|
Please upgrade your Flash Player
|
New York City Campaign Finance Board Rules
Rule 1-02 Definitions
“Act”
“Advance”
“Authorized
committee”
“Board”
“Business dealings with the city”
“Candidate”
“Certification”
“Charter”
“Code”
“Contribution”
“Disclosure
statement”
“Doing Business Database ”
“Domestic partner”
“Election”
“Entity”
“Federal form”
“Fund”
“Fundraising agent”
“In-kind contribution”
“Intermediary”
“Labor Organization”
“Matchable contribution”
“Multicandidate committee”
“On the ballot”
“Participant”
“Political committee”
“Principal committee”
“Program”
“Public funds”
“Receipts”
“Reporting period”
“Rule”
“State form”
“Transfer”
“Treasurer”
“Unspent campaign
funds”
Rule 1-03 Restrictions on Use of Receipts
(a) Restriction on use
(b) Exception
Rule 1-04 Contributions
(a) Receipt
(b) Deposit
(c) Returning receipts
(1) Excess and prohibited contributions
(2) Restrictions on return
(d) Contributions from political committees
(e) Corporations, limited liability companies, and partnerships
(f) Attributing a contribution to an election
(g) In-kind contributions
(1) As expenditures
(2) Valuation
(3) Goods and services provided at a price below fair market value
(4) Extensions of credit
(i) Generally
(ii) Corporate vendors
(iii) Loans
(5) Debts forgiven
(6) Commercially reasonable treatment of debts
(7) Failure to report a liability
(h) Multiple contributions from a single source
(1) General factors
(2) Labor organizations
(i) Omitted
(j) Earmarked contributions
(k) Joint contributions
(l) Tickets for fund-raising events
(m) Post-election contributions
(n) Solicitation of contributions for elections not subject to the Act
(o) Court-ordered rerun elections
(p) Joint fundraising; endorsements
(q) Anticipated runoff primary or runoff special elections
(r) Contributions by minors
Rule 1-05 Loans
(a) Repayment by next election
(b) Loans not made in regular course of business
(c) Loans made in regular course of business
(d) Third party repays loan
(e) Omitted
(f) Omitted
(g) Post-election loans
(h) Attributing a loan to an election
(i) Deposit
(j) Loans forgiven
Rule 1-07 Funds Originally Received for Other
Elections
(a) Use
(b) Surplus funds
(c) Contribution limit; prohibited contributions
(d) Related expenditures
Rule 1-08 Expenditures
(a) Expenditures
(b) Making an expenditure
(c) Attributing an expenditure to an election
(d) Expenditure limits
(e) Omitted
(f) Independent expenditures
(g) Spending public funds
(h) Joint expenditures;
endorsements
(i) Expenditures by check
(j) Omitted
(k) Volunteer services
(l) Expenditure limit compliance
(m) Fundraising for more than one election
(n)
Fundraising solicitations
(o) Expenditure limit compliance for transfers
Rule 1-09 Documents Submitted to the Board
(a) Date received
(1) Generally
(2) Postmark date
(3) Disclosure statements
(4)
Documents submitted electronically
(b) Legibility; Readability
(c) Documentation
Rule 1-11 Filer Registration
(a)
(b)
(c)
(d)
(e)
(f) Applicable requirements
(g) Construction
Campaign Finance Board Rules Table of Contents
Chapters 1 through 9 are the requirements applicable to candidates seeking nominiation for election or election to the office of mayor, comptroller, public advocate, borough president, or member of the City Council.
Chapter 10 pertains to the Voter Guide and applies to all candidates seeking to have statements included in the Voter Guide.
Chapter 11 contains the requirements for transition and inauguration activities, which apply to all elected candidates.
back to top | Campaign Finance Board Rules
“Act” means the New York City Campaign Finance Act, codified in Chapter 7 of Title 3 of the Code (§3-701, et seq.).
“Advance” means a payment for goods or services on behalf of a campaign made with the expectation that the payment will be reimbursed by the campaign. An advance is considered to be an in-kind contribution from the person making the advance until it has been reimbursed by the campaign, and a campaign may not accept an advance from a prohibited source.
“Authorized committee” means an authorized committee as defined in the Act. Except as otherwise specified, the requirements of these Rules do not apply to committees that are not involved in an election in which the candidate is a participant, limited participant or non-participant as defined in these Rules. An authorized committee is “not involved in an election in which the candidate is a participant, limited participant or non-participant as defined in these Rules” only if the committee does not, at any time, accept contributions, loans, or other receipts, or make expenditures, including expenditures of surplus funds, in that election, or aid or otherwise take part in that election.
“Board” means the Campaign Finance Board established pursuant to §3-708 of the Code.
“Business dealings with the city ” means business dealings with the city as defined in the Act.
“Candidate” means a candidate as defined in New York Election Law Article 14. Except as otherwise provided in these Rules, a “candidate” includes every authorized committee of the candidate, the treasurer of each such committee, and any other agent of the candidate.
“Certification” means the certification filed by participants or limited participants to indicate that they have chosen to join the Program.
“Charter” means the New York City Charter.
“Code” means the Administrative Code of the City of New York.
“Contribution” means a contribution as defined in the Act.
“Disclosure statement” means the campaign finance disclosure statement filed with the Board under Chapter 3 of these rules.
“Doing business database ” means the doing business database as defined in the Act.
“Domestic partner” means a domestic partner as defined in §1-112(21) of the Code.
“Election” means any primary, runoff primary, special, runoff special, or general election for nomination or election.
“Entity” means any organization of one or more individuals, and includes any parent, subsidiary, branch, division, department, or local unit thereof.
“Federal form” means a report of receipts and disbursements required to be filed by a candidate or political committee with the Federal Election Commission.
“Fund” means the New York City Election Campaign Finance Fund established by the Act.
“Fundraising agent” means any of the following persons or entities that have accepted or may accept contributions on behalf of the candidate: (1) paid or volunteer full-time campaign workers; or (2) commercial fundraising firms retained by the candidate and the agents thereof.
“In-kind contribution” (a) “In-kind contribution” means: (1) a gift, subscription, loan, advance of, or payment for, any thing of value (other than money) made to or for any candidate or authorized committee; and (2) the payment by any person other than an authorized committee of compensation for the personal services of another person which are rendered to the candidate or authorized committee without charge.
(b) “In-kind contribution” does not include personal services provided without compensation by individuals volunteering a portion or all of their time on behalf of a candidate or authorized committee.
“Intermediary” means an intermediary as defined in the Act.
“Labor organization ” means a labor organization as defined in the Act.
“Matchable contribution” means a matchable contribution as defined in the Act.
“Multicandidate committee” means a political committee authorized to support more than one candidate, and includes any committee subject to §14-114(4) of the New York Election Law and any party or constituted committee.
“On the ballot” means on the ballot as defined by §1-104 of the New York State Election Law.
