TreatiseTreatise

Corporate Political Activities Deskbook

 by Kenneth A. Gross, Lawrence M. Noble, Ki P. Hong, Patricia M. Zweibel
 
 Copyright: 2012-2014
 Last Updated: June 2014

 Product Details >> 

Product Details

  • ISBN Number: 9781402417689
  • Page Count: 676
  • Number of Volumes: 1
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Corporate Political Activities Deskbook provides a thorough grounding in the current state of the law on federal and state campaign finance, pay-to-play, lobbying, and gift compliance. A practical manual for in-house attorneys advising corporations about involvement in the political process, this new Deskbook draws on the extensive practice and regulatory experience of Skadden, Arps authors Ken Gross, Ki Hong and Lawrence Noble.

After describing the impact of the seminal 2010 U.S. Supreme Court decision in Citizen’s United in expanding permitted corporate speech in the political realm, the Corporate Political Activities Deskbook walks the reader through the Federal Election Campaign Act (FECA) requirements in such areas as:

  • Permitted and prohibited corporate  activity in both the financial and in-kind areas
  • Who makes up the “restricted class” that may be approached for contributions to a corporate PAC
  • What federal dollar limits exist on financial and in-kind contributions to candidates
  • The difference between an “independent” and “coordinated” activity in support of a candidate
  • The specific FEC reporting requirements, including a line-by-line discussion of FEC Form 1, FEC Form 3L and others

Other chapters of the Corporate Political Activities Deskbook address federal lobbying and gift rules; the Foreign Agents Registration Act; and practice and appearances before the FEC. An additional chapter addresses state campaign finance, lobbying, gift, placement agent rules and pay-to-play rules, including the national rules affecting those that do business with state or local government entities, such as MSRB Rule G-37 and SEC Rule 206(4)-5.

The Deskbook appendices include helpful model documents, such as sample PAC bylaws, a PAC contribution card, and resolution establishing a PAC.  In addition, summary charts  of the 50 state contribution and lobbying laws are included. Rather than the extensive analytical approach of a treatise, the Corporate Political Activities Deskbook emphasizes the rules and provides practical examples of best practices and “do’s and don’ts.”  In many cases, the suggestions go beyond the black letter requirements to incorporate advice about practices that will help the reader utilize the available avenues of interacting with the government while avoiding negative press, public as well as legal regulatory attention.

  Introduction and Acknowledgments
  Preface
  Table of Contents
Chapter 1: Campaign Finance Under the Federal Election Campaign Act of 1971 (FECA); and Appendices 1A-1B
  • § 1:1 : FECA and the Citizens United Decision1-2
    • § 1:1.1 : FECA and the McCutcheon Decision1-5
  • § 1:2 : Specific Prohibitions Against Corporate Contributions1-7
    • § 1:2.1 : National Bank Prohibition1-7
    • § 1:2.2 : Foreign National Prohibition1-8
  • § 1:3 : Other Specific Prohibitions1-9
    • § 1:3.1 : Contractor Ban1-9
    • § 1:3.2 : Officer and Director Liability1-10
    • § 1:3.3 : “Name of Another” Fraud Schemes1-10
      • [A] : Classic Markers of Criminal Fraud1-10
  • § 1:4 : What Political Activity Can Be Engaged In by Corporations?1-11
    • § 1:4.1 : Commercial Transactions with a Candidate1-11
    • § 1:4.2 : Bank and Brokerage Loans1-12
