373(a) 
that a person has violated (or is about to vio-
late) the Act; or 
‘‘(B) enters into a conciliation agreement 
with a person under section 373(c). 
‘‘(b) NOTICE AND OPPORTUNITY TO DEMONSTRATE 
NO VIOLATION.—Prior to initiating an enforcement action 
under subsection (a)(3)(A), the Administration shall give 
any person named in a complaint notice and an oppor-
tunity to demonstrate that there are no reasonable 
grounds to believe a violation described in such subsection 
has occurred or is about to occur, but the Administration’s 
determination under subsection (a)(3) shall not be subject 
to judicial review in an action brought by such person. 
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105 
‘‘(c) FAILURE BY THE ADMINISTRATION TO TAKE 
TIMELY ACTION.— 
‘‘(1) IN GENERAL.—If the Administration— 
‘‘(A) dismisses a complaint filed under 
subsection (a); or 
‘‘(B) fails to initiate a civil enforcement ac-
tion under section 373 within 180 days of the 
filing of such a complaint, the person filing the 
complaint under subsection (a) may seek judi-
cial review of the Administration’s dismissal, or 
failure to act, in Federal district court in the 
District of Columbia or in the district in which 
such person resides. 
‘‘(2) SCOPE OF REVIEW.—The court shall re-
view the Administration’s dismissal of the complaint 
or failure to act in accordance with the provisions of 
section 706 of title 5, United States Code. 
‘‘(3) COURT
ORDERS.—The court may order 
the Administration to initiate an enforcement action 
or to conduct a further investigation of the com-
plaint within a time set by the court. 
‘‘SEC. 373. CIVIL ENFORCEMENT ACTIONS. 
‘‘(a) IN GENERAL.—The Administration shall have 
the authority to impose a civil monetary penalty under sec-
tion 375, issue a cease-and-desist order under section 376, 
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106 
or do both, if the Administration finds, by an order made 
on the record after notice and an opportunity for hearing 
before an administrative law judge pursuant to subchapter 
II of chapter 5 of title 5, United States Code, that a per-
son has violated (or, in the case of a cease-and-desist 
order, has violated or is about to violate) this Act or chap-
ter 95 or 96 of the Internal Revenue Code of 1986. The 
general counsel shall represent the Administration in any 
proceeding before an administrative law judge. 
‘‘(b) NOTICE AND REQUEST FOR HEARING.— 
‘‘(1) NOTICE.—If the Administration finds 
under section 371 or 372 that there are reasonable 
grounds to believe a violation has occurred or is 
about to occur, the Administration shall serve writ-
ten notice of the charges on each respondent, and 
shall conduct such further investigation as the Ad-
ministration deems necessary and appropriate. 
‘‘(2) REQUEST FOR HEARING.—Each respond-
ent shall have an opportunity to request, prior to the 
date that is 30 days after the date on which the no-
tice is received, a hearing on the charges before an 
administrative law judge. 
‘‘(3) EFFECT
OF
FAILURE
TO
REQUEST
A 
HEARING.—If no hearing is requested, the Adminis-
tration shall make a finding on the charges, and 
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107 
shall issue whatever relief the Administration deems 
appropriate under sections 375 and 376. 
‘‘(c) CONCILIATION.— 
‘‘(1) PROCEDURES FOR ENTERING INTO CON-
CILIATION AGREEMENTS.— 
‘‘(A) IN GENERAL.—If the respondent re-
quests a hearing under subsection (b)(2), the 
Administration shall attempt, for a period that 
does not exceed 60 days (or 15 days if the hear-
ing is requested within 60 days of an election), 
to correct or prevent such violation by informal 
methods of conference, conciliation, and persua-
sion, and to enter into a conciliation agreement 
with the respondent. In the case of a hearing 
that is requested at a time other than within 60 
days of an election, the period for conciliation 
shall not be less than 30 days unless an agree-
ment is reached before then. 
‘‘(B) INCLUSION OF CIVIL MONETARY PEN-
ALTIES.—A conciliation agreement may include 
a requirement that the person involved in such 
conciliation shall pay a civil monetary penalty 
that does not exceed the amounts set forth in 
subsection (a) of section 375 or, in the case of 
a knowing and willful violation, the amounts set 
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forth in subsection (b) of such section. The con-
ciliation agreement may also include the re-
quirement that the person involved consent to 
the terms of a cease-and-desist order, as pro-
vided in section 376. 
‘‘(C) 
REPRESENTATION
BY
GENERAL 
COUNSEL.—The general counsel shall represent 
the Administration in any negotiations for a 
conciliation agreement and any such concilia-
tion agreement shall be subject to the approval 
of the Administration. 
‘‘(D) BAR TO FURTHER ACTION.—A con-
ciliation agreement, unless violated, is a com-
plete bar to any further action by the Adminis-
tration. 
‘‘(2) CONFIDENTIALITY.—No action by the Ad-
ministration or any other person, and no informa-
tion derived in connection with any conciliation at-
tempt by the Administration may be made public by 
the Administration, without the written consent of 
the respondent, except that if a conciliation agree-
ment is agreed upon and signed by the Administra-
tion and the respondent, the Administration shall 
make such agreement public. 
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109 
‘‘(3) VIOLATION
OF
CONCILIATION
AGREE-
MENT.—In any case in which a person has entered 
into a conciliation agreement with the Administra-
tion under paragraph (1), the Administration may 
institute a civil action for relief if the Administration 
believes the person has violated any provision of 
such conciliation agreement. Such civil action shall 
be brought in the Federal district court for the dis-
trict in which the respondent resides or has its prin-
cipal place of business, or for the District of Colum-
bia. Such court shall have jurisdiction to issue any 
relief appropriate under sections 375 and 376. For 
the Administration to obtain relief in any such ac-
tion, the Administration need only establish that the 
person has violated, in whole or in part, any require-
ment of such conciliation agreement. 
‘‘(d) HEARING.—At the request of any respondent, 
a hearing on the charges served under subsection (b)(1) 
shall be conducted before an administrative law judge, who 
shall make such findings of fact and conclusions of law 
as the administrative law judge deems appropriate. The 
administrative law judge shall also have the authority to 
impose a civil monetary penalty on the respondent, issue 
a cease-and-desist order, or both. The decision of the ad-
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110 
ministrative law judge shall constitute final agency action 
unless an appeal is taken under subsection (e). 
‘‘(e) APPEAL TO ADMINISTRATION.— 
‘‘(1) RIGHT TO APPEAL.—The general counsel 
and each respondent shall each have a right to ap-
peal to the Administration from any final determina-
tion made by an administrative law judge. 
‘‘(2) REVIEW
OF
ALJ
DETERMINATIONS.—In 
the event of an appeal under paragraph (1), the Ad-
ministration shall review the determination of the 
administrative law judge to determine whether— 
‘‘(A) a finding of material fact is not sup-
ported by substantial evidence; 
‘‘(B) a conclusion of law is erroneous; 
‘‘(C) the determination of the administra-
tive law judge is contrary to law or to the duly 
promulgated rules or decisions of the Adminis-
tration; 
‘‘(D) a prejudicial error of procedure was 
committed; or 
‘‘(E) the decision or the relief ordered is 
otherwise arbitrary, capricious, or an abuse of 
discretion. 
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111 
‘‘(3) FINAL AGENCY ACTION.—The decision of 
the Administration shall constitute final agency ac-
tion. 
‘‘(f) JUDICIAL REVIEW.— 
‘‘(1) IN GENERAL.—Any party aggrieved by a 
final agency action and who has exhausted all ad-
ministrative remedies, including requesting a hearing 
before an administrative law judge and appealing an 
adverse decision of an administrative law judge to 
the Administration, may obtain judicial review of 
such action in the United States Court of Appeals 
for any circuit wherein such person resides or has its 
principal place of business, or in the United States 
Court of Appeals for the District of Columbia Cir-
cuit. 
‘‘(2) SCOPE OF REVIEW.—For purposes of con-
ducting the judicial review described in paragraph 
(1), the provisions of section 706 of title 5, United 
States Code, shall apply. 
‘‘(3) PETITION FOR JUDICIAL REVIEW.—To ob-
tain judicial review under paragraph (1), an ag-
grieved party described in such paragraph shall file 
a petition with the court during the 30-day period 
beginning on the date on which the order was 
issued. A copy of such petition shall be transmitted 
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112 
forthwith by the clerk of the court to the Adminis-
tration, and thereupon the Administration shall file 
in the court the record upon which the order com-
plained of was entered, as provided in section 2112 
of title 28, United States Code. 
‘‘SEC. 374. NOTIFICATION OF NONFILERS. 
‘‘(a) NOTIFICATION.—Before taking any action under 
section 373 against any person who has failed to file a 
report required under section 304(a)(2)(A)(iii) for the cal-
endar quarter immediately preceding the election involved, 
or in accordance with section 304(a)(2)(A)(i), the Admin-
istration shall notify the person of such failure to file the 
required reports. 
‘‘(b) OPPORTUNITY FOR RESPONSE.—If a satisfac-
tory response is not received within 4 business days after 
the date of notification, the Administration shall, pursuant 
to section 367(a)(6), publish before the election the name 
of the person and the report or reports such person has 
failed to file. 
‘‘SEC. 375. CIVIL MONETARY PENALTIES. 
‘‘(a) IN GENERAL.—Any person who violates this 
Act, or chapter 95 or 96 of the Internal Revenue Code 
of 1986, shall be liable to the United States for a civil 
monetary penalty for each violation which does not exceed 
the greater of $5,000 or an amount equal to any contribu-
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113 
tion or expenditure involved in such violation. Such pen-
alty shall be imposed by the Administration pursuant to 
section 373. 
‘‘(b) KNOWING
AND WILLFUL VIOLATIONS.—Any 
person who commits a knowing and willful violation of this 
Act, or of chapter 95 or 96 of the Internal Revenue Code 
of 1986, shall be liable to the United States for a civil 
monetary penalty for each violation which does not exceed 
the greater of $10,000 or an amount equal to 200 percent 
of any contribution or expenditure involved in such viola-
tion (or, in the case of a violation of section 320, which 
is not less than 300 percent of the amount involved in 
the violation and is not more than the greater of $50,000 
or 1,000 percent of the amount involved in the violation). 