“Participant” means a candidate for nomination or election to the office of mayor, public advocate, comptroller, borough president, or member of the City Council who has chosen to join the Program for an election by filing a written certification pursuant to §3-703(1)(c) of the Code. “Limited participant” means a candidate who has chosen to join the Program for an election by filing a written certification pursuant to §3-718(1)(iii) of the Code. “Non-participant” means a candidate for such office who has not filed either certification. Except as otherwise provided in these Rules, a “participant” includes the candidate, the principal committee authorized by the candidate pursuant to §3-703(1)(e) of the Code, the treasurer of such committee, and any other agent of the candidate. Except as otherwise provided in these Rules, a “limited participant” includes the candidate, the principal committee authorized by the candidate pursuant to §3-718(1)(iv) of the Code, the treasurer of such committee, and any other agent of the candidate. Except as otherwise provided in these Rules, a “non-participant” includes the candidate, every political committee authorized by the candidate for the covered election, the treasurer of each such committee, and any other agent of the candidate.
“Political committee” means a political committee as defined in the Act.
“Principal committee” means the principal committee as defined in the Act.
“Program” means the New York City Campaign Finance Program established by the Act.
“Public funds” means monies disbursed from the Fund.
“Receipts” include monetary and in-kind contributions, loans, and any other payment received by a candidate. “Other receipts” are payments that are not contributions or loans, such as interest, dividends, expenditure refunds, proceeds from sales or leases of assets, and any other sources of income.
“Reporting period” means a time period covered by a disclosure statement, as described in Rule 3-03.
“Rule” means a rule issued by the Board. The phrase “these Rules” means any and all rules adopted by the Board.
“State form” means a statement of campaign receipts and expenditures required to be filed by a candidate or political committee with the New York State or City Board of Elections.
“Transfer” means any exchange of funds or any other thing of value between political committees, other than multicandidate committees, authorized by the same candidate pursuant to §14-112 of the New York Election Law. In Rule 2-06 the term “transfer” refers to funds exchanged between different bank or other depository accounts.
“Treasurer” means the treasurer of any authorized committee involved in a covered election, except as otherwise provided in these Rules.
“Unspent campaign funds” means, for a participant who received public funds, the amount to be repaid to the Board under §3-710(2)(c) of the Code. This amount equals: (1) monetary contributions; plus (2) other receipts; plus (3) public funds; plus (4) loans; accepted in all elections in which the candidate was a participant held in a single calendar year or a special election; minus (5) all disbursements, including loan repayments and contribution refunds, and all outstanding debt incurred by the participant in all reporting periods for those elections, but excluding any disbursements determined by the Board not to have been made in furtherance of a political campaign for a covered election such as disbursements listed in §3-702(21)(b) of the Code and any disbursements for which the presumption set forth in subparagraphs one through eleven of §3-702(21)(a) of the Code has been rebutted. The amount of unspent campaign funds may not exceed the total public funds accepted by the participant. Funds received and disbursements made after the date of the issuance of the participant’s final audit report shall not be included in the participant’s unspent funds calculation.
back to top | Campaign Finance Board Rules
Rule 1-03 Restrictions on Use of Receipts.
(a) Restriction on use. In addition to the restriction set forth in Rule 5-03(e)(2) and, except as otherwise provided in subdivision (b):
(1) the candidate may expend, transfer, or use receipts, including those receipts resulting from a sale, lease, or other transfer of assets, only to pay expenses incurred in that election; no receipts, including receipts accepted for another election, if any, deposited in a separate account as provided in Rule 2-06(b), may be expended, transferred, or used for any other purpose until any required repayments to the Fund have been made and any fines or civil penalties assessed pursuant to the Act have been paid;
(2) receipts deposited in an account shall not be used for any purpose other than the election for which that account was established, pursuant to Rule 2-06(b), except as otherwise provided in Rule 2-06(c) for runoff primary election or runoff special election accounts;
(3) after the participant first receives public funds for an election, the principal committee for that election may not make a transfer to a political committee not involved in that election until all unspent campaign funds from that election have been repaid;
(4) after the participant first receives public funds for an election, the principal committee for that election may not make expenditures to pay expenses or debt from a previous election (other than a primary election held in the same calendar year).
(b) Exception. After the first January 11 after an election, a candidate involved in that election may expend, transfer, or use receipts accepted for another election, provided that the receipts have been deposited in and are disbursed from a separate account, as provided in Rule 2-06(b). Funds accepted and separately deposited for the previous election may be transferred to this account only after any required repayments to the Fund have been made and any fines or civil penalties assessed pursuant to the Act have been paid. Contributions and loans accepted for the previous election after such election are subject to Rules 1-04(m) and 1-05(g).
back to top | Campaign Finance Board Rules
(a) Receipt. A monetary contribution is received on the date it is delivered. An in-kind contribution is received on the date the goods or services are received or rendered. Candidates must report the date of receipt of each contribution that is accepted and deposited on disclosure statements filed with the Board.
(b) Deposit. All monetary contributions must be accepted and deposited, or rejected and returned to a contributor, within 10 business days after receipt; provided, however, that contributions made in the form of checks received by an authorized committee of a candidate for the office of City Council more than one year before the first covered election for which such candidate is seeking nomination or election may be accepted and deposited, or rejected and returned to a contributor, within 20 business days after receipt. All contributions that are accepted and deposited are subject to the Act’s contribution limits and prohibitions and must be reported to the Board. If a candidate returns a contribution after its deposit, the return must be reported to the Board.
(1) Excess and prohibited contributions. When a candidate knows or has reason to know that he or she has accepted a contribution, contributions, or aggregate contributions from a single source in excess of the applicable contribution limit, including a contribution or contributions from a contributor having business dealings with the city, or from a source prohibited by the Act or the Charter, the candidate shall promptly return the excess portion or prohibited contribution, as the case may be, by bank check or certified check made out to the contributor; provided, however, that in the case of a contribution from a contributor having business dealings with the city in excess of the applicable limitation set forth in §3-703(1-a) of the Code, the candidate shall return the excess portion of such contribution within 20 days of receipt of notice from the Board that the contribution exceeds such limitation. Alternatively, if return of the contribution to the contributor is impracticable, the candidate may pay to the Fund an amount equal to the amount of the prohibited contribution or the excess portion, as the case may be. Remedial actions taken pursuant to this rule will not, however, preclude imposition of a penalty under the Act; provided, however, that no violation shall issue and no penalty shall be imposed where the excess portion of a contribution from a contributor having business dealings with the city is postmarked or delivered within 20 days of receipt of notification from the Board. The Board shall provide such notification to the candidate within 20 days of the reporting of the contribution, or, in the case of a contribution reported during the six weeks preceding the candidate’s next covered election, the Board shall provide such notification within 3 business days; provided, however, that if such twentieth day is a Saturday, Sunday, or legal holiday, notification by the Board by 5 p.m. on the next business day shall be considered timely. A candidate may not accept any contributions in excess of the applicable contribution limits or from sources prohibited by the Act or the Charter.
(2) Restrictions on return. Because participants must repay to the Board unspent campaign funds after an election, participants receiving public funds must accept and deposit all monetary receipts received for an election. A participant may not reject or return any contributions received before the first January 12 after the election once he or she has received public funds, except if the contribution: (i) exceeds the contribution limit, including the limit applicable to contributors having business dealings with the city, (ii) is otherwise illegal, (iii) is returned because of the particular source involved, or (iv) was deposited in a separate account pursuant to Rule 2-06(c) for a runoff election that is not held.