    • § 1:4.3 : Special Provision for Vendors of Food and Beverages1-12
  • § 1:5 : Non-Federal Contributions1-13
  • § 1:6 : Appearances by Officeholders1-13
    • § 1:6.1 : “Meet and Greets” and Non-Political Appearances on Company Premises1-13
    • § 1:6.2 : Candidate Appearances1-14
  • § 1:7 : Communicating with Corporate Managers and Stockholders (The Restricted Class)1-15
    • § 1:7.1 : The General Rule1-15
    • § 1:7.2 : Registration and Get-Out-the-Vote Drives1-17
  • § 1:8 : Public Communications1-17
    • § 1:8.1 : Special Rule for Public Endorsements of a Candidate1-17
    • § 1:8.2 : Public Get-Out-the-Vote Efforts1-18
    • § 1:8.3 : Voter Education Activities1-18
  • § 1:9 : Independent Expenditures1-19
    • § 1:9.1 : What Is an “Independent Expenditure”?1-19
  • § 1:10 : What Is a “Coordinated Communication”?1-20
    • § 1:10.1 : Content Requirement: The Subject Matter of the Communication1-21
    • § 1:10.2 : Conduct Requirement: Level of Interaction Between the Spender and the Benefiting Candidate1-21
    • § 1:10.3 : Safe Harbor Exception1-22
  • § 1:11 : What Is an “Electioneering Communication”?1-22
    • § 1:11.1 : Reporting Requirements for Electioneering Communications1-23
  • § 1:12 : Donations to Nonprofit Issue or Advocacy Organizations1-24
  • § 1:13 : Use of Corporate Assets1-25
    • § 1:13.1 : Facilities and Employee Services1-25
    • § 1:13.2 : Corporate Aircraft1-26
    • § 1:13.3 : Legal and Accounting Services1-28
  • § 1:14 : Media Companies—Press Exemption1-28
  • § 1:15 : Other Activity Subject to Exemption or Special Treatment Under FECA1-29
    • § 1:15.1 : Sponsorship of Candidate Debates1-29
    • § 1:15.2 : Presidential Nominating Convention Activities1-30
      • [A] : Convention Activity of Commercial Vendors1-30
      • [B] : Services and Goods1-31
      • [C] : Host Committee Contributions1-32
  • § 1:16 : Presidential Inaugural Activities1-33
  • § 1:17 : Best Practices1-34
  • Appendix 1A : Checklist for Candidate and Officeholder EventsApp. 1A-1
  • Appendix 1B : SpeechNow v. FECApp. 1B-1
Chapter 2: Political Action Committees; and Appendices 2A-2F
  • § 2:1 : Introduction2-1
  • § 2:2 : Establishing a Federal PAC2-5
    • § 2:2.1 : Internal Corporate Steps and PAC Structure2-5
      • [A] : Corporate Authorization2-5
      • [B] : Legal Form of the PAC2-5
      • [C] : Multiple Federal PACs—Pros and Cons2-6
      • [D] : PAC Name2-7
      • [E] : Treasurer2-8
      • [F] : Membership2-8
    • § 2:2.2 : Other Organizational Issues2-9
      • [A] : Affiliation2-9
      • [B] : Impact of Corporate Restructuring2-10
      • [C] : Additional Considerations for PACs of Domestic Subsidiaries of Foreign Companies2-11
      • [D] : PAC Solicitation of Foreign Nationals2-12
    • § 2:2.3 : Articles/By-Laws Checklist2-13
    • § 2:2.4 : PAC Officers: Their Powers and Responsibilities2-14
      • [A] : Duties and Responsibilities of the Treasurer2-14
    • § 2:2.5 : PAC Registration and Tax Status2-15
      • [A] : Registration2-15
      • [B] : Federal and State Tax Status of Corporate PACs2-16
    • § 2:2.6 : Introducing the PAC to Potential Contributors2-17
  • § 2:3 : Operating a PAC2-18
    • § 2:3.1 : Permissible Corporate Support of the PAC2-18
    • § 2:3.2 : Contribution Limits—Financial2-19
      • [A] : Achieving Multi-Candidate Political Committee Status2-19
      • [B] : Contributions to the PAC2-20
      • [C] : Multi-Candidate PAC Contributions to Candidates2-20
      • [D] : Designation of Contribution for Primary or General Election2-20
    • § 2:3.3 : Other Candidate Support2-22
