N.Y. Comp. Codes R. & Regs. tit. 19 § 938.5

Current through Register Vol. 46, No. 41, October 9, 2024

Section 938.5 - Procedure for applying for an exemption

(a) The Client Filer seeking to exempt from disclosure a Contribution from a Source shall make an application to the Commission on the form supplied by the Commission together with any supporting materials signed by the Client Filer's Responsible Party.

(b) A request for exemption shall be submitted no later than two days prior to the due date for the applicable Client Semi-Annual Report.

(c) An application for an exemption from disclosure for one or more Sources of Contributions does not relieve the Client Filer from its obligation to timely file the Client Semi-Annual Report including disclosure of Sources of Contributions for which the Client Filer has not sought an exemption.

(d) The Commission shall inform the Client Filer, in writing, whether the application for exemption has been granted or denied. Any denial issued by the Commission shall include a statement of findings and conclusions, and the reasons or basis for the denial.

(e) If a request for an exemption is denied, and the Client Filer does not appeal, the Client Filer shall, within 15 business days of the date of denial, amend the Client Semi-Annual Report to include required information relating to the subject of the application for exemption.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 938.5

Amended, New York State Register May 21, 2014/Volume XXXVI, Issue 20, eff.5/21/2014

Amended New York State Register February 15, 2017/Volume XXXIX, Issue 07, eff. 2/15/2017

Amended New York State Register May 9, 2018/Volume XL, Issue 19, eff. 1/1/2019