(d) Contributions from political committees. (1) Pursuant to §3-703(1)(k) of the Code, a participant may not accept a contribution from a political committee, unless the political committee has registered with the Board pursuant to §3-707 of the Code for the period that includes the participant’s next covered election or so registers within ten days of receipt of the contribution. The registration shall be submitted in such form and manner as shall be determined by the Board and shall include such information as may be required by the Board, including:
(i) the name and address of the committee, and the name, address, and employer of the chairperson, treasurer, and liaison of the committee;
(ii) an indication whether the committee is a political action committee, a candidate committee (and if so, identification of the candidate(s) supported by the committee), or another kind of political committee;
(iii) identification of the governmental agency or agencies with which the committee files its financial disclosure statements;
(iv) an indication whether the committee makes monetary contributions, in-kind contributions, and/or independent expenditures, and the name, address and employer of each person with the authority to determine the candidates for whom the committee makes contributions and/or independent expenditures; and
(v) an indication whether the committee accepts contributions from corporations, limited liability companies, or partnerships and undertakes not to use funds from such entities for contributions to participants.
Political committees that do not submit the information required by the Board, or any required signatures or notarizations, will not be considered to be registered.
(2) The registration shall remain in effect through the January 11 following the next regularly scheduled citywide election, unless there has been a material change in the information included in the registration. In the event of a material change, an amendment to the registration shall be filed in order to keep the registration in effect. The Board shall establish a procedure for renewing a previous registration for the next election cycle.
(3) It is the responsibility of the participant to determine whether a contribution from a political committee may be accepted. Participants have the burden to check the cumulative list of registered political committees, published by the Board on a daily basis, to ensure that each political committee contribution accepted is from a political committee that registered with the Board previously or within ten days after the acceptance of the contribution. The participant has the burden of demonstrating why a contribution from a political committee that had not registered in a timely manner has been retained.
(e) Corporations, limited liability companies, and partnerships. Candidates may not accept, directly, indirectly, or by transfer, contributions, loans, guarantees or other security for a loan from a corporation, limited liability company, or partnership, including a limited liability partnership or professional corporation. This prohibition does not apply to loans made in the regular course of business, regardless of the lender’s form of business entity; but does prohibit the acceptance of a guarantee or other security for such a loan from a corporation, limited liability company, or partnership. This prohibition does not apply to contributions by political committees that are corporations, limited liability companies, or partnerships.
(f) Attributing a contribution to an election. A contribution is presumed to be accepted for the first election in which the participant, limited participant, or non-participant is a candidate following the day that it is received, except: (1) as otherwise provided in Rules 1-04(c)(2), 1-04(m), and 1-07; (2) in the case of a State or local election, contributions received before the first January 12 after an election will also be presumed to be accepted for that election; and (3) in the case of a federal election, contributions received before the first January 1 after the election will also be presumed to be accepted for that election, except as may otherwise be provided under federal law and regulations.
(1) As expenditures. An in-kind contribution to a candidate is also an expenditure made by the candidate. The date an in-kind contribution is received is also the date of its expenditure. If a debt, other than a loan, incurred by a candidate is forgiven, the act of forgiving is an in-kind contribution to but not an expenditure by the candidate.
(2) Valuation. The candidate shall use a reasonable estimate of fair market value in determining the monetary value of an in-kind contribution and shall maintain a receipt or other written record supporting the valuation. “Fair market value” for goods means the price of those goods in the market from which they ordinarily would have been purchased at the time the goods are received. “Fair market value” for services, other than those provided by an unpaid volunteer, means the hourly or piecework charge for the services at a commercially reasonable rate prevailing at the time the services were rendered.
(3) Goods and services provided at a price below fair market value. If goods or services are provided at less than fair market value, the amount of the resulting in-kind contribution is the difference between the fair market value of the goods or services at the time the goods or services are received and the amount charged to the candidate.
(i) Generally. A creditor who extends credit to a candidate for a period beyond 90 days, has made a contribution equal in value to the credit extended, unless the creditor has made a commercially reasonable attempt to collect the debt.
(ii) Corporate, limited liability company, and partnership vendors. Notwithstanding subparagraph (i), if a candidate demonstrates that a creditor that is a corporation, limited liability company, or partnership did not intend to make a contribution, the extension of credit will not result by itself in the candidate being deemed to have accepted a contribution from a corporation, limited liability company, or partnership, as prohibited by law.
(iii) Loans. This paragraph does not apply to loans.
(5) Debts forgiven. A debt owed by a candidate which is forgiven or settled for less than the amount owed is a contribution, unless the debt was forgiven or settled by a creditor who has treated the outstanding debt in a commercially reasonable manner.
(6) Commercially reasonable treatment of debts. The Board will consider as evidence of commercially reasonable treatment that: (i) all commercially reasonable efforts have been taken to satisfy the outstanding debt; and (ii) the creditor has pursued its remedies in the same manner as that employed by creditors of other debtors, including the institution of lawsuits.
(7) Failure to report liability.
Notwithstanding any implication of paragraph (4) to the contrary, a candidate’s failure
to report an outstanding liability in a contemporaneous manner is a violation of
§3-703(6) of the Code. Such a liability will be deemed an in-kind contribution.
(h) Multiple contributions from a single source. If a candidate accepts more than one contribution from a single source, the contributions shall be totaled to determine the candidate’s compliance with the applicable contribution limit. A “single source” includes any person, persons in combination, or entity who or which establishes, maintains, or controls another entity and every entity so established, maintained, or controlled, including every political committee established, maintained, or controlled by the same person, persons in combination, or entity. If a candidate accepts multiple contributions from a single source consisting of at least one contribution from a person having business dealings with the city and one or more contributions from an entity established, maintained, or controlled by that person, the applicable contribution limit shall be the limit applicable to persons having business dealings with the city pursuant to §3-703(1-a) of the Code.
(1) General factors. Factors for determining whether a person, persons in combination, or an entity establishes, maintains, or controls another entity include, but are not limited to:
(i) whether the person or entity makes decisions or establishes policy for the other entity, including determinations of the recipients of its contributions and the purposes of its expenditures;
(ii) whether the person or entity has the authority to hire, appoint, discipline, discharge, demote, remove, or otherwise influence other persons who make decisions or establish policies for the other entity;
(iii) whether contributions made by the person or entity and the other entity reflect a similar pattern; and
(iv) whether the person or entity knows of and has acquiesced in public representations by the other entity that it is acting on its behalf or under its direction.
(2) Labor organizations. Notwithstanding paragraph (1), different labor organizations shall not be considered to be a single source for the purpose of compliance with the applicable contribution limit if the candidate demonstrates that the contributors satisfy the four criteria below:
(i) the labor organizations do not share a majority of members of their governing boards;
(ii) the labor organizations do not share a majority of the officers of their governing boards;
(iii) the labor organizations maintain separate accounts with different signatories; and
(iv) the labor organizations make contributions from separate accounts.