      • [A] : In-Kind Contributions2-22
      • [B] : Valuation of In-Kind Contributions2-22
      • [C] : Election Designation for In-Kind Contributions2-22
    • § 2:3.4 : Independent Expenditures: Independent Versus Coordinated Communications2-23
      • [A] : Content Prong2-24
      • [B] : Conduct Prong2-24
  • § 2:4 : Soliciting Contributions: Who May Be Solicited?2-26
    • § 2:4.1 : The Solicitable Class Defined2-26
      • [A] : Employees2-26
      • [B] : Employees of Related Entities2-27
      • [C] : Stockholders2-28
      • [D] : Family Members2-28
    • § 2:4.2 : Practice Suggestion: Defining the Restricted Class and Determining Who to Solicit2-28
    • § 2:4.3 : Limited Solicitation of All Employees2-29
    • § 2:4.4 : What May Be Said to All Employees in General Corporate Communications2-30
  • § 2:5 : Soliciting Contributions: Solicitation Methods and Procedures2-31
    • § 2:5.1 : FECA’s Anti-Coercion Focus2-31
    • § 2:5.2 : Solicitation Methods Available to Unions2-32
    • § 2:5.3 : Soliciting via Mail or Email2-33
    • § 2:5.4 : Other Fundraising Mechanisms: Raffles and Events2-34
      • [A] : Tax Issue re Raffles: Exempt Function Income2-34
  • § 2:6 : Contributions Through Payroll Deduction2-35
    • § 2:6.1 : In General2-35
    • § 2:6.2 : Affirmative Authorization2-36
    • § 2:6.3 : Payroll Deduction Process: Collecting Agent Rules2-37
      • [A] : Solicitation Restrictions2-37
      • [B] : Handling of the PAC Contributions2-37
      • [C] : Use of Corporate Accounts for Payroll Deduction2-38
      • [D] : Role of Payroll Vendors2-38
      • [E] : Reciprocal Union PAC Payroll Deductions2-38
  • § 2:7 : PAC Contributions to Candidates2-38
    • § 2:7.1 : Choosing Contribution Recipients2-38
    • § 2:7.2 : Transmittal/Delivery of Contribution Checks2-39
  • § 2:8 : PAC Reporting and Recordkeeping2-39
    • § 2:8.1 : General Reporting Requirements2-39
      • [A] : Coverage of First Report2-39
      • [B] : Best Efforts2-40
      • [C] : Timely Filing2-40
      • [D] : Electronic Filing2-40
      • [E] : Public Review of Reports2-41
      • [F] : “Sale or Use” Restriction2-41
    • § 2:8.2 : FEC Reporting Schedules2-41
      • [A] : Administrative Fines for Late Filing2-43
    • § 2:8.3 : Contents of Reports2-43
      • [A] : FEC Form 3X2-43
      • [B] : Schedule A—Itemized Receipts2-46
    • § 2:8.4 : Miscellaneous Receipt Issues2-50
      • [A] : Reporting Payroll Deduction Contributions Through a Collecting Agent2-50
      • [B] : Itemization of Payroll Deduction Contributions2-51
      • [C] : Names on Checks—Joint Contributions2-51
      • [D] : Returned or Bounced Checks2-52
    • § 2:8.5 : Schedule B Itemized Disbursements2-52
      • [A] : Parallel Itemization Threshold2-53
      • [B] : Itemization Threshold for Disbursements Other Than Contributions to Candidates2-54
    • § 2:8.6 : Policy Issues About Disbursements2-56
      • [A] : Reporting the “Purpose of Disbursement”2-56
      • [B] : Completing the Category Code2-57
      • [C] : Treatment of In-Kind Contributions2-57
      • [D] : Earmarked Contributions2-58
      • [E] : In General2-58
    • § 2:8.7 : Schedule E—Reporting Independent Expenditures2-58
      • [A] : Itemization2-58
      • [B] : Treasurer Certification2-59
      • [C] : Timing of Special Independent Expenditure Reports2-59
      • [D] : Twenty-Four-Hour Notices of Independent Expenditures2-60
      • [E] : Forty-Eight-Hour Independent Expenditure Reports2-60
      • [F] : Electronic Filing2-61
      • [G] : Aggregation Requirements2-61
