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Personal Financial Disclosure for Legislators: Client Identification Requirements
Updated January 2013
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This table is intended to provide general information and does not necessarily address all aspects of this topic. Because the facts of each situation may vary, this information may need to be supplemented by consulting legal advisors. It reflects in summary form statutes in effect as of 12/31/12 or statutes set to take effect shortly thereafter.
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State/Reference
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Are individual client names required to be dislcosed? |
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36.25.14
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No, but: if employed in one of following professional fields, include the number of clients in each of several dozen fields and the categorical amounts of income received from each field: legal, accounting, medical or health related, real estate, banking, insurance, educational, farming, engineering, architectural management, or other professional services or consultations.
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24.60.100
24.60.200
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Yes, in some cases: if they have or may have an interest in legislation or if filer has represented a client before a state agency for payment.
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38-542
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No: Individual items that make up a portion of gross income exempt.
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21-8-701
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No: Individual items that make up a portion of gross income exempt.
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Gov. Code
Title 9, Chapter 7, Article 2, 87200-
87210
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Yes, in some cases: Names of clients from whom filer's proportionate share of income was >$10,000.
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No: Clients not covered.
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Title 1
Chapter 10
Section 1-83
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No: Clients not covered.
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Title 29, Part V
Chapter 58
Subchapter II
Section 5813
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No: Client names specifically not required.
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No. Clients not covered.
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Title X
Chapter 112.3144
112.3148
112.3149
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Yes, in some cases: Sources paying >10% of the gross income to a business with which the filer is associated must be named if the amount comprises >10% of the filer's gross income and is >$1,500 OR sources providing >10% of associated business's income if that business has paid filer >$5,000. Also, if filer has represented a client before a state agency for payment, that client's name must be disclosed.
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No: Clients not covered.
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No: Clients not covered.
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84-17
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Yes, in some cases: Names of clients the legislator represented before a state agency for payment. But for income sources, individual sources that constitute a portion of gross income are exempt.
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State has no financial disclosure requirements.
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5ILCS420/
4A-101
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No, but: nature of clients' business is required for those who paid filer >$5,000 for professional services.
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IC 2-2.1-3-2
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In some cases: Names of any clients represented before a state agency for a fee. Names of lobbyists who is a member of a partnership or a manager of limited liability company, or an officer or a director of a corporation, of which the filer is a partner, officer, director, member or employee. Must also list a description of the legislative matters upon which the lobbyist works.
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No: Clients not covered.
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46-229
46-239
46-248
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Yes, sort of: Names and addresses of clients or customers who paid a portion of fees or commissions to a business from which filer or spouse receive $2,000+ income. Client or customer is defined as a business or combination of businesses and are also defined as parties who have a "substantial interest" for purposes of the financial disclosure requirements.
Requirements can also be found on the Kansas Ethics Commission website, in rules and regulations and on the disclosure form. http://ethics.ks.gov/EthicsSite/pdfs/IVC1.PDF
See "State Agency Connections." |
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KRS 6.787
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No: Names of individual clients or customers specifically not required.
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42:1114
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Yes, in some cases: Legislators must include the name, address, type, and amount of each source of income, in excess of one thousand dollars, received by the individual or spouse, and the nature of the services rendered therefor, if any, not already disclosed. When income is derived from professional or consulting services rendered, including mental health, medical health, or legal services, and if the disclosure of the name or address of any source of income would be prohibited by law or by a professional code, the legislator must only include the number of clients and amount of income. Statute lists several types of applicable companies under the categories of utilities, transportation, finance and insurance, retail companies, and associations.
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Maine
Title 1, Chapter 25, Subchapter 2, 1016-G
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Yes, in some cases: If self-employed, names of sources that paid >$10% or $2,000 of the legislator's gross income. If law, rule or professional code of ethics prohibits disclosure, reveal only the "principle type of economic activity" from which income is derived.
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§ 25-4-27
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Yes, but: only "if representing a person for compensation before a state or local government agency." Representation of a client in a judicial or quasi-judicial proceeding before such agencies does not require disclosure of client's name. If representing a State or local government agency for compensation, must report the name of the agency, the services performed, and the consideration.
