New York regulations
Title 19 Part 937
Department of State
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19 NYCRR 937.1 - Scope and purpose
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Department of State
- Text status
- Phase2b Dequote Reversal
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- No later Register activity identified in this check.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- May 19, 2026
These regulations provide information concerning the procedures by which records of the Joint Commission on Public Ethics (commission) shall be available for public inspection and copying.
(a)Pursuant to Executive Law section 94(19)(a) the following records of the commission shall be available for public inspection and copying:
(1)the information set forth in an annual statement of financial disclosure filed pursuant to section 73-a of the Public Officers Law except the categories of value or amount, which shall remain confidential, and any other item of information deleted pursuant to section 94(9)(h) of the Executive Law (effective for filings due before January 1, 2013);
(2)the information set forth in an annual statement of financial disclosure filed pursuant to section 73-a of the Public Officers Law except information deleted pursuant to section 94(9)(h) of the Executive Law (effective for filings due after January 1, 2013);
(3)notices of delinquency sent pursuant to section 94(12) of the Executive Law;
(4)notices of civil assessments imposed pursuant to section 94(14) of the Executive Law that shall include a description of the nature of the alleged wrongdoing, the procedural history of the complaint, the findings and determinations made by the commission, and any sanction imposed;
(5)the terms of any settlement agreement or compromise of a complaint or referral that includes a fine, penalty or other remedy;
(6)those records required to be held or maintained publicly available pursuant to article 1-A of the Legislative Law; and
(7)substantial basis investigation reports issued by the commission pursuant to section 94(14-a) and (14-b) of the Executive Law. With respect to reports concerning members of the Legislature or legislative employees or candidates for member of the Legislature, the commission shall not publicly disclose or otherwise disseminate such reports except in conformance with the requirements of section 80(9)(b) of the Legislative Law.
(b)In addition to the records in paragraphs (a)(1) and (2) of this section the following information related to annual statements of financial disclosure shall be available pursuant to a request for information and/or access to records in accordance with this Part:
(1)With respect to a particular annual statement of financial disclosure:
(i)the date of submission;
(ii)whether deletions have been made to the filing, pursuant to Executive Law section 94(9)(h);
(a)this will not include information that is routinely redacted from all annual statements of financial disclosure by the commission as a matter of course such as addresses of primary residence, names of minor children, email addresses, and account numbers;
(iii)if a particular filing is unavailable: the status of that filing (whether it is pending, overdue, or unavailable for some other reason such as an extension of time to file pursuant to Executive Law section 94[9][c], an exemption from filing pursuant to Executive Law section 94[9][k], or a pending application for deletion or exemption pursuant to Executive Law section 94[9][h], [i] or [i]-[1]);
(2)with respect to a particular individual, whether such individual is required to file an annual statement of financial disclosure, including:
(i)whether the individual has been designated a policy maker or meets the filing rate pursuant to Public Officers Law section 73-a;
(a)this shall include the date that the reporting individual’s appointing authority amended the written instrument required under Public Officers Law section 73-a(1)(c)(2) to include the individual as a required filer;
(ii)whether such individual has sought or received an exemption from filing pursuant to Executive Law section 94(9)(k);
NB: responses to subparagraphs (i) and (ii) of this paragraph may vary depending on the filing year in question;
(3)for a specific State agency (as defined by subsection 1[b] of Public Officers Law section 73-a), a list of individuals who are required to submit an annual statement of financial disclosure and whether each individual has been designated as a policy maker by their appointing authority;
(4)a list of job titles and employment classifications that have been exempted from the requirement to file an annual statement of financial disclosure pursuant to Executive Law section 94(9)(k);
(5)the application (including all associated materials) for exemption, deletion and extension pursuant to Executive Law section 94(9)(c), (h), (i), (i-1), and (k), and the commission’s regulations, shall be exempt from the provisions of this subdivision and not subject to disclosure.
(c)In additional to the records in subdivision (a) of this section the commission shall make available, pursuant to a request for information and/or access to records in accordance with this Part, the name, title and salary of all commission staff.
(d)As of January 1, 2022 requests for information and/or records pursuant to this section shall be recorded in a record access request log, which shall include the date of the request and the identity of the individual or entity that made the request and identify the record or records requested and provided. The record access request log shall be made available upon a request for information and/or access to records in accordance with this Part.
19 NYCRR 937.2 - Designation of records access officer
Later Register activity found — review the notice before relying on the compiled text.
Dates and status
- Compiling agency
- Department of State
- Text status
- Source receipt
- Compiled text through
- Jun 30, 2022
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- Later Register activity found — review the notice before relying on the compiled text.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- Jun 6, 2026
(a)The commission designates its public information officer to act as the records access officer.
