Rule 3-02 Filing Dates.
(a) First disclosure statement.
(1) A candidate's first disclosure statement shall be the first disclosure statement during the applicable election cycle covering the date on which the candidate first raises or spends funds in furtherance of his or her campaign for election for an office covered by the Act unless otherwise provided by New York Election Law.
(2) In a special election held to fill a vacancy, a candidate's first disclosure statement is due 32 days before the election unless otherwise provided by New York Election Law. As provided pursuant to New York Election Law, if the first disclosure statement for a special election is otherwise due within a period of five days of a required semi-annual disclosure statement, the candidate may file a single combined statement on the date on which the latter of the two separate statements is required to be filed.
(2) Notwithstanding paragraph (1) above, (i) for candidates in a special election who continue to raise or spend funds for the following primary or general election, the 27 day post-election disclosure statement described in subdivision (d) shall be the last statement required for the special election; provided, however, that in the event that there is a runoff special election, the semi-annual disclosure statement described in subdivision (d) shall be the last disclosure statement required for all candidates in the special election who continue to raise or spend funds for the following primary or general election, regardless whether they were candidates in the runoff special election; and (ii) for candidates in a special election who do not continue to raise or spend funds for the following primary or general election, the first semi-annual disclosure statement due following the date of the special election shall be the last statement required for the special election, provided, however, that if the first semi-annual disclosure statement following the date of the special election is due less than 30 days after the deadline for filing the 27 day post-election disclosure statement, then the second semi-annual disclosure statement after the date of the special election shall be the last statement required for the special election.
(3) Following submission of the last disclosure statement for an election, the candidate remains, in any case, with respect to the previous election, subject to all other Program requirements and shall submit such information and proof of compliance as may be requested by the Board, including copies of State forms, bank records, and records demonstrating payment of outstanding liabilities.
(c) Pre-election disclosure statements: Pre-election disclosure statements are due 32 and 11 days before the election and, at the Board’s discretion, on or by March 15 and May 15 in the year of the election. In a runoff election, the only pre-election statement is due 4 days before the election.
(d) Post-election disclosure statements: Post-election disclosure statements are due 27 days after the election, except in the case of a primary or runoff primary election, the disclosure statement is due 10 days after the election, and in the case of a runoff special election, disclosure statements are due both 27 days after the election and on the first January 15 or July 15 following the date of the runoff special election. Candidates in the special election must file both post-runoff special election disclosure statements regardless whether they were on the ballot in the runoff special election.
(e) Daily disclosures during two weeks preceding the election. If a candidate, during the 14 days preceding an election, accepts aggregate contributions and/or loans from a single source in excess of $1,000 or makes aggregate expenditures to a single vendor in excess of $20,000, the candidate shall report, in a disclosure to the Board, all contributions and loans accepted from such source or expenditures made to such vendor during that 14-day period. The first such disclosure must be received by the Board within 24 hours after the contribution or loan that causes the total to exceed $1,000 is accepted or the expenditure that causes the total to exceed $20,000 is made. Each subsequent disclosure must be received by the Board within 24 hours after the contribution or loan is accepted or expenditure is made. Information reported in these disclosures must also be included in the candidate’s next post-election disclosure statement.
(1) Not in primary election. A candidate need not submit the two pre-primary and the 10 day post-primary election disclosure statements if the candidate is not a candidate in a primary election unless the candidate is a participant or limited participant claiming that expenditures are subject to a primary election spending limit, pursuant to Rule 1-08(c)(2)(ii) or (iii). If the candidate is not a candidate in the primary, daily disclosures during the two weeks preceding the primary need not be submitted.
(2) Not in general election. A candidate need not submit the two pre-general election and 27 day post-general election disclosure statements or daily disclosures during the two weeks preceding the general election, if the candidate is not a candidate in the general election.
(3) Deferred filing. A candidate need not submit a full disclosure statement, if the candidate has accepted less than $2,000 in contributions and loans since the candidate last submitted a disclosure statement and has not made expenditures exceeding forty-five percent of the applicable expenditure limit. This paragraph does not apply to semi-annual disclosure statements. On each disclosure statement filing date for which an exception is not provided pursuant to paragraph (1) or (2), the treasurer shall verify, in a manner provided by the Board, that a full disclosure statement is not required to be submitted pursuant to this paragraph.
(4) Small campaigns. A candidate who has filed a small campaign registration form pursuant to Rule 1-11(c) need not submit disclosure statements if neither the total cumulative receipts nor the total cumulative expenditures of the candidate exceeds an amount equal to the amount necessary to qualify for the exception provided in section 14-124(4) of the State Election Law. If a candidate who has filed a small campaign registration form raises or spends an amount exceeding the amount necessary to qualify for the exception provided in section 14-124(4) of the State Election Law, the candidate must submit all subsequent required disclosure statements, beginning on or before the deadline to file the next disclosure statement. The first such statement filed must include all prior financial activity beginning at the inception of the campaign.
(5) Other political committees. Political committees that are not involved in a covered election shall not file disclosure statements, or State or Federal forms, except as requested by the Board. Notwithstanding the foregoing, the financial records of any committees of a candidate are subject to Board review for purposes of monitoring the candidate's compliance with the requirements of the Act and these Rules and shall be made available to the Board upon its request.
(6) Next disclosure statement. Information which would otherwise be included in a disclosure statement for which an exception is provided pursuant to paragraph (1), (2), (3), or (4) shall be included in the next disclosure statement required to be submitted to the Board.
(8) Terminated candidacy. A candidate need not submit any disclosure statements if his or her candidacy has been terminated, as described in Rule 2-09(b), (c), and (d), and the termination is not reversed pursuant to Rule 2-09(d).
(9) Terminated committee. If a committee terminates activities (by complete payment of all liabilities and expenditure of all funds in its possession) before the last disclosure statement for an election is due, the committee shall file its last disclosure statement for the election upon its termination, together with a cover letter stating that it has terminated its activities.
(h) Weekends and holidays. If a disclosure statement is due to be submitted on a Saturday, Sunday, or legal holiday, the submission of the disclosure statement by 5 p.m. on the next business day shall be considered timely.