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Filing for an Exemption from Public Disclosure of Client Information And Reporting Initial Public Offerings (IPOs)

Requests for Exemption from the Requirement to Disclose the Identity of a Client In Annual Ethics Filings Under Public Officers Law §73-a

Reports of Initial Public Offerings

Chapter 56 of the Laws of 2015 amended the annual ethics filing requirements of
legislative and executive officers and policymakers under the Public Officers Law. (A copy of
the relevant portion of that legislation is linked below.) Among its provisions, that legislation authorizes the Office of Court Administration (OCA), to receive and determine requests for exemptions from the duty to disclose the identities of clients in annual ethics filings pursuant to Public Officers Law §73-a. (Previously, only the Joint Committee on Public Ethics exercised this authority.) OCA is further charged with the secure receipt and storage of information relating to filers’ work on initial public offerings (IPOs). These requirements took effect on December 31, 2015.

In December 2015, the Administrative Board of the Courts approved the promulgation of 22 NYCRR Part 154, which sets forth procedures for making exemption requests and filing IPO reports.


Exemption From Public Disclosure

To request an exemption pursuant to 22 NYCRR Part 154 from the public disclosure of client information under Public Officers Law 73-a, follow the instructions and use the form below:


Initial Public Offerings

To report an initial public offering to the Office of Court Administration pursuant to Public Officers Law §73-a(8), follow the instructions and use the form below: