N.Y. Comp. Codes R. & Regs. tit. 19 § 942.4

Current through Register Vol. 46, No. 45, November 2, 2024

Section 942.4 - Commission action

(a) All requests for Exemption shall be reviewed and decided in the initial instance by the Executive Director. A denial of a request for Exemption may be appealed to the Commission for reconsideration in accordance with the provisions of Part 941.17 of this Title.

(b) Upon receipt of a request for Exemption, the Executive Director shall review the material filed to determine whether the Exemption shall be granted. If no further information is required, the Executive Director shall render decision on the material

(c) In reviewing a request for an Exemption, the Executive Director shall conduct its inquiry and, being mindful of the need to preserve the confidentiality of Client Information prior to public disclosure, may consult with bar or other professional associations, or with the office of court administration or the legislative ethics commission in the case of individuals subject to the Commission's jurisdiction, and may consider rules of professional conduct.

(d) The factors the Executive Director shall consider in determining a request for Exemption shall include, but not be limited to:

(1) the nature and the size of the Client;

(2) 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 significant the interest is;

(3) whether disclosure may reveal trade secrets;

(4) whether disclosure could reasonably result in retaliation against the Client;

(5) whether disclosure may cause undue harm to the Client;

(6) whether disclosure may result in undue harm to the attorney-client relationship;

(7) whether disclosure may result in an unnecessary invasion of privacy to the Client; and

(8) any other factors that the Executive Director deems relevant to the Exemption request.

(e) The Executive Director shall grant the Exemption request upon a finding that, under the totality of the circumstances, the interests in nondisclosure of the Client Information (including the general interests served by principles of Client confidentiality) outweigh the interests served by disclosure; otherwise the Executive Director shall deny the Exemption request.

(f) The determination of the Executive Director shall be set forth in writing and provided to the Covered Person. Any denial shall include an explanation for the determination.

(g) If the Covered Person receives an exemption, no Client Information that was part of the request, nor the fact that an exemption has been sought and granted, need be included on the Financial Disclosure Statement.

(h) If the Executive Director or Office of Court Administration denies the request for Exemption, or if the Commission denies an appeal of a denial of the Executive Director pursuant to Part 941.17 of this Title, and the Covered Person agrees to represent the Client, such Covered Person must include the Client Information in his or her Financial Disclosure Statement when it is due, or, if his or her Financial Disclosure Statement was filed during the pendency of a request for Exemption, such Covered Person must file with the Commission an amended Financial Disclosure Statement that includes the Client Information within 15 days from receipt of the denial.

(i) Where the Executive Director or Office of Court Administration denies a request for Exemption, or if the Commission denies an appeal of a denial of the Executive Director pursuant to Part 941.17 of this Title, and thereafter there occurs a material change of facts or circumstances, including a change in the Covered Person's Title or duties, a change in the nature of the services provided to the Client, or a change in the nature of the Client's business, a Covered Person may seek reconsideration of that denial following the procedures set forth in section 942.3.

(j) An Exemption, once granted, shall remain in effect in each subsequent year in which such disclosure would otherwise be required unless and until:

(1) the Covered Person is appointed or promoted to a new Title in which such a filing is required; or

(2) there is a material change in the duties of the Covered Person; or

(3) there is a material change in the nature of the Client's business before the State, if applicable.

(k) If the Executive Director receives new facts or other information relevant to the Exemption, he may reconsider a prior determination to grant such Exemption.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 942.4

Adopted New York State Register April 12, 2017/Volume XXXIX, Issue 15, eff. 4/12/2017

Amended New York State Register June 6, 2018/Volume XL, Issue 23, eff. 6/6/2018