It is the responsibility of the candidate to determine whether a contribution exceeds the applicable contribution limit. To ensure that the candidate does not accept a contribution exceeding the applicable limit, the candidate must review the relationship between affiliated contributors before the candidate accepts and deposits their contributions or rejects and returns the contributions under Rule 1-04(b) and (c). The candidate has the burden of demonstrating why the candidate has retained an over-the-limit contribution from contributors who or which constitute a single source.
(i) Omitted.
(j) Earmarked contributions. If a
candidate accepts from a political committee a contribution that had been given to the
committee by a contributor who limits the political committee’s choice or directs the
selection of the recipient, the contribution shall be considered to be from both the
original contributor and from the political committee. This rule does not apply to
political committees acting solely as intermediaries and not exercising any discretion
over the selection of the ultimate recipient, or to political committees making
contributions from funds that have not been earmarked by the contributors. Nothing in this
subdivision shall be construed to modify the requirements of New York Election Law
§14-120.
(k) Joint contributions. (1) Except
as otherwise provided for in subdivisions (i) or (j), no contribution shall be
considered to be made by more than one person or entity, unless the check or other
monetary instrument representing the contribution includes the signature of each person
making the contribution (or authorized person in the case of an entity making a
contribution).
(2) If a check or other monetary instrument representing a joint contribution does not indicate the amount to be attributed to each contributor, the contribution shall be attributed equally to each contributor.
(l) Tickets for fund-raising events. The entire amount paid to attend a fund-raising event and the entire amount paid as the purchase price for a fund-raising item sold by a candidate are contributions.
(m) Post-election contributions. Contributions accepted after an election may be used to pay liabilities incurred in that election, subject to the applicable contribution limit and prohibitions, only if deposited in and disbursed from an account established and maintained for that election, as provided in Rule 2-06(b).
(n) Solicitation of contributions for elections not subject to the Act. If a candidate makes a solicitation for a contribution for an election not subject to the requirements of the Act, the solicitation must specify that the contribution is being solicited for an election that is not subject to the requirements of the Act.
(o) Court-ordered rerun elections. Candidates may not accept additional contributions permitted for a court-ordered rerun election pursuant to §3-703(1)(f) of the Code before the canvass of returns in, or conduct of, the preceding election is contested in a court of competent jurisdiction. If a rerun election is ordered by a court but subsequently canceled, a candidate who would have been on the ballot has the burden of demonstrating that any portion of contributions in excess of the limit applicable under §3-703(1)(f) of the Code may be reasonably attributed to expenses incurred for the rerun election before its cancellation.
(p) Joint fundraising; endorsements. (1) If a candidate makes expenditures in connection with, or otherwise cooperates in, raising contributions for any other candidate or political committee:
(i) the expenditures incurred and in-kind contributions received in connection with such fundraising, including in the form of endorsements, shall be allocated in accordance with Rule 1-08(h); and
(ii) if any of the contributions so raised is:
(A) in an amount that exceeds the amount of the contribution limit applicable to the candidate under §3-703(1)(f) of the Code (including when aggregated with contributions the candidate receives from the same source); or
(B) from a source that would be prohibited to the candidate by the Act or the Charter; the candidate shall have the burden of demonstrating that the contribution was not used in a manner that directly or indirectly assisted or benefitted the candidate in violation of the applicable limit or prohibition.
This paragraph shall not be construed to prohibit a candidate from making a monetary contribution to any other candidate or political committee, provided, however, that such contributions may result in reduced public funds payments pursuant to Rule 5-01(n).
(2) To ensure compliance with the contribution limits of §3-703(1)(f) of the Code, candidates who run together as a “ticket,“ and make joint expenditures to raise contributions, shall additionally abide by the requirements of this subdivision.
(i) When paying his or her share of joint expenditures (by direct payment or reimbursement), the payor shall have the burden of demonstrating that the amount disbursed does not derive from contributions that would exceed the other candidate’s contribution limit, if those contributions were aggregated with contributions previously received by the other candidate.
(ii) Therefore, no disbursement for joint expenditures shall be made before the candidate is able to account fully for the disbursement with contributions that would not exceed the other candidate’s contribution limit, if so aggregated. Failure to make reimbursement within 30 days of the expenditure, however, will result in a deduction in public funds payments otherwise due to the candidate to be reimbursed, pursuant to Rule 5-01(n)(1), and failure to make reimbursement within 90 days will result in treatment of the expenditure as an in-kind contribution to the candidate failing to make reimbursement, pursuant to Rule 1-04(g)(4).
(q) Anticipated runoff primary or runoff special elections. A candidate seeking the nomination of a political party or seeking election in a special election may not accept contributions for a runoff primary election or runoff special election, unless the candidate has previously demonstrated to the Board that a runoff election is reasonably anticipated. Runoff election contributions may not be accepted once it is no longer reasonable to anticipate such a runoff election. To the extent permitted by this subdivision, the candidate (and each opposing candidate seeking the same party nomination or seeking election in the same special election, as the case may be) may solicit and accept additional contributions for the anticipated runoff election, up to the amount permitted for the runoff election by §3-703(1)(f) of the Code, under the following conditions:
(1) every runoff election contribution shall be deposited in a separate account and subject to restrictions on use, as provided in Rule 2-06(c);
(2) until a primary or special election is held that results in a runoff election, each solicitation of runoff election contributions shall expressly state that such contributions are being solicited only for a runoff election that may not occur;
(3) no single contribution check shall be accepted in an amount that exceeds the limit applicable for the primary and general election, or a special election, under §3-703(1)(f) or (h) of the Code; and
(4) each disclosure statement submitted by the candidate shall include a copy of the most recent bank statement for its runoff election account.
(r) Contributions by minors. (1) A participant or non-participant may accept a contribution from a minor child (individual under 18 years of age) only if: (i) the decision to contribute was made knowingly and voluntarily by the minor child; (ii) the funds, goods, or services contributed were owned and controlled exclusively by the minor child, such as income earned by the child, or a bank account opened and maintained exclusively in the child’s name; and (iii) the contribution was not made from the proceeds of a gift, the purpose of which was to provide funds to be contributed.
(2) Contributions by individuals under 18 years of age shall not be matchable.
back to top | Campaign Finance Board Rules
(a) Repayment by next election. A loan must be repaid by the date of the next election, or else the loan, guarantee, or other security for a loan will be considered a contribution subject to the Act’s contribution limits.
(b) Loans not made in regular course of business. A loan not made in the regular course of the lender’s business shall be deemed, to the extent not repaid to the lender by the date of the next election, a contribution by the lender.
(c) Loans made in regular course of business. A loan made in the regular course of the lender’s business shall be deemed, to the extent not repaid by the date of the next election, a contribution by the obligor on the loan and by any other person endorsing, cosigning, guaranteeing, collaterizing, or otherwise providing security for the loan. Neither the Act nor the Charter prohibits receipt of a loan made in the regular course of the lender’s business, regardless whether the lender is a corporation, limited liability company, or partnership.