Such penalty shall be imposed by the Administration pur-
suant to section 373. 
‘‘(c) DETERMINATION
OF CIVIL MONETARY PEN-
ALTY.—In determining the amount of a civil monetary 
penalty under this section with respect to a violation de-
scribed in this section, the Administration or an adminis-
trative law judge shall take into account the nature, cir-
cumstances, extent, and gravity of the violation and, with 
respect to the violator, any prior violation, the degree of 
culpability, and such other matters as justice may require. 
‘‘(d) REFERRAL TO ATTORNEY GENERAL.— 
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‘‘(1) IN GENERAL.—If the Administration de-
termines that a knowing and willful violation of this 
Act which is subject to section 379, or a knowing 
and willful violation of chapter 95 or 96 of the Inter-
nal Revenue Code of 1986, has occurred or is about 
to occur, the Administration may refer such appar-
ent violation to the Attorney General without regard 
to any limitations set forth under section 373. 
‘‘(2) REPORTING
BY
THE
ATTORNEY
GEN-
ERAL.—Whenever the Administration refers an ap-
parent violation to the Attorney General, the Attor-
ney General shall report to the Administration any 
action taken by the Attorney General regarding the 
apparent violation. Each report shall be transmitted 
within 60 days after the date the Administration re-
fers an apparent violation, and every 30 days there-
after until the final disposition of the apparent viola-
tion. 
‘‘SEC. 376. CEASE-AND-DESIST ORDERS. 
‘‘(a) IN GENERAL.—If the Administration finds, 
after notice and opportunity for hearing under section 
373, that any person is violating, has violated, or is about 
to violate any provision of this Act, or chapter 95 or 96 
of the Internal Revenue Code of 1986, or any rule or regu-
lation thereunder, the Administration may publish any 
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115 
findings and enter an order requiring such person, or any 
other person that is, was, or would be a cause of the viola-
tion due to an act or omission the person knew or should 
have known would contribute to such violation, to cease 
and desist from committing or causing such violation and 
any future violation of the same provision, rule, or regula-
tion. Such order may, in addition to requiring a person 
to cease and desist from committing or causing a violation, 
require such person to comply (or to take steps to effect 
compliance) with such provision, rule, or regulation, upon 
such terms and conditions and within such time as the 
Administration may specify in such order. 
‘‘(b) TEMPORARY ORDER.—Whenever the Adminis-
tration determines that an alleged violation or threatened 
violation specified in the notice initiating a civil enforce-
ment action under section 373, or the continuation there-
of, is likely to result in violation of this Act, or of chapter 
95 or 96 of the Internal Revenue Code of 1986, and sub-
stantial harm to the public interest, the Administration 
may apply to the Federal district court for the district in 
which the respondent resides or has its principal place of 
business, in which the alleged or threatened violation oc-
curred or is about to occur, or for the District of Colum-
bia, for a temporary restraining order or a preliminary 
injunction requiring the respondent to cease and desist 
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116 
from the violation or threatened violation and to take such 
action to prevent the violation or threatened violation. The 
Administration may apply for such order without regard 
to any limitation under section 373. 
‘‘SEC. 377. COLLECTION. 
‘‘If any person fails to pay an assessment of a civil 
penalty— 
‘‘(1) after the order making the assessment has 
become a final order and such person has not timely 
filed a petition for judicial review of the order in ac-
cordance with section 373(f)(3) or if the order of the 
Administration is upheld after judicial review; or 
‘‘(2) after a court in an action brought under 
section 373(c)(3) has entered a final judgment no 
longer subject to appeal in favor of the Administra-
tion, 
the Attorney General shall recover the amount assessed 
(plus interest at currently prevailing rates from the date 
of the expiration of the 30-day period referred to in section 
373(f)(3) or the date of such final judgment, as the case 
may be) in an action brought in any appropriate district 
court of the United States. In such an action, the validity, 
amount, and appropriateness of such penalty shall not be 
subject to review. 
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117 
‘‘SEC. 378. CONFIDENTIALITY. 
‘‘(a) PRIOR
TO
A
FINDING
OF
REASONABLE 
GROUNDS.—Any proceedings conducted by the Adminis-
tration prior to a finding that there are reasonable 
grounds to believe a violation of the law has occurred or 
is about to occur, including any investigation pursuant to 
section 371 or pursuant to a complaint filed under section 
372, shall be confidential and none of the Administration’s 
records concerning the complaint shall be made public, ex-
cept that the person filing a complaint pursuant to section 
372 is permitted to make such complaint public. 
‘‘(b) 
AFTER
A
FINDING
OF
REASONABLE 
GROUNDS.—Except as provided in subsection (d), if the 
Administration makes a finding pursuant to section 371 
or 372 that there are reasonable grounds to believe that 
a violation of law has occurred or is about to occur— 
‘‘(1) the finding of the Administration as well 
as any complaint filed under section 372, any notice 
of charges, and any answer or similar documents 
filed with the Administration shall be made public; 
and 
‘‘(2) all proceedings conducted before an admin-
istrative law judge under section 373, and all docu-
ments used during such proceedings, shall be made 
public. 