      • [H] : Dates for Aggregation2-61
    • § 2:8.8 : Other Reporting Issues2-61
      • [A] : Investment Income2-61
      • [B] : Bank Loans—Schedule C-12-62
    • § 2:8.9 : Documents and PAC Recordkeeping2-64
      • [A] : Email2-64
      • [B] : What Records Must Be Retained?2-64
      • [C] : How Long Must Records Be Retained?2-64
      • [D] : FEC Guidance About Recordkeeping Policies and Procedures2-64
      • [E] : Contribution Limits Applicable to PAC Activities2-65
  • § 2:9 : Special Membership and Solicitation Rules for Trade Associations2-67
    • § 2:9.1 : Solicitation of Voluntary Contributions to a PAC or SSF of a Trade Association2-67
      • [A] : Who May Be Solicited?2-67
        • [A][1] : Individual Members2-67
        • [A][2] : Trade Association Employees2-67
        • [A][3] : The Restricted Class of Member Corporations2-68
          • [A][3][a] : Prior Approval2-68
          • [A][3][b] : Making a Request2-69
        • [A][4] : Affiliated Companies2-69
    • § 2:9.2 : Method and Number of Permitted Solicitations2-70
  • Appendix 2A : Sample Resolution Establishing a PACApp. 2A-1
  • Appendix 2B : Sample PAC By-LawsApp. 2B-1
  • Appendix 2C : Sample PAC Contribution CardApp. 2C-1
  • Appendix 2D : FEC Document on Internal Controls and Political CommitteesApp. 2D-1
  • Appendix 2E : TranscanadaApp. 2E-1
  • Appendix 2F : FEC Notice Regarding Treasurer LiabilityApp. 2F-1
Chapter 3: Executive Fundraising; and Appendices 3A-3D
  • § 3:1 : Introduction3-2
  • § 3:2 : Contribution to a Candidate3-2
    • § 3:2.1 : Definition of Contribution3-2
    • § 3:2.2 : Exempted Activity3-3
      • [A] : Volunteer Activity3-3
      • [B] : Use of a Personal Residence3-3
      • [C] : Travel and Living Expenses3-3
  • § 3:3 : Are Corporate Resources Used?3-3
    • § 3:3.1 : Time Spent on Volunteer Activity3-4
    • § 3:3.2 : Spending by the Executive3-4
  • § 3:4 : Use of Corporate Resources for External Fundraising3-5
    • § 3:4.1 : General Rule3-5
    • § 3:4.2 : Use of Facilities Incidental to Volunteer Activity Exemption3-5
    • § 3:4.3 : Use of Staff and Other Resources Exemption—Advance Payment Required3-6
  • § 3:5 : Bundling and Conduit Reporting3-7
    • § 3:5.1 : Conduit Forwarding and/or Reporting Rules3-8
      • [A] : To the Campaign Committee3-8
      • [B] : To the FEC3-9
  • § 3:6 : Additional Bundled Contribution Reporting Requirements for Lobbyists3-9
    • § 3:6.1 : Reporting Rules Regarding Bundled Contributions by Lobbyists3-10
    • § 3:6.2 : Lobbyist/Registrants and Lobbyist/Registrant PACs3-10
    • § 3:6.3 : Definition of a Bundled Contribution3-11
    • § 3:6.4 : Impact of Records on Bundling Status3-11
    • § 3:6.5 : Is Everyone Credited As a Fundraiser by a Reporting Committee Considered a Bundler for Reporting Purposes If They Are Employed by a Company Registered As Employing Lobbyists?3-11
    • § 3:6.6 : Application of the $17,100 Threshold If More Than One Lobbyist Co-Sponsors a Fundraising Event3-12
    • § 3:6.7 : Determining Whether a Person Is Reasonably Known to Be a Lobbyist/Registrant or Lobbyist/Registrant PAC3-13
    • § 3:6.8 : Effective Date for the Additional Lobbyist Contribution Reporting Rules3-13
  • § 3:7 : Summary of Executive Fundraising Dos and Don’ts3-14
  • § 3:8 : The Organization— Types That Frequently Solicit Donations3-15
    • § 3:8.1 : Brief Introduction to Tax-Exempt Organizations3-15
    • § 3:8.2 : Background of 527s3-16
  • Appendix 3A : FEC Form 3L: Report of Contributions3-18
  • Appendix 3B : Instructions for FEC Form 3LApp. 3A-3