(d) Third party repays loan. If any portion of a loan is repaid by a person or entity other than the participant or non-participant receiving the loan, the portion thus repaid shall be a contribution by that person or entity.
(g) Post-election loans. Loans received after an election that are used for that election are considered contributions for that election, and must be deposited in and disbursed from an account established and maintained for that election, as provided in Rule 2-06(b), except that a loan made by the candidate after the election for the purpose of (i) paying penalties pursuant to the Act or (ii) making required repayments to the Fund is not subject to the contribution limit.
(h) Attributing a loan to an election. A loan is presumed to be accepted for the first election in which the participant or non-participant is a candidate following the day that the loan is received, except: (1) as otherwise provided in Rule 1-05(g); (2) in the case of a State or local election, loans received before the first January 12 after an election will also be presumed to be accepted for that election; and (3) in the case of a federal election, loans received before the first January 1 after the election will also be presumed to be accepted for that election, except as may otherwise be provided under federal law and regulations.
(i) Deposit. All loans must be accepted and deposited, or rejected and returned, within 10 business days after receipt.
(j) Loans forgiven. Any portion of a loan that is forgiven is a monetary contribution.
back to top | Campaign Finance Board Rules
If a special election to fill a vacancy is declared, the Board may provide for the following special requirements and procedures for candidates in the special election, after considering the date of the election and any other relevant factors: (a) a standard by which contributions, loans, and/or expenditures are presumed to be accepted or made for the special election, notwithstanding Rules 1-04(f), 1-05(h), and 1-08(c)(1); (b) a standard for determining the total amount of surplus funds from previous elections; and (c) such other requirements and procedures as the Board may deem necessary to implement the provisions of the Act in the special election fully and effectively.
back to top | Campaign Finance Board Rules
Rule 1-07 Funds Originally Received for Other Elections.
(a) Use. Funds originally received by a committee not otherwise involved in a covered election may be used in a covered election subject to the requirements of this rule, but may not be claimed as matchable contributions for that election.
(b) Surplus funds. The Board deems the cash balance reported in the candidate’s first semi-annual form or Board disclosure statement at the beginning of the first reporting period for an election to be the total amount of surplus funds the committee had from a previous election; except that the amount deemed to be surplus funds may be reduced by the following: (1) the total amount of debts and obligations outstanding at the beginning of the reporting period; (2) the total amount subsequently transferred to a political committee that is not involved in a covered election; and (3) if the candidate was a participant in the previous election, the total amount of public funds subsequently repaid.
When requested by the Board, candidates shall provide additional information regarding totals and transactions reported in State forms or Board disclosure statements.
(c) Contribution limit; prohibited contributions. Candidates have the burden of demonstrating that surplus funds and transfers of funds from committees not otherwise involved in the covered election do not derive from: (1) contributions in excess of the Act’s contribution limits, including contributions that would exceed the Act’s contribution limits when aggregated with other contributions accepted from the same source; or (2) contributions from sources prohibited by the Act or the Charter. In addition, participants have the burden of demonstrating that funds transferred from a committee, other than another principal committee of the same candidate, derive solely from contributions for which records demonstrating the contributors’ intent to designate the contributions for the covered election have been submitted and maintained as required pursuant to Rules 3-03(c)(2) and 4-01(b)(8), respectively.
(d) Related expenditures. Expenditures made in connection with raising or administering funds transferred from a committee not otherwise involved in a covered election are subject to the expenditure limits of the Act and shall be reported as provided in Rule 3-03(c)(2). As provided for in Rule 1-08(o), the participant shall have the burden of demonstrating that any expenditures incurred by the transferor committee are not subject to the expenditure limits of the Act.
back to top | Campaign Finance Board Rules
(a) Expenditures. Expenditures include all disbursements made, liabilities incurred, and in-kind contributions received by a candidate, except disbursements to return contributions, repay loans, return public funds, and transfers. Some expenditures are subject to the expenditure limits of the Act and other expenditures are exempt.
(b) Making an expenditure. As provided and described in §3-706 (1) and (2) of the Code, an expenditure for goods or services is made when the goods or services are received, used, or rendered, regardless when payment is made. Expenditures for goods or services received, used, or rendered in more than one year shall be attributed in a reasonable manner to the expenditure limits of §3-706(1) or (2) of the Code, as appropriate.
(c) Attributing an expenditure to an election. (1) An expenditure is presumed to be made for the first election (in which the participant, limited participant or non-participant is a candidate) following the day it is made, except: (i) in the case of a State or local election, expenditures made before the first January 12 after an election will also be presumed to be made for that election; (ii) in the case of a federal election, expenditures made before the first January 1 after the election will also be presumed to be made for that election, except as may otherwise be provided under federal law and regulations.
(2) (i) If there is no contested primary election for an office, expenditures made by a participant or limited participant seeking that office are subject to the general election expenditure limit of §3-706(1) of the Code.
(ii) If there is a contested or write-in primary election in any party for an office, every participant or limited participant seeking that office, regardless whether the participant or limited participant is in the primary election, may make expenditures subject to the primary election expenditure limit of §3-706(1) of the Code, provided the participant or limited participant files the three pre-primary and 10 day post-primary election disclosure statements and daily disclosures pursuant to Rule 3-02(c), (d), and (e) in a timely manner. In this case, the general election expenditure limit will first apply after the date of the primary election.
(iii) Notwithstanding subparagraph (i), if a participant or limited participant demonstrates to the Board that for a period preceding the primary election the participant or limited participant had reasonably anticipated a primary election in any party for the office the participant or limited participant seeks, the participant or limited participant may attribute expenditures made before and during that period to the primary election expenditure limit of §3-706(1) of the Code, provided the participant or limited participant files the three pre-primary and 10 day post-primary election disclosure statements and daily disclosures pursuant to Rule 3-02(c), (d), and (e) in a timely manner. In this case, the general election expenditure limit will first apply after that period. In order to demonstrate to the Board that for a period preceding the primary election the participant or limited participant had reasonably anticipated a primary election, the participant or limited participant must file a petition, consisting of an affidavit with supporting documentation, with the Board no later than ten business days following the date the last remaining candidate other than the participant or limited participant was finally disqualified from the ballot as set forth in Rule 5-02(b). The affidavit must specify the period of time during which it was reasonable to anticipate that a primary election would be held, identify the prospective candidate(s), and provide a factual basis for the participant’s or limited participant’s belief that a primary election was reasonably anticipated during the specified period of time. The supporting documentation must demonstrate that the prospective candidate(s) engaged in activities that would lead a reasonable person to believe that such candidate(s) would participate in the primary election. Such activities may include: (i) raising or spending funds for the primary election; (ii) authorizing a political committee with the Board of Elections for the primary election; (iii) filing a filer registration and/or certification form with the Board; (iv) engaging in petitioning activity, including the filing of petitions with the Board of Elections; (v) producing and/or distributing campaign literature; and (vi) campaigning for office or otherwise publicly declaring an intent to participate in the primary election.
