2023 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.