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118 
‘‘(c) AFTER DISMISSAL OF A COMPLAINT OR CON-
CLUSION OF PROCEEDINGS FOLLOWING A FINDING OF 
REASONABLE GROUNDS.—Subject to subsection (d), fol-
lowing the Administration’s dismissal of a complaint filed 
under section 372 or the termination of proceedings fol-
lowing a finding of reasonable grounds under section 371 
or 372, the Administration shall, not later than the date 
that is 30 days after such dismissal or termination, make 
public— 
‘‘(1) the complaint, any notice of charges, and 
any answer or similar documents filed with the Ad-
ministration (unless such information has already 
been made public under subsection (b)(1)); 
‘‘(2) any order setting forth the Administra-
tion’s final action on the complaint; 
‘‘(3) any findings made by the Administration 
in relation to the action; and 
‘‘(4) all documentary materials and testimony 
constituting the record on which the Administration 
relied in taking its actions. 
Subject to subsection (d), the affirmative disclosure re-
quirement of this subsection is without prejudice to the 
right of any person to request and obtain records relating 
to an investigation under section 552 of title 5, United 
States Code. 
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119 
‘‘(d) CONFIDENTIALITY
OF RECORDS
AND PRO-
CEEDINGS OTHERWISE SUBJECT TO DISCLOSURE.— 
‘‘(1) IN GENERAL.—The Administration shall 
issue regulations providing for the protection of in-
formation the disclosure of which under subsection 
(b) or (c) would impair any person’s constitutionally 
protected right of privacy, freedom of speech, or 
freedom of association. The Administration shall 
also issue regulations addressing the application of 
exemptions from disclosure contained in section 552 
of title 5, United States Code, to records comprising 
the Administration’s investigative files. Such regula-
tions shall consider the need to protect any person’s 
constitutionally protected rights to privacy, freedom 
of speech, and freedom of association, as well as the 
need to make information about the Administra-
tion’s activities and decisions widely accessible to the 
public. 
‘‘(2) 
PETITION
TO
MAINTAIN
CONFIDEN-
TIALITY.— 
‘‘(A) IN GENERAL.—Any person who would 
be adversely affected by any disclosure of infor-
mation about the person made pursuant to sub-
section (b) or (c), or by the conduct in public 
of a hearing or other proceeding conducted pur-
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120 
suant to section 373, shall have the right to pe-
tition the Administration to maintain the con-
fidentiality of such information or such pro-
ceeding on the ground that such information 
falls within the scope of any exemption from 
disclosure contained in section 552 of title 5, 
United States Code, or is prohibited from dis-
closure under the Administration’s regulations, 
the Constitution, or any other provision of law. 
Upon the receipt of such petition, the Adminis-
tration shall make a prompt determination 
whether the information should be kept con-
fidential, and shall withhold such information 
from disclosure pending this determination. The 
Administration shall notify the petitioner in 
writing of the determination. 
‘‘(B) REGULATIONS.—The Administration 
shall prescribe regulations governing the consid-
eration of petitions under this paragraph. Such 
regulations shall provide for public notice of the 
pendancy of any petition filed under subpara-
graph (A) and the right of any interested party 
to respond to or comment on such petition. 
‘‘(e) PENALTIES.—Any member or employee of the 
Administration, or any other person, who violates the pro-
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121 
visions of this section shall be fined not more than $2,000. 
Any such member, employee, or other person who know-
ingly and willfully violates the provisions of this section 
shall be fined not more than $5,000. 
‘‘SEC. 379. CRIMINAL PENALTIES. 
‘‘(a) KNOWING
AND WILLFUL VIOLATIONS.—Any 
person who knowingly and willfully commits a violation of 
any provision of this Act that involves the making, receiv-
ing, or reporting of any contribution, donation, or expendi-
ture— 
‘‘(1) aggregating $25,000 or more during a cal-
endar year shall be fined under title 18, United 
States Code, or imprisoned for not more than 5 
years, or both; or 
‘‘(2) aggregating $2,000 or more (but less than 
$25,000) during a calendar year shall be fined under 
such title, or imprisoned for not more than 1 year, 
or both. 
‘‘(b) CONTRIBUTIONS
OR EXPENDITURES
BY NA-
TIONAL BANKS, CORPORATIONS, OR LABOR ORGANIZA-
TIONS.—In the case of a knowing and willful violation of 
section 316(b)(3), the penalties set forth in subsection (a) 
shall apply to each violation involving an amount aggre-
gating $250 or more during a calendar year. Such a viola-
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tion of section 316(b)(3) may incorporate a violation of 
section 317(a), 320, or 321. 
‘‘(c) FRAUDULENT MISREPRESENTATION OF CAM-
PAIGN AUTHORITY.—In the case of a knowing and willful 
violation of section 322, the penalties set forth in sub-
section (a) shall apply without regard to whether the mak-
ing, receiving, or reporting of a contribution or expendi-
ture of $1,000 or more is involved. 
‘‘(d) PROHIBITION OF CONTRIBUTIONS IN NAME OF 
ANOTHER.—Any person who knowingly and willfully com-
mits a violation of section 320 involving an amount aggre-
gating more than $10,000 during a calendar year shall 
be— 
‘‘(1) imprisoned for not more than 2 years if 
the amount is less than $25,000 and subject to im-
prisonment under subsection (a) if the amount is 
$25,000 or more; 
‘‘(2) fined not less than 300 percent of the 
amount involved in the violation and not more than 
the greater of— 
‘‘(A) $50,000; or 
‘‘(B) 1,000 percent of the amount involved 
in the violation; or 
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‘‘(3) both imprisoned as provided under para-
graph (1) and fined as provided under paragraph 
(2). 