(iv) Once it is determined by petition litigation or otherwise that no primary election will be held for nomination to an office, expenditures made by participants or limited participants seeking that office are subject to the general election expenditure limit of §3-706(1) of the Code.
(v) Expenditures made before the primary election by a participant or limited participant who is a candidate in a contested primary election are subject to the primary election expenditure limit of §3-706(1) of the Code, regardless whether the participant or limited participant has also received the nomination of another party without a primary election.
(3) Candidates have the burden of demonstrating that expenditures made by committees reported not to be involved in the election in which the candidate is currently a participant or limited participant were not made in connection with such election. Failure to meet this burden will result in the application of all Program requirements to these committees for such election.
(4) Special elections. An expenditure is presumed to be subject to the special election expenditure limit on and after the date a special election was first reasonably anticipated, as determined by the Board. Participants or limited participants may present evidence to the Board, demonstrating the date a special election was first reasonably anticipated.
(d) Expenditure limits. (1) All expenditures made by a participant or limited participant for the purpose of promoting or facilitating his or her nomination or election, including expenditures made for the purpose of promoting or facilitating the defeat of an opponent or prospective opponent, are subject to the expenditure limit applicable under the Act. All expenditures made by the participant or limited participant and his or her principal committee shall be totaled to determine the participant’s or limited participant’s compliance with the applicable expenditure limit. Expenditures made after the last election in an election year in which the participant or limited participant is a candidate, or a special election, are not subject to the expenditure limits for that election.
(2) A participant or limited participant is permitted to make expenditures in excess of the limits of §3-706(2) of the Code, but not in excess of the limits of §3-706(1) of the Code. The limits of §3-706(2) are the minimum amounts that a participant or limited participant must spend during the three calendar years before the election year in order to spend the total aggregate amount the Act and these Rules permit during those years and the time period encompassed by the expenditure limit that first applies to the candidate in the election year, pursuant to §3-706(1) of the Code.
(3) All expenditures made by a participant or limited participant for the purpose of advocating a vote for or against a proposal on the ballot in an election that is also a covered election, regardless whether the expenditures were also made to promote or facilitate the participant’s nomination or election, shall be subject to the expenditure limits applicable in such covered election.
(4) The following shall not be subject to the expenditure limits: (i) expenses made for the purpose of bringing or responding to any action, proceeding, claim or suit before any court or arbitrator or administrative agency to determine a candidate’s or political committee’s compliance with the requirements of this chapter, including eligibility for public funds payments, or pursuant to or with respect to election law or other law or regulation governing candidate or political committee activity or ballot status; (ii) expenses to challenge or defend the validity of petitions of designation or nomination or certificates of nomination, acceptance, authorization, declination or substitution, and expenses related to the canvassing or re-canvassing of election results; and (iii) expenses related to the post-election audit.
(e) Omitted.
(f) Independent expenditures. (1) Factors for determining whether an expenditure is independent include, but are not limited to:
(i) whether the person, political committee, or other entity making the expenditure is also an agent of a candidate;
(ii) whether the treasurer of, or other person authorized to accept receipts or make expenditures for, the person, political committee, or other entity making the expenditure is also an agent of a candidate;
(iii) whether a candidate has authorized, requested, suggested, fostered, or otherwise cooperated in any way in the formation or operation of the person, political committee, or other entity making the expenditure;
(iv) whether the person, political committee, or other entity making the expenditure has been established, financed, maintained, or controlled by any of the same persons, political committees, or other entities as those which have established, financed, maintained, or controlled a political committee authorized by the candidate;
(v) whether the person, political committee, or other entity making the expenditure and the candidates have each retained, consulted, or otherwise been in communication with the same third party or parties, if the candidate knew or should have known that the candidate’s communication or relationship to the third party or parties would inform or result in expenditures to benefit the candidate; and
(vi) whether the candidate, any agent of the candidate, or any political committee authorized by the candidate shares or rents space for a campaign-related purpose with or from the person, political committee, or other entity making the expenditure.
(2) Financing the dissemination, distribution, or republication of any broadcast or any written, graphic, or other form of campaign materials prepared by a candidate is a contribution to, and an expenditure by, the candidate, unless this activity was not in any way undertaken, authorized, requested, suggested, fostered, or otherwise cooperated in by the candidate.
(3) An expenditure for the purpose of promoting or facilitating the nomination or election of a candidate, which is determined not to be an independent expenditure, is a contribution to, and an expenditure by, the candidate.
(4) (i) Communication between, or common agents shared by, parties and their nominees will not require a conclusion that all spending by the party’s constituted committees and party committees in an election is an in-kind contribution to the nominee. The following expenditures made by party committees or constituted committees are not considered in-kind contributions to a candidate unless it is demonstrated that the candidate in some way cooperated in the expenditure and that the expenditure was intended to benefit that candidate:
(A) materials or activities that promote the party, or oppose another party, by name, platform, principles, history, theme, slogans, issues, or philosophy, without reference to particular candidates in an upcoming election subject to the requirements of the Act.
(B) materials or activities in connection with candidates and elections not subject to the requirements of the Act.
(C) training, compensating, or providing materials for poll watchers appointed by the party pursuant to New York Election Law §8-500.
(D) promoting party enrollment or voter turnout without reference to particular candidates in an upcoming election subject to Program requirements, including research, polling, recruitment of party employees and volunteers, and development and maintenance of voter and contributor lists.
(E) raising funds for the party without reference to particular candidates in an upcoming election subject to the requirements of the Act.
(F) mailing of absentee ballot applications in a special or general election in which an office not subject to the requirements of the Act is on the ballot.
(ii) The Board may require a candidate to demonstrate in any proceeding before the Board that any of the following expenditures that are made by a party committee or constituted committee are not in-kind contributions to the candidate:
(A) expenditures for materials or activity that include an electioneering message about a clearly identified candidate for a covered election.
(B) expenditures for advertisements, broadcasting, mailings, or electronic media for a candidate or against his or her opponent, including a home page on the Internet.
(C) expenditures for which the candidate has, without making public disclosure of an outstanding liability in a timely manner, promised or made reimbursement or other payment to the party committee or constituted committee. These expenditures will be considered in-kind contributions during the time preceding the reimbursement or other payment by the candidate.
(5) If candidates announce they are running together as a “ticket” for which they have chosen to join together in a broad spectrum of activities to promote each other’s election, the Board will presume that expenditures made by one candidate’s campaign for materials or activities that clearly identify the other candidate are in-kind contributions to the second candidate. The following factors would increase the burden a candidate would have in overcoming this presumption: (i) the campaigns have staff, consultants, office space, or telephone lines in common; (ii) other in-kind contributions, expenditure refunds, advances, or joint expenditures have been made between these campaigns. If the expenditures are in-kind contributions, the expenditures are subject to the apportionment requirements of Rule 1-08(h).
(g) Spending public funds. (1) Public funds may be used only for expenditures by a participant’s principal committee to further the participant’s nomination or election either in a special election to fill a vacancy or during the calendar year in which the election in which the candidate is a participant is held.
(2) Public funds may not be used for:
(i) an expenditure for any purpose other than the furtherance of the participant’s nomination or election;
(ii) an expenditure not incurred during the calendar year of the election;
(iii) an expenditure in violation of any law;
(iv) payments made to the participant or a spouse, domestic partner, child, grandchild, parent, grandparent, brother, or sister of the participant or spouse or domestic partner of such child, grandchild, parent, grandparent, brother, or sister, or to a business entity in which the participant or any such person has a 10 percent or greater ownership interest;
(v) payments in excess of the fair market value of services, materials, facilities, or other things of value received;
(vi) (A) any expenditure made after the participant has been finally disqualified or had his or her petitions finally declared invalid by the New York City Board of Elections or a court of competent jurisdiction, except that such expenditures may be made (1) as otherwise permitted pursuant to §3-709(7) of the Code, or (2) for a different election (other than a special election to fill a vacancy) held later in the same calendar year in which the candidate seeks election for the same office;
(B) any expenditure made after the only remaining opponent of the participant has been finally disqualified or had his or her petitions declared invalid by the New York City Board of Elections or a court of competent jurisdiction, except that such expenditures may be made for a different election (other than a special election to fill a vacancy) held later in the same calendar year in which the participant seeks election for the same office;
(C) any other election, if the public funds were originally received for a special election to fill a vacancy.
(vii) payments in cash;
(viii) any contribution, transfer, or loan made to another candidate or political committee;
(ix) gifts, except brochures, buttons, signs and other printed campaign material;
(x) any expenditures to challenge or defend the validity of petitions of designation, or nomination, or certificates of nomination, acceptance, authorization, declination, or substitution, and expenses related to the canvassing of election results;
(xi) any expenditure for which records required by Rule 4-01 are not maintained or obtained by the participant;
(xii) any expenditure that is not itemized in a disclosure statement submitted pursuant to Rule 3-03;
(xiii) any payment that is not made or reimbursed from an account disclosed by the participant pursuant to Rule 1-11(d) or 2-01(a);
(xiv) reimbursement for advances, except in the case of individual purchases in excess of $250;
(xv) expenditures made in connection with any action, claim or suit before any court or arbitrator;
(xvi) expenditures made primarily for the purpose of expressly advocating a vote for or against a ballot proposal, other than expenditures made also to further the participating candidate’s nomination for election or election; or
(xvii) payment of any penalty or fine imposed pursuant to federal, state or local law.
(3) It is presumed that the following bills for goods and services are not qualified campaign expenditures: (i) bills for an election that are first reported in a disclosure statement submitted later than the 10 day or 27 day post-election disclosure statement applicable to that election; and (ii) bills first reported in an amendment to or resubmission of a disclosure statement that is made after the last election in an election year in which the participant is a candidate, or after a special election.
(4) A liability that is not reported in a contemporaneous manner is a violation of §3-703(6) of the Code and will not be considered a qualified campaign expenditure.
(h) Joint expenditures; endorsements. (1) In accordance with the Act, nothing in these Rules shall be construed to restrict a candidate from authorizing expenditures for joint campaign materials and other joint campaign activities, including fundraising and campaign communications such as mailings and telephone and other communications, if the benefit the candidate derives from the material or activity is proportionally equivalent to the candidate’s expenditures for the material or activity. To the extent a candidate derives a disproportionate benefit, the candidate is considered to have received a contribution and made an expenditure. Among the factors the Board will consider in determining whether the benefit is “proportionally equivalent,” are: (i) the focus of the material or activity; (ii) the geographic distribution or location of the material or activity; (iii) the subject matter of the communication; (iv) the references to the candidate or the candidate’s appearances therein; (v) the relative prominence of a candidate’s references or appearances in the communication, including the size and location of references to the candidate and any photographs of the candidate; (vi) the timing of the communication; and (vii) other circumstances surrounding the communication. The amount spent by the candidate for these purposes is subject to the expenditure limit applicable under the Act, unless it is otherwise exempt.
(2) Notwithstanding the provisions of paragraph (1) above, the following activities in support of another candidate by a participant, limited participant or non-participant shall not be considered contributions to or expenditures by such participant, limited participant or non-participant, except to the extent that such activities are paid for by the participant, limited participant or non-participant for a covered election:
(i) the act alone of endorsing or appearing with another candidate for public office, party nomination or party position;
(ii) the insubstantial
communication of such endorsement or appearance described in
subparagraph (i), such as where the candidate’s name is one of
several names appearing on the communication and is of
equivalent prominence as the other names;
(iii) fundraising assistance to another candidate in the form of
written communications that do not promote the participant, limited participant or non-participant, such
as the appearance of the participant’s, limited participant’s or non-participant’s name or signature on a
letter soliciting funds for another candidate or the appearance
of the participant’s, limited participant’s or non-participant’s name on fundraising material where the
participant’s, limited participant’s or non-participant’s name appears alone or with other names and is of
equivalent prominence as the other names; and
(iv) a typical communication by a political club to its members, which includes the name of a candidate, provided that the candidate is already a member of the political club, the political club has fewer than 500 members, and the communication does not solicit funds on behalf of or otherwise promote the participant’s, limited participant’s or non-participant’s campaign for a covered election.
(3) (i) The Board may, in its discretion, determine that the benefit to a candidate from references to or appearances of that candidate contained in another candidate’s communication, such as campaign literature or an automated telephone call, is of de minimis value to the candidate based on the factors listed in paragraph (1) or other factors.
(ii) Candidates and other individuals or entities may present information to the Board establishing such a de minimis benefit pursuant to Rule 7-01, or in such other manner as the Board may determine, or the candidate may present such information during the post-election audit process.
(i) Expenditures by check. No candidate may expend an amount in excess of $100 except by check drawn on a reported depository and signed by the candidate or person authorized to sign checks by the candidate.
(k) Volunteer services. After receiving public funds for an election, participants shall not pay volunteers for services already performed on a voluntary basis for that election, but may hire them as employees or retain them as consultants for future services.
(l) Expenditure limit compliance. (1) Participants and limited participants shall monitor whether their total expenditures exceed the limit of §3-706(1) of the Code or, if applicable, the limit of §3-706(3)(a)(i) of the Code. The amount of the expenditure limit that applies to the participant or limited participant in the calendar year of the election, pursuant to §3-706(1) of the Code, shall be reduced by the amount by which the initial expenditure limit pursuant to §3-706(2) of the Code is exceeded. Participants and limited participants have the burden of demonstrating that expenditures are exempt pursuant to §3-706(4) of the Code. A participant or limited participant may meet this burden by maintaining contemporaneous, detailed records that demonstrate that each individual expenditure claimed as exempt is exempt in accordance with §3-706(4) of the Code and submitting such documentation as required under paragraph (3) below.
(2) If a participant or limited participant fails to submit documentation sufficient to substantiate an exempt expenditure claim, the expenditure subject to such claim shall not be considered exempt from the expenditure limit applicable to the participant or limited participant under §3-706(1) or §3-706(3)(a)(i) of the Code.