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No: Clients not covered.
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State has no financial disclosure requirements.
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No: The participation must be disclosed, but not the client information. A public official who represents a client for a fee before an individual, board, commission, or agency that has rulemaking authority in a hearing conducted under chapter 14 (a hearing before the state), must disclose the official's participation in the action to the board within 14 days after the appearance.
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§ 25-4-27
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Yes: For any person or business before any authority of state or local government, excluding the courts. Exception for representation involving only uncontested or routine matters. The statement shall identify the person represented and the nature of the business involved.
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105.483
105.485
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No, but: Nature of sole proprietorships required, but not names of clients.
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No: Clients not covered.
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49-1493-
49-1497
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No: Patrons, customers, patients and clients specifically exempt.
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281A-600-660
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No: Individual clients, customers and patients are specifically exempt. If income is derived from them, filer can attribute that to "professional services," or similar source. Also, see lobbyist connection requirements. (link)
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No, but: New Hampshire has unique requirements
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No: Clients not covered.
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10-16A-2
10-16A-3
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No, but: law practices, consulting operations or similar businesses must describe the major area of specialization or income sources.
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Consolidated Laws
Chapter 47
Article 4
Section 73a
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YES, in some cases, and applicable only to new clients or customers for whom services are provided on or after July 1, 2012, or for new matters for existing clients or customers with respect to those services that are provided on or after July 1, 2012: If the reporting individual personally provides services to any person or entity, or works as a member or employee of a partnership or corporation that provides such services (referred to hereinafter as a "firm"), then identify each client or customer to whom the reporting individual personally provided services, or who was referred to the firm by the reporting individual, and from whom the reporting individual or his or her firm earned fees in excess of $10,000 during the reporting period for such services rendered in direct connection with: a proposed bill or resolution in the senate or assembly during the
reporting period; a contract in an amount totaling $50,000 or more from the state or any state agency for services, materials, or property; a grant of $25,000 or more from the state or any state agency during the reporting period; a grant obtained through a legislative initiative during the reporting period; or a case, proceeding, application or other matter that is not a ministerial matter before a state agency during the reporting period. "Referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of acts to intentionally procure for the reporting individual's firm or knowingly solicit or direct to the reporting individual's firm in whole or substantial part, a person or entity that becomes a client of that firm for the purposes of representation for a matter as defined in subparagraphs (i) through (v) of this paragraph, as the result of such procurement, solicitation or direction of the reporting individual.
However, a reporting individual need not disclose activities performed while lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivision seven of section seventy-three of this article. The disclosure requirement in this question shall not require disclosure of clients or customers receiving medical or dental services, mental health services, residential real estate brokering services, or insurance brokering services from the reporting individual or his or her firm. The reporting individual need not identify any client to whom he or she or his or her firm provided legal representation with respect to investigation or prosecution by law enforcement authorities, bankruptcy, or domestic relations matters. With respect to clients represented in other matters, where disclosure of a client's identity is likely to cause harm, the reporting individual shall request an exemption from the joint commission pursuant to paragraph (i) of subdivision nine of
section ninety-four of the executive law. Only a reporting individual who first enters public office after July first, two thousand twelve, need not report clients or customers with respect to matters for which the reporting individual or his or her firm was retained prior to entering public office.
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138A-24
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Yes, in some cases: Must list the name of each source, but not amounts, of income of more than $5,000 received during the previous year by business or industry type, if the source is not otherwise listed. Income includes salary, wages, professional fees, honoraria, interest, dividends, rental income, and business income from any source other than capital gains, federal government retirement, military retirement, or social security income. If the filer is a practicing attorney, must list an indication of whether the filer or the law firm with which the filing person is affiliated earned legal fees during the past year in excess of $10,000 from any of several listed: categories of legal representation. If the filer is a licensed professional or provides consulting services, either individually or as a member of a professional association, must list categories of business and the nature of services rendered, for which payment for services were charged or paid during the past year in excess of $10,000.
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No: Clients not covered.