  • Appendix 3C : FEC Form 1: Statement of OrganizationApp. 3C-1
  • Appendix 3D : Instructions for FEC Form 1App. 3D-1
Chapter 4: State Laws, Rules and Policies Impacting Corporate Government Relations; and Appendices 4A-4B
  • § 4:1 : Introduction—Campaign Finance4-1
    • § 4:1.1 : Prohibitions4-2
    • § 4:1.2 : Federal Election Financing Requirements4-2
  • § 4:2 : Corporate Contributions to State/Local Candidates, Party Committees and PACs4-2
  • § 4:3 : Treatment of Federal PACs Under State Laws and Regulations4-4
  • § 4:4 : State Lobby Laws and Gift Laws4-6
    • § 4:4.1 : Lobby Laws4-6
    • § 4:4.2 : Gift Laws4-7
  • § 4:5 : Placement Agent Rules4-7
    • § 4:5.1 : National Rules4-8
    • § 4:5.2 : State and Local Rules4-10
  • Appendix 4A : Survey of Federal and State Lobbying LawsApp. 4A-1
  • Appendix 4B : Survey of State Contribution LawsApp. 4B-1
Chapter 5: Pay-to-Play Rules; and Appendices 5A-5B
  • § 5:1 : What Are Pay-to-Play Rules?5-3
  • § 5:2 : Basic Features of Pay-to-Play Laws5-4
  • § 5:3 : Municipal Securities and the MSRB5-6
  • § 5:4 : MSRB Rule G-375-6
    • § 5:4.1 : Restrictions and Reporting Requirements Under Rule G-375-6
  • § 5:5 : Terms Defined Under the Rule5-7
    • § 5:5.1 : Which Government Officials Are Covered Under This Rule?5-7
    • § 5:5.2 : What Does “Municipal Securities Business” Mean?5-8
    • § 5:5.3 : What Is a “Contribution”?5-9
    • § 5:5.4 : What Is an “MFP”?5-9
      • [A] : Newly Hired or Qualified MFPs: Retroactivity of MFP Status5-10
      • [B] : Former MFPs: Retention of MFP Status5-11
  • § 5:6 : Treatment of MFP Contributions5-11
    • § 5:6.1 : Contribution Checks from Joint Bank Account5-11
    • § 5:6.2 : Volunteer Work5-12
    • § 5:6.3 : Contributions to National, State, or Local Political Parties5-12
    • § 5:6.4 : Attendance at Fundraisers5-14
  • § 5:7 : Exemption from the Ban5-14
    • § 5:7.1 : Automatic Exemption5-14
    • § 5:7.2 : Discretionary Exemption5-14
  • § 5:8 : Reporting Requirements5-15
    • § 5:8.1 : Who Is Required to Report?5-15
    • § 5:8.2 : When Are the Reports Due?5-15
    • § 5:8.3 : What Must Be Reported?5-16
      • [A] : Reporting of Contributions5-16
      • [B] : Reporting of Municipal Securities Business5-16
  • § 5:9 : MSRB Rule G-385-16
    • § 5:9.1 : Communications with Issuers That Are Not Solicitations5-17
      • [A] : Incidental Communications with Issuer5-17
      • [B] : Limited Promotional Communications5-18
      • [C] : Post-Selection Communications5-18
      • [D] : Communications Incidental to Providing Recognized Professional Services5-19
      • [E] : Communications with Private Obligor in a Conduit Issuance5-19
  • § 5:10 : MSRB Rule G-205-19
    • § 5:10.1 : Exemptions from MSRB Rule G-205-19
  • § 5:11 : Enforcement of MSRB Rules G-37, G-38, and G-205-20
  • § 5:12 : Changes to MSRB Rule G-375-20
    • § 5:12.1 : Contributions to Bond Ballot Campaign Committees5-20
    • § 5:12.2 : Affiliated Bank PACs5-22
  • § 5:13 : SEC Pay-to-Play Rule Applicable to Investment Advisers5-23
    • § 5:13.1 : Who Is Covered?5-24
    • § 5:13.2 : What Is a “Covered Associate”?5-24
    • § 5:13.3 : What Is the Extent of the Ban?5-25
    • § 5:13.4 : Who Are Covered Officials?5-26
    • § 5:13.5 : What Are Covered Investment Pools?5-26
    • § 5:13.6 : Ban on Indirect Contributions5-27
    • § 5:13.7 : Recordkeeping Requirement5-28
    • § 5:13.8 : Exemptions5-28
    • § 5:13.9 : Placement Agent Ban5-29
    • § 5:13.10 : Effective Dates5-30
  • § 5:14 : CFTC Pay-to-Play Rule for Swaps5-30
    • § 5:14.1 : What Type of Business Is Covered?5-31
    • § 5:14.2 : Prohibition on Political Contributions5-31
    • § 5:14.3 : Definitions and Additional Provisions5-31
    • § 5:14.4 : Exemptions5-33
    • § 5:14.5 : Indirect Violations5-34
  • § 5:15 : Proposed SEC Rule for Swaps5-34
    • § 5:15.1 : Differences Between the Proposed SEC Rule and the Proposed CFTC Pay-to-Play Rule5-34
    • § 5:15.2 : What Type of Business Is Covered?5-35
    • § 5:15.3 : Prohibitions on Political Contributions5-35
    • § 5:15.4 : Definitions and Additional Provisions5-35
    • § 5:15.5 : Exemptions5-36
    • § 5:15.6 : Additional Prohibitions Under the Rule5-37
    • § 5:15.7 : Indirect Violations5-37
    • § 5:15.8 : Recordkeeping5-37
  • § 5:16 : MSRB Proposed Rule G-425-37
    • § 5:16.1 : What Is a Municipal Advisor?5-38
  • Appendix 5A : MSRB RULE G-37 Rule G-37 Political Contributions and Prohibitions on Municipal Securities BusinessApp. 5A-1
  • Appendix 5B : MSRB Rule G-38App. 5B-1
Chapter 6: Federal Lobbying and Gift Laws; and Appendices 6A-6B
  • § 6:1 : Introduction6-3
  • § 6:2 : Summary of the LDA6-3
  • § 6:3 : LDA Definitions6-4
    • § 6:3.1 : What Is a Lobbyist?6-4
    • § 6:3.2 : What Is Lobbying Activity?6-4
    • § 6:3.3 : What Is a Lobbying Contact?6-4
    • § 6:3.4 : Who Are Covered Executive Branch Officials?6-6
    • § 6:3.5 : Proposed Amendments to the LDA Under the STOCK Act6-6
  • § 6:4 : Registration and Reporting Requirements Under the LDA6-7
    • § 6:4.1 : Registration6-7
    • § 6:4.2 : Quarterly Lobbying Activity Reports (“LD-2”)6-9
      • [A] : Lobbying Expenditures6-9
      • [B] : Lobbying Issues6-13
      • [C] : Updates6-13
    • § 6:4.3 : Semi-Annual Fundraising, Donation and Expenditure Report (“Form LD-203”)6-13
      • [A] : LD-203 Certification of Knowledge of, and Compliance with, Congressional Gift Rule6-16
      • [B] : Liability for Violating the House and Senate Gift Rules Under HLOGA6-17
  • § 6:5 : Audit and Review of Reports6-17
    • § 6:5.1 : Random Audits by the Government Accountability Office (GAO)6-17
    • § 6:5.2 : Reporting Review, Enforcement, and Penalties6-17
  • § 6:6 : Restrictions on Certain Lobbyist Communications6-18
    • § 6:6.1 : The Ban6-19
    • § 6:6.2 : Reporting6-20
    • § 6:6.3 : Other Lobbyist Restrictions6-20
  • § 6:7 : Interaction of House of Representatives Ethics Rules and HLOGA6-21
    • § 6:7.1 : FECA Change—Recipient Campaigns Required to Disclose Lobbyist-Bundled Political Contributions6-21
    • § 6:7.2 : “Sense of the Congress” Regarding Lobbyist Self-Regulatory Organizations6-22
  • § 6:8 : Gifts and Travel6-22
    • § 6:8.1 : Donor Liability6-23
    • § 6:8.2 : Senate Ban on Gifts6-23
    • § 6:8.3 : Senate Valuation of Event Tickets6-23
    • § 6:8.4 : Senate Additional Restrictions on Fact-Finding Trips6-23
      • [A] : For Lobbyists6-23
      • [B] : For Lobbyist Employers6-24
    • § 6:8.5 : Senate Requirement to Pre-Approve All Exempt Fact-Finding Trips6-24
      • [A] : Pre-Approval6-24
      • [B] : Certification Requirement6-24
      • [C] : Post-Trip Disclosure by Members and Staff6-24
    • § 6:8.6 : House Travel Rules6-25
    • § 6:8.7 : Additional Travel Disclosure6-26
    • § 6:8.8 : Flights on Private Aircraft6-26
      • [A] : Restrictions on Use of Campaign Funds6-26
      • [B] : Non-Campaign Flights on Private Aircraft6-26
    • § 6:8.9 : Senate Exemption for Constituent Events6-27
  • § 6:9 : House and Senate Restrictions on Attending Events During a National Party Convention6-27
    • § 6:9.1 : Issues Specific to Events During National Party Conventions6-27