(3) For purposes of this subdivision, in determining whether a participant’s or limited participant’s total expenditures exceed the amount of the limit applicable under §3-706(1) or §3-706(3)(a)(i) of the Code, the following expenditures shall be excluded: (i) expenditures made in the first three years of the election cycle, to the extent such expenditures do not exceed the limit applicable under §3-706(2) of the Code; and (ii) in the case of the general election expenditure limit, expenditures made not later than the closing date of the 10 day post-primary election disclosure statement, provided that the participant or limited participant was subject to a primary election expenditure limit.
(4) Notwithstanding anything otherwise provided for in this subdivision, the reimbursement of an advance shall not be considered an exempt expenditure.
(m) Fundraising for more than one election. When a candidate makes expenditures for a single event or other activity to raise funds for more than one office sought, and the first election that will be held is:
(1) a covered election, the full amount of such expenditures is subject to the expenditure limits, the contribution limits, and the contribution prohibitions of the Act and the Charter.
(2) not a covered election, a portion of such expenditures will be subject to the expenditure limits, the contribution limits, and the contribution prohibitions of the Act and the Charter in such proportion as the total funds raised in connection with such event or other fundraising activity for the second election bears to the total such funds raised for both elections. Alternatively, the candidate may demonstrate to the Board that a different apportionment is applicable in accordance with Rule 1-07(d).
(n) Fundraising solicitations. Each written solicitation of contributions by or on behalf of a candidate, whether in paper or electronic format, shall include the following statement, written in a conspicuous and clearly recognizable manner: “State law prohibits making a contribution in someone else’s name, reimbursing someone for a contribution made in your name, being reimbursed for a contribution made in your name, or claiming to have made a contribution when a loan is made.”
(o) Expenditure limit compliance for transfers. In the case of a transfer of funds from a committee not otherwise involved in the covered election, other than another principal committee of the same candidate, the participant must allocate to the transferred contributions any expenditures incurred by the transferor committee during the covered election cycle in connection with raising or administering transferred contributions. In such a case, the participant has the burden of demonstrating, for the purpose of compliance with the expenditure limits of the Act, what expenditures incurred by the transferor committee were not made in connection with raising or administering the transferred contributions. At the Board’s request, the participant shall provide documentation related to any such expenditures, including copies of Federal forms or disclosure statements filed with the New York State or City Board of Elections on behalf of the transferor committee.
back to top | Campaign Finance Board Rules
Rule 1-09 Documents Submitted to the Board.
(1) Generally. Documents submitted to the Board, whether in an electronic manner or otherwise, will be deemed to have been submitted upon receipt by the Board. The Board receives hand-delivered documents at its offices, weekdays between 9 a.m. and 5 p.m., unless otherwise provided by the Board.
(2) Postmark date. Except as otherwise provided in paragraph (3) for disclosure statements, a document submitted by non-electronic mail will be deemed to have been received by the Board on the date the document is postmarked. Documents delivered by non-electronic common carriers other than the United States Post Office will be deemed to have been received by the Board on the date the common carrier received the document. Candidates have the burden of demonstrating the date the common carrier received such document, including by means of the common carrier’s time stamp or payment receipt.
(3) Disclosure statements. (i) Candidates who submit disclosure statements through non-electronic mail with the United States Post Office or by other non-electronic common carrier shall obtain a receipt or date stamp confirming the date on which the carrier received the disclosure statement. Such disclosure statements that are delivered by the Post Office or common carrier to the Board without a postmark or similar mark will be presumed to have been mailed three days earlier unless evidence presented to the Board, such as a post office receipt, establishes otherwise.
(ii) A complete disclosure statement, submitted in an electronic manner or otherwise, actually received by the Board no later than close of business on the due date for that disclosure statement applicable under Rule 3-02 will be considered to be submitted in a timely manner and to permit the Board to make a payment determination based on matchable contributions claimed therein when the Board next makes payment determinations. In order to make possible payment within four business days after receipt of disclosure statements, or as soon thereafter as is practicable, pursuant to §3-705(4) of the Code, the Board may not review disclosure statements for possible payment if they are not actually received by the Board by the specified due date, although the Board may review such disclosure statements when making payment determinations at a later date.
(iii) A complete disclosure statement, not actually received by the Board by the due date applicable under Rule 3-02, that is delivered by non-electronic mail with a postmark date that is on or before the due date, or received by another non-electronic common carrier on or before the due date, nonetheless will be considered to be submitted in a timely manner. This submission, however, may not be sufficiently timely to permit the Board to make a payment determination when the Board next makes payment determinations so the Board shall make a determination on such a disclosure statement at such time as it is practicable and the Board is considering making payments based on matchable contributions claimed in disclosure statements actually received on or before a subsequent applicable due date.
(iv) A candidate who fails to deliver a complete disclosure statement in a timely manner is in violation of the Act and subject to penalty under §§ 3-710.5 and 3-711(1) of the Code.
(4) Documents submitted electronically. Candidates and others submitting documents to the Board electronically shall submit such documents in such electronic manner as shall be provided by the Board.
(b) Legibility; Readability. The Board will not accept any electronic disclosure statement or other document, or any part thereof, that is infected with a virus, damaged, blank, improperly formatted, or otherwise unreadable by the Board, or if the disclosure statement or other document, or any part thereof, is in a non-electronic format, is illegible.
(c) Documentation. Disclosure statements will not be deemed complete unless submitted with the records required by Rules 3-04(a) and 4-01(b)(2), (3), and (6) for each matchable contribution claimed in the disclosure statement.
back to top | Campaign Finance Board Rules
If any rule or portion thereof is adjudged invalid by a court of competent jurisdiction, such determination shall not affect or impair the validity of the other provisions of these rules. If the application of any rule or portion thereof to any person or circumstances is adjudged invalid by a court of competent jurisdiction, such determination shall not affect or impair the application thereof to other persons and circumstances.
back to top | Campaign Finance Board Rules
Not later than the day that a candidate files the first disclosure statement for an election, the candidate shall submit a filer registration form. The filer registration form shall include:
(a) the candidate’s name, address information and telephone numbers, e-mail address, and employment information;
(b) the name and mailing address, and treasurer name, treasurer address information and telephone numbers, treasurer e-mail address, and treasurer employment information, of every political committee authorized by the candidate that has not been terminated, and, in the case of a participant or limited participant, an indication of which such committee is the principal committee;
(c) the name, mailing address, e-mail address, and telephone number of any person designated by the candidate to act as liaison with the Board for each committee filing disclosure statements;
(d) identification of all bank accounts and other depository accounts, including merchant accounts, into which receipts have been, or will be, deposited; and
(e) other information as required by the Board.
The candidate shall notify the Board of any material change, including any change to any required address information, telephone number, or e-mail address, in the filer registration form in such manner as may be provided by the Board.
(f) Applicable requirements. Because the requirements of the Act and these Rules apply to financial transactions that take place before a participant or limited participant joins the Program, the Board advises candidates to comply with all applicable requirements set forth in the Act and these Rules, in anticipation of joining the Program.
(g) Construction. The submission of a filer registration form, or an amendment thereto, shall not be construed as a statement of intent to become a candidate, to run for any particular office, or to join the Program.