(b)The records access officer is responsible for ensuring compliance with the regulations herein.
(c)The records access officer is responsible for ensuring that commission staff perform the following actions:
(1)assist the requester in identifying the record and information sought, if necessary;
(2)upon locating the requested record:
(i)make the record available for inspection in accordance with sections 937.3 and 937.4 of this Part; or
(ii)make copies free of charge unless the request is for more than 40 pages, in which case the commission shall charge $0.25 per copy or the cost of electronic reproduction.
19 NYCRR 937.3 - Requests for information and access to publicly available records
Later Register activity found — review the notice before relying on the compiled text.
Dates and status
- Compiling agency
- Department of State
- Text status
- Source receipt
- Compiled text through
- Jun 30, 2022
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- Later Register activity found — review the notice before relying on the compiled text.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- Jun 6, 2026
(a)A request for information and/or access to records pursuant to this Part shall be in writing on a form provided by the commission.
(b)A request shall reasonably describe the information or record sought. To the extent possible, a requesting person should supply identifying details of the information or record, such as the name of the person, entity or title associated with the information or record sought and dates or filing period.
(c)A response to a request that reasonably describes the information or record sought shall be made within five business days of receipt of the request by:
(1)granting access to the record;
(2)providing the information sought;
(3)acknowledging the receipt of the request in writing, including an approximate date when the request will be granted, which shall be reasonable under the circumstances and shall not be more than 20 business days after the date of the acknowledgement, or providing a statement in writing indicating the reason for the inability to grant the request within that time and a date certain, within a reasonable period under the circumstances of the request, when the request will be granted; or
(4)if receipt of the request was acknowledged in writing and included an approximate date when the request would be granted within 20 business days of such acknowledgement, but circumstances prevent disclosure within that time, providing a statement in writing within 20 business days of such acknowledgement specifying the reason for the inability to do so and a date certain, within a reasonable period under the circumstances of the request, when the request will be granted.
19 NYCRR 937.4 - Location of records for inspection
Later Register activity found — review the notice before relying on the compiled text.
Dates and status
- Compiling agency
- Department of State
- Text status
- Source receipt
- Compiled text through
- Jun 30, 2022
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- Later Register activity found — review the notice before relying on the compiled text.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- Jun 6, 2026
(a)Once granted, access to records will be arranged by the records access officer, and the records will be made available in a convenient and appropriate manner.
(b)Appointments for public inspection of records at the commission’s office shall be arranged on days that the commission is regularly open for business and during the hours of 9:00a.m.-4:30p.m.
19 NYCRR 937.5 - Deletion and exemption of certain items of information from financial disclosure statements
Later Register activity found — review the notice before relying on the compiled text.
Dates and status
- Compiling agency
- Department of State
- Text status
- Source receipt
- Compiled text through
- Jun 30, 2022
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- Later Register activity found — review the notice before relying on the compiled text.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- Jun 6, 2026
(a)Prior to making any financial disclosure statement publicly available, the records access officer shall delete any other item of information that the commission has determined to delete pursuant to section 94 of the Executive Law and for filings prior to January 1, 2013, the categories of value and amount.
(b)In accordance with the rules set forth in section 941.17(b)(1) of this Title, pending any application for deletion or exemption to the executive director or notice of appeal filed with the members of the commission, all information which is the subject or a part of the application or appeal shall remain confidential. Upon an adverse determination on appeal by the members of the commission, the reporting individual may request, within five calendar days of receipt of an adverse determination, and upon such request the commission shall provide, that any information which is the subject or part of the application remain confidential for a period of 30 days following notice of such determination. In the event that the reporting individual resigns from office prior to the issuance of a determination and holds no other office subject to the jurisdiction of the commission, the information shall not be made public and shall be expunged in its entirety.
19 NYCRR 937.6 - Records access appeals
Later Register activity found — review the notice before relying on the compiled text.
Dates and status
- Compiling agency
- Department of State
- Text status
- Source receipt
- Compiled text through
- Jun 30, 2022
- Register checked through
- August 19, 2026/Vol. XLVIII, Issue 33
- Activity status
- Later Register activity found — review the notice before relying on the compiled text.
- Latest notice
- ELG-15-23-00007-A · Adopted rule · Aug 9, 2023
- Source snapshot
- Jun 6, 2026
(a)The Director of Ethics or his or her designee shall act as the records access appeals officer.
(b)Any person denied access in whole or in part to a record or records requested pursuant to section 937.1(a) or (d) of this Part or information requested pursuant to section 937.1(b) or (c) of this Part may within 30 days appeal in writing such denial to the records access appeals officer who shall within 10 business days of the receipt of such appeal fully explain in writing to the person requesting the record or information the reasons for further denial, or provide access to the information or record sought. This shall constitute the final determination of the commission.