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102.01
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Yes, in some cases: Individual items that constitute a portion of gross income are exempt, unless a lobbyist is involved. Attorneys or persons licensed under 4732.12 must disclose their clients who are lobbyists and patients of persons certified under section 4731.14 must disclose the names of patients who are lobbyists unless disclosure would threaten the client, patient or recipient or services or if disclosure would reveal details of the subject matter for which services were sought, or if disclosure would reveal an otherwise privileged communication. See "Lobbyist Connections."
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Rule 257:15-1-1
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Yes, in some cases: Names of clients represented before state agencies for a fee. But for income received from proprietorships or similar situations, names of patrons, customers, patients and clients are exempt. Filer may list as sources a business or corporation instead.
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244.050
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Yes, in some cases: Disclose each person for whom the public official has performed services for a fee >$1,000, except for any disclosure otherwise prohibited by law or professional code of ethics. If client is a lobbyist, he or she may have to be disclosed under other parts of the law as well. See "Lobbyist Connections."
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PCS Title 65
Chapter 11
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Yes, in some cases: Disclose the name and address of any direct or indirect source of income totaling in the aggregate $1,300 or more. However, filer does not have to divulge confidential information protected by statute or professional codes of ethics or common law privileges.
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N/A
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36-14-1
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No, but: If self-employed, list sources of occupational income by nature of occupation or profession.
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Article 11
Section 8-13-1110
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Yes, in some cases: Names would have to be disclosed if client is a lobbyist who is "associated with" the filer, or if the client is a lobbyist who purchased >$200 in goods from filer or associated business.
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No: Clients not covered.
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8-50-502
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No, but: Must list in general terms by areas of the client's interest, the entities to which professional services, such as those of an attorney, accountant, or architect, are furnished by the person making disclosure or that person's spouse…
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Chapter 572
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Yes, in some cases: Names of clients who are also lobbyists must be disclosed in some cases. For more information, see "Lobbyist Connections." Names of clients who filer has represented before a state agency for a fee. In the general income category, though, self-employed filers disclose their income sources by occupation, rather than by name.
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76-8-109
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Yes, in some cases: Filer must report the name of each entity that has paid $5,000 or more in income to the filer within the one-year period ending immediately before the date of the disclosure form and a brief description of the type of business of activity conducted by the entity.
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State has no financial disclosure requirements.
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30-111
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Yes, in some cases: Client names not required unless they are lobbyists. In that case, "disclosure of a lobbyist relationship shall not constitute a waiver of any attorney-client privilege." See "Lobbyist connections." A section of the form requires filers to disclose which of a list of dozens of professions he has received more than $1,000 for services rendered. He must also disclose what types of services were rendered and the amount category of income received. Client names also required if filer represented client before a state agency for a fee of >$1,000.
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RCW 42.17.240-241; 42.17.370(10)
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Yes: The names of business customers paying more than $7,500 to corporations, joint ventures, etc. in which an ownership interest of 10 percent or more is held by legislators are reportable. Names of business clients of law firms employing legislators are reportable if the $7,500 threshold is met, unless protected by privilege. Government agency client names are likewise reportable. Exemptions to reporting ('modifications') may be granted if statutory criteria are met."
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6B-2-7
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No, but: Filers must disclose which from a list of dozens of professions he or she has done business with and received >20 % of gross income from. Filers must identify, by category every source of income > $1,000 during calendar year, but specifically exempts filers from disclosing individual sources or items of income that constitute the gross income of the filer.
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Subchapter III
19.41
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Yes, in some cases: Any individuals who contribute $1,000+ to filer's income may be identified by the general nature of the contributor's business, unless the contributor is a lobbyist, in which case the lobbyist's name must be disclosed.
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No: Clients not covered.
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Notes
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Statutes referenced are the beginning of sections discussing financial disclosure.
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This research list states' disclosure requirements. It does not comprehensively list bans states may have on practices other states require to be disclosed. For example, one state may ban honoraria, while another requires legislators to report any they receive. So states with broad reporting requirements shouldn't always be considered to have stricter laws.
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Read numbers written "$5,000+" as "at least $5,000," or "$5,000 or more."
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Generally, states exempt privileged information from income reporting requirements. In many cases, they exempt individual sources that constitute a part of gross income. When this exemption is present, it is not always noted in the above table.
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