‘‘(e) EFFECT OF CONCILIATION AGREEMENTS.— 
‘‘(1) EVIDENCE OF LACK OF KNOWLEDGE AND 
INTENT.—In any criminal action brought for a viola-
tion of any provision of this Act or of chapter 95 or 
96 of the Internal Revenue Code of 1986, any de-
fendant may evidence their lack of knowledge or in-
tent to commit the alleged violation by introducing 
as evidence a conciliation agreement entered into be-
tween the defendant and the Administration under 
section 373(c)(1) which specifically deals with the 
act or failure to act constituting such violation and 
which is still in effect. 
‘‘(2) CONSIDERATION
BY
COURTS.—In any 
criminal action brought for a violation of any provi-
sion of this Act or of chapter 95 or 96 of the Inter-
nal Revenue Code of 1986, the court before which 
such action is brought shall take into account, in 
weighing the seriousness of the violation and in con-
sidering the appropriateness of the penalty to be im-
posed if the defendant is found guilty, whether— 
‘‘(A) the specific act or failure to act which 
constitutes the violation for which the action 
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124 
was brought is the subject of a conciliation 
agreement entered into between the defendant 
and the Administration under section 373(c)(1); 
‘‘(B) the conciliation agreement is in ef-
fect; and 
‘‘(C) the defendant is, with respect to the 
violation involved, in compliance with the concil-
iation agreement. 
‘‘SEC. 380. PERIOD OF LIMITATIONS. 
‘‘No person shall be prosecuted, tried, or punished 
for any violation of this Act, unless the indictment is found 
or the information is instituted within 5 years after the 
date of the violation. 
‘‘SEC. 381. AUTHORIZATION OF APPROPRIATIONS. 
‘‘For each fiscal year, there are authorized to be ap-
propriated to the Administration such sums as may be 
necessary for the purpose of carrying out its functions 
under this Act and under chapters 95 and 96 of the Inter-
nal Revenue Code of 1986.’’. 
SEC. 1112. EXECUTIVE SCHEDULE POSITIONS. 
(a) EXECUTIVE SCHEDULE LEVEL III POSITION.— 
Section 5314 of title 5, United States Code, is amended 
by adding at the end the following: 
‘‘Chair, Federal Election Administration.’’. 
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125 
(b) EXECUTIVE SCHEDULE LEVEL IV POSITIONS.— 
Section 5315 of title 5, United States Code, is amended 
by adding at the end the following: 
‘‘Members (other than the Chair), Federal Elec-
tion Administration. 
‘‘Inspector General, Federal Election Adminis-
tration.’’. 
SEC. 1113. GAO EXAMINATION OF ENFORCEMENT OF CAM-
PAIGN FINANCE LAWS BY THE DEPARTMENT 
OF JUSTICE. 
(a) EXAMINATION.—The Comptroller General of the 
United States shall conduct a thorough examination of the 
enforcement of the criminal provisions of the Federal 
Election Campaign Act of 1971 (52 U.S.C. 30101 et seq.) 
and chapters 95 and 96 of the Internal Revenue Code of 
1986 by the Attorney General. 
(b) REPORT.—Not later than 1 year after the date 
of enactment of this Act, the Comptroller General shall 
submit to the Attorney General and Congress a report on 
the examination conducted under subsection (a) together 
with recommendations on how the Attorney General may 
improve the enforcement of the criminal provisions of the 
Federal Election Campaign Act of 1971 (52 U.S.C. 30101 
et seq.) and chapters 95 and 96 of the Internal Revenue 
Code of 1986, including recommendations on the re-
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126 
sources that the Attorney General would require to effec-
tively enforce such criminal provisions. 
SEC. 1114. GAO STUDY AND REPORT ON APPROPRIATE 
FUNDING LEVELS. 
(a) STUDY.—The Comptroller General of the United 
States shall conduct an ongoing study on the level of fund-
ing that constitutes an adequate level of resources for the 
Federal Election Administration to competently execute 
the responsibilities imposed on the Administration by this 
Act and the amendments made by this Act. 
(b) REPORT.—Not later than 1 year after the date 
of enactment of this Act, and once every 2 years there-
after, the Comptroller General shall submit to the Director 
of the Office of Management and Budget and Congress 
a report on the study conducted under subsection (a) to-
gether with recommendations for such legislation and ad-
ministrative action as the Comptroller General determines 
to be appropriate. 
SEC. 1115. CONFORMING AMENDMENTS. 
(a) INDEPENDENT AGENCY.—Section 104 of title 5, 
United States Code, is amended— 
(1) in paragraph (1), by striking ‘‘and’’ after 
the semicolon; 
(2) in paragraph (2), by striking the period and 
inserting ‘‘; and’’; and 
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127 
(3) by adding at the end the following new 
paragraph: 
‘‘(3) the Federal Election Administration.’’. 
