NEW YORK STATE BOARD OF ELECTIONS CAMPAIGN FINANCE HANDBOOK 2019 1 CONTENTS New York State Board of Elections Campaign Finance Handbook 2019 .................................................... 1 Letter to Candidates and Treasurers ......................................................................................................... 10 PART ONE: FILING REQUIREMENTS ........................................................................................................... 11 Registration Forms – Candidates/Committees ......................................................................................... 12 Registration Forms – Candidates/Committees (cont.) ............................................................................. 13 State and Local Candidates and Committee Types ................................................................................... 14 I. Who Must File and What Must Be Filed ............................................................................................ 15 A. Candidates: Campaign Finance Registration ................................................................................. 15 Candidate Committee Registration ................................................................................................... 16 Authorizing Local Party/Constituted Committee to Make Candidate’s Reports ............................. 16 B. Candidates: Campaign Financial Disclosure Reports .................................................................... 17 Candidates Crossing $1,000 Threshold .............................................................................................. 17 Additional Instructions for Unsuccessful Candidates ....................................................................... 17 Self-Funded Candidates Must Disclose .............................................................................................. 18 Claim of Exemption from Filing.......................................................................................................... 18 Undetermined Office, District and/or Election Year ......................................................................... 18 Additional Registration/Filing Requirements for Local Candidates Making Their Own Filings ...... 18 Elimination of Duplicate Filing for Certain Local Filers ..................................................................... 19 C. Committees: Campaign Finance Registration ............................................................................... 19 Campaign Finance Registration and Filing Requirements ................................................................ 19 Authorized Single Candidate Committee (CF-02 – Type 1) ............................................................... 19 Political Action Committee (PAC) (CF-02 – Type 2) ........................................................................... 19 Constituted/Party Committees (CF-02 – Types 3-7) and Housekeeping Committees (CF-02 - Types 3H-7H) …………………………………………………………………………………………………………………………………………..20 Independent Expenditure Committee (Unauthorized) (CF-02 – Type 8) ......................................... 20 Authorized Multi-Candidate Committee (CF-02 – Type 9)................................................................ 21 Ballot Issue Committee (CF-02 – Type 9B) ......................................................................................... 21 Undetermined Office, District and/or Election Year ......................................................................... 21 Political Clubs ..................................................................................................................................... 21 Time Requirements for Filing Amended Forms ................................................................................. 22 D. Committees: Campaign Financial disclosure Reports ................................................................... 22 Committees Prohibited from Filing In-Lieu-Of Statements .............................................................. 23 2 Cannot Use CF-20 for Periodic Reports.............................................................................................. 24 Candidate Committees/Candidates Cannot File CF-20 ..................................................................... 24 A Change Back to Participation Status During the Election .............................................................. 24 Independent Expenditures Require Additional Disclosure ............................................................... 24 Use of Opinion Polls ........................................................................................................................... 25 Additional Instructions for Committees of Unsuccessful Candidates .............................................. 25 Elimination of Duplicate Filing for Certain Local Filers ..................................................................... 25 E. Village Elections .............................................................................................................................. 25 Certain Village Candidates/Committees May Claim Exemption ...................................................... 25 Town/Village Ballot Propositions ...................................................................................................... 26 Village Elections Run by Village Clerk ................................................................................................ 26 Village Elections Run by County Board .............................................................................................. 26 F. Additional Required Documentation ............................................................................................ 26 Campaign Loans and Debts ................................................................................................................ 26 Political Communication (Campaign Materials) Required ................................................................ 26 24-Hour Notices .................................................................................................................................. 27 Disclosure Report Required ............................................................................................................... 28 II. When Are Reports Filed? ....................................................................................................................... 29 A. Election Reports ............................................................................................................................. 29 B. Periodic reports .............................................................................................................................. 29 C. Unsuccessful Candidates ................................................................................................................ 30 D. Timing of Reports ........................................................................................................................... 30 Date Range for Reports ...................................................................................................................... 30 Methods of Submission ...................................................................................................................... 30 Verifying Receipt of Report ................................................................................................................ 30 When to File the First Campaign Financial Disclosure Report .......................................................... 31 1. Candidates ...................................................................................................................................... 31 2. Committees .................................................................................................................................... 31 Candidates or Authorized Committees with Pre-Existing Fling Obligations .................................... 31 Committees with Pre-Existing Filing Obligations .............................................................................. 31 Housekeeping Committee Reports .................................................................................................... 31 Independent Expenditure Committee Reports ................................................................................. 32 Where to Submit Campaign Financial Disclosure Reports ................................................................ 33 3 III. Where and How Are Reports Filed? ..................................................................................................... 34 A. State Candidates and Committees Supporting or Opposing Them .............................................. 34 B. Local Candidates and Committees Supporting or Opposing Them .............................................. 34 Filing Until Termination ..................................................................................................................... 35 New York City Candidates Have Additional Requirements .............................................................. 35 C. Village Candidates and Committees Supporting or Opposing Them ........................................... 35 Village Elections .................................................................................................................................. 35 Certain Village Candidates/Committees May Claim Exemption ...................................................... 36