NY Legis L § 1-E (2021)
2021 New York Laws LEG - Legislative Article 1-A - Lobbying Act 1-E - Statement of Registration.

§  1-e.  Statement  of  registration.  (a)  (1)  Every  lobbyist shall annually file with the commission, on forms provided by the  commission, a  statement  of registration for each calendar year; provided, however, that the filing of such statement of registration shall not be  required of any lobbyist who (i) in any year does not expend, incur or receive an amount in excess of two thousand dollars for years prior to two thousand six  and in excess of five thousand dollars in the year two thousand six and the years thereafter of reportable  compensation  and  expenses,  as provided  in  paragraph five of subdivision (b) of section one-h of this article, for the purposes of lobbying or (ii) is an  officer,  director, trustee  or  employee  of  any  public  corporation, when acting in such official capacity; provided however, that nothing in this section  shall be construed to relieve any public corporation of the obligation to file such  statements  and  reports  as required by this article. The amounts expended, incurred, or received of reportable compensation and  expenses for  lobbying activities shall be computed cumulatively for all lobbying activities when determining whether the thresholds  set  forth  in  this section have been met.  (2) (i) Through calendar year two thousand three, such filing shall be completed  on  or  before  January  first by those persons who have been retained, employed or designated  as  lobbyist  on  or  before  December fifteenth  who  reasonably  anticipate that in the coming year they will expend, incur or receive combined reportable compensation  and  expenses in  an  amount  in  excess  of two thousand dollars; for those lobbyists retained, employed or designated after December fifteenth, and for those lobbyists who subsequent to their retainer,  employment  or  designation reasonably  anticipate  combined reportable compensation and expenses in excess of such amount, such filing must be completed within fifteen days thereafter, but in no  event  later  than  ten  days  after  the  actual incurring or receiving of such reportable compensation and expenses.  (ii)  For  calendar  year  two  thousand  four,  such filings shall be completed on or before January first by  those  persons  who  have  been retained,  employed  or  designated  as  lobbyist  on or before December fifteenth, two thousand three who  reasonably  anticipate  that  in  the coming  year  they  will  expend,  incur  or receive combined reportable compensation and expenses  in  an  amount  in  excess  of  two  thousand dollars;  for  those  lobbyists  retained,  employed or designated after December fifteenth, two thousand three,  and  for  those  lobbyists  who subsequent  to  their  retainer,  employment  or  designation reasonably anticipate combined reportable compensation and expenses  in  excess  of such   amount,  such  filing  must  be  completed  within  fifteen  days thereafter, but in no  event  later  than  ten  days  after  the  actual incurring or receiving of such reportable compensation and expenses.  (3)  Commencing  calendar  year two thousand five and thereafter every lobbyist shall biennially file with the commission, on forms provided by the commission, a statement of registration  for  each  biennial  period beginning  with the first year of the biennial cycle commencing calendar year two thousand five  and  thereafter;  provided,  however,  that  the biennial  filing of such statement of registration shall not be required of any lobbyist who (i) in any year prior to calendar year two  thousand six  does  not  expend,  incur  or  receive  an  amount in excess of two thousand dollars of reportable compensation and expenses, as provided in paragraph five of subdivision (b) of section one-h of this article,  for the  purposes of lobbying and commencing with calendar year two thousand six does not expend, incur or  receive  an  amount  in  excess  of  five thousand  dollars  of  reportable compensation, as provided in paragraph five of subdivision (b)  of  section  one-h  of  this  article  for  the purposes  of  lobbying  or  (ii)  is  an  officer,  director, trustee or  employee of  any  public  corporation,  when  acting  in  such  official capacity;  provided  however,  that  nothing  in  this  section shall be construed to relieve any public corporation of the  obligation  to  file such statements and reports as required by this article.  (4)  Such  biennial  filings  shall  be completed on or before January first of the first year of a biennial cycle commencing in calendar  year two  thousand  five  and  thereafter,  by  those  persons  who have been retained, employed or designated  as  lobbyist  on  or  before  December fifteenth  of  the  previous calendar year and who reasonably anticipate that in the coming year they will  expend,  incur  or  receive  combined reportable  compensation  and  expenses  in  an  amount in excess of two thousand dollars in years prior to calendar year two  thousand  six  and five  thousand  dollars  commencing  in  two  thousand  six;  for  those lobbyists retained, employed or designated after the  previous  December fifteenth,  and  for  those  lobbyists who subsequent to their retainer, employment or  designation  reasonably  anticipate  combined  reportable compensation  and expenses in excess of such amount, such filing must be completed within fifteen days thereafter, but in no event later than ten days  after  the  actual  incurring  or  receiving  of  such  reportable compensation and expenses.  (b)  (i)  Such  statements of registration shall be kept on file for a period of three years for those filing periods where  annual  statements are required, and shall be open to public inspection during such period; (ii)  Biennial  statements  of  registration shall be kept on file for a period of three biennial filing periods where  biennial  statements  are required, and shall be open to public inspection during such period.  (c) Such statement of registration shall contain:  (1) the name, address and telephone number of the lobbyist, and if the lobbyist  is  an organization the names, addresses and telephone numbers of any officer or employee of such lobbyist who engages in any  lobbying activities or who is employed in an organization's division that engages in lobbying activities of the organization;  (2) the name, address and telephone number of the client by whom or on whose behalf the lobbyist is retained, employed or designated;  (3)  if  such  lobbyist  is retained or employed pursuant to a written agreement of retainer or employment,  a  copy  of  such  shall  also  be attached  and if such retainer or employment is oral, a statement of the substance thereof; such written retainer, or if it is oral, a  statement of  the  substance thereof, and any amendment thereto, shall be retained for a period of three years;  (4) a written authorization from the client by whom  the  lobbyist  is authorized  to lobby, unless such lobbyist has filed a written agreement of  retainer  or  employment  pursuant  to  paragraph  three   of   this subdivision;  (5)  the following information on which the lobbyist expects to lobby: (i)  a  description  of  the  general  subject  or  subjects,  (ii)  the legislative  bill  numbers  of  any  bills, (iii) the numbers or subject matter (if there are no numbers) of gubernatorial  executive  orders  or executive   orders   issued   by   the  chief  executive  officer  of  a municipality,  (iv)  the  subject  matter  of  and  tribes  involved  in tribal-state   compacts,   memoranda  of  understanding,  or  any  other state-tribal agreements and any  state  actions  related  to  class  III gaming  as  provided  in 25 U.S.C. § 2701, (v) the rule, regulation, and ratemaking numbers  of  any  rules,  regulations,  rates,  or  municipal ordinances and resolutions, or proposed rules, regulations, or rates, or municipal  ordinances  and  resolutions,  and  (vi)  the  titles and any identifying numbers of any procurement  contracts  and  other  documents disseminated  by  a state agency, either house of the state legislature,  the unified court system, municipal agency or local legislative body  in connection with a governmental procurement;  (6)  the  name of the person, organization, or legislative body before which the lobbyist is lobbying or expects to lobby;  (7) if the lobbyist is retained, employed or designated by  more  than one  client,  a separate statement of registration shall be required for each such client.  (8) (i) the name and public office address of  any  statewide  elected official,  state  officer  or  employee,  member  of  the legislature or legislative employee and entity with whom the lobbyist has a  reportable business relationship;  (ii)  a  description  of  the  general  subject  or  subjects  of  the transactions between the lobbyist or lobbyists and the statewide elected official, state officer  or  employee,  member  of  the  legislature  or legislative employee and entity; and  (iii)  the  compensation,  including  expenses, to be paid and paid by virtue of the business relationship.  (d) Any amendment to the information filed  by  the  lobbyist  in  the original  statement of registration shall be submitted to the commission on  forms  supplied  by  the  commission  within  ten  days  after  such amendment,  however,  this  shall  not require the lobbyist to amend the entire registration form.  (e) (i) The first statement of registration  filed  annually  by  each lobbyist  for  calendar  years  through  two  thousand  three  shall  be accompanied by a registration  fee  of  fifty  dollars  except  that  no registration  fee  shall  be  required of a public corporation. A fee of fifty  dollars  shall  be  required  for  any  subsequent  statement  of registration filed by a lobbyist during the same calendar year; (ii) The first  statement  of  registration  filed  annually by each lobbyist for calendar year two thousand four shall be accompanied by  a  registration fee  of  one  hundred  dollars  except that no registration fee shall be required from any lobbyist who in any year does  not  expend,  incur  or receive  an  amount  in  excess  of  five thousand dollars of reportable compensation and expenses, as provided in paragraph five of  subdivision (b) of section one-h of this article, for the purposes of lobbying or of a public corporation. A fee of one hundred dollars shall be required for any  subsequent statement of registration filed by a lobbyist during the same calendar year; (iii) The  first  statement  of  registration  filed biennially   by  each  lobbyist  for  the  first  biennial  registration requirements for calendar years two thousand five and two  thousand  six and  thereafter,  shall  be  accompanied  by  a  registration fee of two hundred dollars except that no registration fee shall be  required  from any lobbyist who in any year does not expend, incur or receive an amount in  excess  of  five  thousand  dollars  of  reportable compensation and expenses, as provided in paragraph five of subdivision  (b)  of  section one-h  of  this  article,  for  the  purposes of lobbying or of a public corporation. A fee of two hundred dollars  shall  be  required  for  any subsequent statement of registration filed by a lobbyist during the same biennial  period; (iv) The statement of registration filed after the due date of a biennial registration shall be accompanied by  a  registration fee  that  is prorated to one hundred dollars for any registration filed after January first of the second calendar year covered by the  biennial reporting  requirement.  In  addition  to  the  fees  authorized by this section,  the  commission  may  impose  a  fee  for  late  filing  of  a registration   statement   required   by  this  section  not  to  exceed twenty-five dollars for each day that the statement required to be filed is late, except that if the  lobbyist  making  a  late  filing  has  not previously  been  required  by statute to file such a statement, the fee  for late filing shall not exceed ten  dollars  for  each  day  that  the statement required to be filed is late.