(b) COVERAGE UNDER INSPECTOR GENERAL ACT.— 
Section 8G(a)(2) of the Inspector General Act of 1978 (5 
U.S.C. App.) is amended by striking ‘‘Federal Election 
Commission’’ and inserting ‘‘Federal Election Administra-
tion’’. 
(c) COVERAGE
OF
PERSONNEL
UNDER
HATCH 
ACT.—Section 7323(b) of title 5, United States Code, is 
amended— 
(1) in paragraph (1), by striking ‘‘Federal Elec-
tion Commission’’ and inserting ‘‘Federal Election 
Administration’’; and 
(2) in paragraph (2)(B)(i)(I), by striking ‘‘Fed-
eral Election Commission’’ and inserting ‘‘Federal 
Election Administration’’. 
(d) REMOVAL OF EXCLUSION FROM SENIOR EXECU-
TIVE SERVICE.—Section 3132(a)(1) of title 5, United 
States Code, is amended by striking subparagraph (C) and 
by redesignating subparagraphs (D), (E), and (F) as sub-
paragraphs (C), (D), and (E), respectively. 
(e) SUBTITLE A.—Title III of the Federal Election 
Campaign Act of 1971 (52 U.S.C. 30101 et seq.) is 
amended by inserting before section 301 the following: 
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‘‘Subtitle A—General Provisions’’. 
PART II—TRANSITION PROVISIONS 
SEC. 1151. TRANSFER OF FUNCTIONS OF FEDERAL ELEC-
TION COMMISSION. 
There are transferred to the Federal Election Admin-
istration established under section 351 of the Federal 
Election Campaign Act of 1971 (as added by section 
1311) all functions that the Federal Election Commission 
exercised before the date described in section 1326(a). 
SEC. 1152. TRANSFER OF PROPERTY, RECORDS, AND PER-
SONNEL. 
(a) PROPERTY AND RECORDS.—The contracts, liabil-
ities, records, property, and other assets and interests of, 
or made available in connection with, the offices and func-
tions of the Federal Election Commission which are trans-
ferred by this subtitle are transferred to the Federal Elec-
tion Administration. 
(b) PERSONNEL.—The personnel employed in con-
nection with the offices and functions of the Federal Elec-
tion Commission which are transferred by this subtitle are 
transferred to the Federal Election Administration. 
SEC. 1153. REPEALS. 
(a) PROVISIONS OF THE FEDERAL ELECTION CAM-
PAIGN ACT OF 1971.—The following provisions of the 
Federal Election Campaign Act of 1971 are repealed: 
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(h) Section 6(a)(9) of the Lobbying Disclosure Act 
1995 (2 U.S.C. 1605(a)(9)) is amended by striking ‘‘the 
Federal Election Commission’’ and inserting ‘‘the Federal 
Election Administration’’. 
SEC. 1155. TREATMENT OF CERTAIN REGULATIONS. 
(a) REGULATIONS ON DISCLOSURE OF ELECTION-
EERING COMMUNICATIONS.— 
(1) IN GENERAL.—Effective on the date that is 
90 days after enactment of this Act, the regulations 
on disclosure of electioneering communications 
adopted by the Federal Election Commission and 
published in the Federal Register at page 419 of vol-
ume 68 on January 3, 2003, and at page 5057 of 
volume 68 on January 31, 2003, as amended at 
page 72913 of volume 72 on December 26, 2007, 
are repealed. 
(2) NEW
REGULATIONS.—Not later than 90 
days after the date of the enactment of this Act, the 
Federal Election Commission shall promulgate new 
regulations on disclosure of electioneering commu-
nications under section 304(f) of the Federal Elec-
tion Campaign Act of 1971 (52 U.S.C. 30104(f)). 
The regulations promulgated under this paragraph 
shall require the disclosure of the identification of all 
persons who make a contribution to a person who 
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makes an electioneering communication and shall 
not limit such disclosure to only to persons who 
make contributions for the purpose of furthering 
electioneering communications, or any similar limita-
tion on the scope of such disclosure. 
(b) REGULATIONS ON SOLICITATIONS AT NON-FED-
ERAL FUNDRAISING EVENTS.— 
(1) IN GENERAL.—Effective on the date that is 
90 days after the date of the enactment of this Act, 
the regulations on participation by Federal can-
didates and officeholders at non-Federal fundraising 
events adopted by the Federal Election Commission 
and published in the Federal Register at page 24383 
of volume 75 on May 5, 2010, are repealed. 
(2) NEW
REGULATIONS.—Not later than 90 
days after enactment of this Act, the Federal Elec-
tion Commission shall promulgate new regulations 
on participation by Federal candidates and office-
holders in non-Federal fundraising events. The regu-
lations shall limit the participation by Federal can-
didates and officeholders in such events to attend-
ing, speaking, or being a featured guest at a fund-
raising event for a State, district, or local committee 
of a political party, and shall not allow Federal can-
didates and officeholders to participate in or solicit 
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funds at any other fundraising event where non-Fed-
eral funds are raised. 
SEC. 1156. EFFECTIVE DATE. 
(a) IN GENERAL.—Except as provided in section 
1325, this subtitle and the amendments made by this sub-
title shall take effect on the date that is 6 months after 
the date of enactment of this Act. 
(b) TERMINATION OF THE FEDERAL ELECTION COM-
MISSION.—Notwithstanding any other provision of, or 
amendment made by, this subtitle, the members of the 
Federal Election Commission shall be removed from office 
on the date described in subsection (a). 
Subtitle C—Lobbying Reform 
SEC. 1201. LOBBYIST REGISTRATION REFORMS. 
Section 3(10) of the Lobbying Disclosure Act of 1995 
(2 U.S.C. 1602(10)) is amended by striking ‘‘contact, 
other than’’ and all that follows through ‘‘3-month pe-
riod.’’ and inserting ‘‘contact over a 2-year period.’’. 
Subtitle D—Revolving Door Reform 
SEC. 1301. SHORT TITLE. 
This subtitle may be cited as the ‘‘Financial Services 
Conflict of Interest Act’’. 
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135 
SEC. 1302. RESTRICTIONS ON PRIVATE SECTOR PAYMENT 
FOR GOVERNMENT SERVICE. 
Section 209 of title 18, United States Code, is 
amended— 
(1) in subsection (a)— 
(A) by striking ‘‘any salary’’ and inserting 
‘‘any bonus, salary’’; and 
(B) by striking ‘‘his services’’ and inserting 
‘‘services rendered or to be rendered’’; and 
(2) in subsection (b)— 
(A) by inserting ‘‘(1)’’ after ‘‘(b)’’; and 
(B) by adding at the end the following: 
‘‘(2) For purposes of paragraph (1), a pension, retire-
ment, group life, health or accident insurance, profit-shar-
ing, stock bonus, or other employee welfare or benefit plan 
that makes payment of compensation contingent on ac-
cepting a position in the Federal Government shall not 
be considered bona fide. 
‘‘(3) For purposes of paragraph (2), compensation in-
cludes a retention award or bonus, severance pay, and any 
other payment linked to future service in the Federal Gov-
ernment in any way.’’. 
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SEC. 1303. REQUIREMENTS RELATING TO SLOWING THE RE-
VOLVING DOOR AMONG FINANCIAL SERVICES 
REGULATORS. 
(a) IN GENERAL.—The Ethics in Government Act of 
1978 (5 U.S.C. App.) is amended by adding at the end 
the following: 
‘‘TITLE VI—SPECIAL REQUIRE-
MENTS FOR FINANCIAL SERV-
ICES REGULATORS 
‘‘SEC. 601. DEFINITIONS. 
‘‘(a) IN GENERAL.—In this title, the terms ‘des-
ignated agency ethics official’ and ‘executive branch’ have 
the meanings given such terms under section 109. 
‘‘(b) OTHER DEFINITIONS.—In this title: 
‘‘(1) COVERED FINANCIAL SERVICES AGENCY.— 
The term ‘covered financial services agency’— 
‘‘(A) means a primary financial regulatory 
agency (as defined in section 2 of the Dodd- 
Frank Wall Street Reform and Consumer Pro-
tection Act (12 U.S.C. 5301)); and 
‘‘(B) includes— 
‘‘(i) the Board of Governors of the 
Federal Reserve System; 
‘‘(ii) the Office of the Comptroller of 
the Currency; 
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‘‘(iii) the Federal Deposit Insurance 
Corporation; 
‘‘(iv) the National Credit Union Ad-
ministration; 
‘‘(v) the Securities and Exchange 
Commission; 
‘‘(vi) the Federal Housing Finance 
Agency; 
‘‘(vii) the Bureau of Consumer Finan-
cial Protection; 
‘‘(viii) the Commodity Futures Trad-
ing Commission; and 
‘‘(ix) the Department of the Treasury. 
‘‘(2) COVERED
FINANCIAL
SERVICES
REGU-
LATOR.—The term ‘covered financial services regu-
lator’ means an officer or employee of a covered fi-
nancial services agency who occupies— 
‘‘(A) a supervisory position classified above 
GS–15 of the General Schedule; 
‘‘(B) in the case of a position not under 
the General Schedule, a supervisory position for 
which the rate of basic pay is not less than 120 
percent of the minimum rate of basic pay for 
GS–15 of the General Schedule; or 
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ployee, officer, director, trustee, or general part-
ner during the 2-year period ending on the date 
(after such service) on which the covered finan-
cial services regulator begins service in the Fed-
eral Government; and 
‘‘(B) does not include— 
‘‘(i) an entity in the Federal Govern-
ment, including an executive branch agen-
cy; 
‘‘(ii) a State or local government; 
‘‘(iii) the District of Columbia; 
‘‘(iv) an Indian tribe, as defined in 
section 4 of the Indian Self-Determination 
and Education Assistance Act (25 U.S.C. 
450b); or 
‘‘(v) the government of a territory or 
possession of the United States. 
‘‘SEC. 602. CONFLICT OF INTEREST AND ELIGIBILITY 
STANDARDS FOR FINANCIAL SERVICES REG-
ULATORS. 
‘‘(a) IN GENERAL.—A covered financial services reg-
ulator shall not make, participate in making, or in any 
way attempt to use the official position of the covered fi-
nancial services regulator to influence a particular matter 
that provides a direct and substantial pecuniary benefit 
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for a former employer or former client of the covered fi-
nancial services regulator. 
‘‘(b) RECUSAL.—A covered financial services regu-
lator shall recuse himself or herself from any official ac-
tion that would violate subsection (a). 
‘‘(c) WAIVER.— 
‘‘(1) IN GENERAL.—The head of the covered fi-
nancial services agency employing a covered financial 
services regulator, in consultation with the Director 
of the Office of Government Ethics, may grant a 
written waiver of the restrictions under subsection 
(a) if, and to the extent that, the head of the cov-
ered financial services agency certifies in writing 
that— 
‘‘(A) the application of the restriction to 
the particular matter is inconsistent with the 
purposes of the restriction; or 
‘‘(B) it is in the public interest to grant 
the waiver. 
‘‘(2) PUBLICATION.—The Director of the Office 
of Government Ethics shall make each waiver under 
paragraph (1) publicly available on the Web site of 
the Office of Government Ethics. 
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141 
‘‘SEC. 603. NEGOTIATING FUTURE PRIVATE SECTOR EM-
PLOYMENT. 
‘‘(a) PROHIBITION.—Except as provided in sub-
section (c), and notwithstanding any other provision of 
law, a covered financial services regulator may not partici-
pate in any particular matter which involves, to the knowl-
edge of the covered financial services regulator, an indi-
vidual or entity with whom the covered financial services 
regulator is in negotiations of future employment or has 
an arrangement concerning prospective employment. 
‘‘(b) DISCLOSURE
OF
EMPLOYMENT
NEGOTIA-
TIONS.— 
‘‘(1) IN GENERAL.—If a covered financial serv-
ices regulator begins any negotiations of future em-
ployment with another person, or an agent or inter-
mediary of another person, or other discussion or 
communication with another person, or an agent or 
intermediary of another person, mutually conducted 
with a view toward reaching an agreement regarding 
possible employment of the covered financial services 
regulator, the covered financial services regulator 
shall notify the designated agency ethics official of 
the covered financial services agency employing the 
covered financial services regulator regarding the ne-
gotiations, discussions, or communications. 
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‘‘(2) INFORMATION.—A designated agency eth-
ics official receiving notice under paragraph (1), 
after consultation with the Director of the Office of 
Government Ethics, shall inform the covered finan-
cial services regulator of any potential conflicts of 
interest involved in any negotiations, discussions, or 
communications with the other person and the pro-
hibitions applicable. 
‘‘(c) WAIVERS ONLY WHEN EXCEPTIONAL CIR-
CUMSTANCES EXIST.— 
‘‘(1) IN GENERAL.—The head of a covered fi-
nancial services agency may only grant a waiver of 
subsection (a) if the head determines that excep-
tional circumstances exist. 
‘‘(2) REVIEW
AND
PUBLICATION.—For any 
waiver granted under paragraph (1), the Director of 
the Office of Government Ethics shall— 
‘‘(A) review the circumstances relating to 
the waiver and the determination that excep-
tional circumstances exist; and 
‘‘(B) make the waiver publicly available on 
the Web site of the Office of Government Eth-
ics, which shall include— 
‘‘(i) the name of the private person or 
persons involved in the negotiations or ar-
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rangement concerning prospective employ-
ment; and 
‘‘(ii) the date on which the negotia-
tions or arrangements commenced. 
‘‘(d) SCOPE.—For purposes of this section, the term 
‘negotiations of future employment’ is not limited to dis-
cussions of specific terms or conditions of employment in 
a specific position. 
‘‘SEC. 604. RECORDKEEPING. 
‘‘The Director of the Office of Government Ethics 
shall— 
‘‘(1) receive all employment histories, recusal 
and waiver records, and other disclosure records for 
covered executive branch officials necessary for mon-
itoring compliance to this title; 
‘‘(2) promulgate rules and regulations, in con-
sultation with the Director of the Office of Per-
sonnel Management and the Attorney General, for 
implementation of this title; 
‘‘(3) provide guidance and assistance where ap-
propriate to facilitate compliance with this title; 
‘‘(4) review and, where necessary, assist des-
ignated agency ethics officers in providing advice to 
covered financial services regulators regarding com-
pliance with this title; and 
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‘‘(5) if the Director determines that a violation 
of this title may have occurred, and in consultation 
with the designated agency ethics officer and the 
Counsel to the President, refer the compliance case 
to the United States Attorney for the District of Co-
lumbia for enforcement action. 
‘‘SEC. 605. PENALTIES AND INJUNCTIONS. 
‘‘(a) CRIMINAL PENALTIES.— 
‘‘(1) IN
GENERAL.—Any person who violates 
section 602 or 603 shall be fined under title 18, 
United States Code, imprisoned for not more than 
1 year, or both. 
‘‘(2) WILLFUL VIOLATIONS.—Any person who 
willfully violates section 602 or 603 shall be fined 
under title 18, United States Code, imprisoned for 
not more than 5 years, or both. 
‘‘(b) CIVIL ENFORCEMENT.— 
‘‘(1) IN GENERAL.—The Attorney General may 
bring a civil action in the appropriate United States 
district court against any person who violates, or 
who the Attorney General has reason to believe is 
engaging in conduct that violates, section 602 or 
603. 
‘‘(2) CIVIL PENALTY.— 
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