    • § 6:9.2 : Honorary Convention Event Ban—House Guidance6-28
    • § 6:9.3 : Honorary Convention Event Ban—Senate Guidance6-29
    • § 6:9.4 : FECA Regulation of Corporate Contributions to the National Party Convention Committees6-30
    • § 6:9.5 : LDA Reporting and Convention Events6-30
  • § 6:10 : Other Ethical Standards6-31
    • § 6:10.1 : Expansion of the Length and Scope of the “Cooling-Off” Periods6-31
      • [A] : House6-31
      • [B] : Senate6-31
      • [C] : Executive Branch6-31
    • § 6:10.2 : Notice and Publication of Restrictions6-31
    • § 6:10.3 : Ending Senate Floor and Other Privileges6-32
  • § 6:11 : Application of Federal Gift Rules to Members of Congress and Staff6-32
    • § 6:11.1 : What Is a Gift?6-33
    • § 6:11.2 : What Is Not Considered a Gift?6-33
    • § 6:11.3 : Limitations on the Receipt of Gifts6-36
      • [A] : From a Person Who Is Not a Lobbyist or an Agent of a Foreign Principal6-36
      • [B] : From a Person Who Is a Lobbyist or an Agent of a Foreign Principal6-36
  • § 6:12 : Application of Federal Gift Rules to the Executive Branch6-37
    • § 6:12.1 : General Rule6-37
    • § 6:12.2 : Exceptions6-37
    • § 6:12.3 : President Obama’s Executive Order Gift Rule6-40
      • [A] : General Rule6-40
      • [B] : Disallowed OGE Gift Rule Exemptions6-40
      • [C] : OGE Gift Rule Exemptions Retained6-41
      • [D] : Additional OGE Guidance6-42
      • [E] : Extension of the Executive Order6-42
  • § 6:13 : Other Laws6-43
  • § 6:14 : Additional Information: Relevant Governmental Websites6-44
  • Appendix 6A : House Ethics Guidance on ConventionsApp. 6A-1
  • Appendix 6B : Senate Ethics Guidance on ConventionsApp. 6B-1
Chapter 7: The Foreign Agents Registration Act (FARA)
  • § 7:1 : Introduction7-1
  • § 7:2 : FARA Requirements7-2
    • § 7:2.1 : Triggering of the Law7-2
    • § 7:2.2 : Exemptions7-3
    • § 7:2.3 : Contents of the FARA Registration Statement7-4
    • § 7:2.4 : Requirements After Initial Registration7-4
  • § 7:3 : FARA Penalties and Enforcement7-4
  • § 7:4 : Related Website7-5
Chapter 8: The Federal Election Commission: Processes and Enforcement; and Appendix 8A
  • § 8:1 : Introduction8-2
  • § 8:2 : Advisory Opinions8-3
    • § 8:2.1 : Timetable for Issuance of Advisory Opinions8-3
    • § 8:2.2 : Withdrawal of the AOR8-4
  • § 8:3 : FEC Educational Outreach8-4
  • § 8:4 : FEC Enforcement: Summary of Features8-4
    • § 8:4.1 : Generation of Cases8-5
  • § 8:5 : Bringing a Complaint-Generated Case8-5
    • § 8:5.1 : Complaint Requisites and Notifications8-5
    • § 8:5.2 : Time to Respond8-6
    • § 8:5.3 : Response Issues8-6
      • [A] : Designation of Counsel8-6
      • [B] : Response Strategies8-6
    • § 8:5.4 : The First Stage: Determining Whether to Open an Investigation—“Reason to Believe”8-6
    • § 8:5.5 : The Second Stage: The Investigation8-7
    • § 8:5.6 : FEC Administrative Subpoenas8-8
      • [A] : Specific Concerns About Subpoenas Issued to Financial Institutions8-8
    • § 8:5.7 : Enforcement Depositions8-9
    • § 8:5.8 : Investigators8-10
      • [A] : FEC Contact with Corporate Employees8-10
    • § 8:5.9 : Stage Three: Early Resolution of Complaint (Pre-Probable Cause Conciliation)8-11
      • [A] : Mechanics of a Negotiation with the FEC8-12
      • [B] : What Happens Next?8-12
    • § 8:5.10 : Stage Four, If Negotiation Fails: “Probable Cause to Believe”8-13
      • [A] : General Counsel’s and Respondent’s Briefs8-13
      • [B] : Information Exchange at This Stage8-13
    • § 8:5.11 : Oral Hearing Before the FEC8-13
    • § 8:5.12 : Closing Steps8-14
  • § 8:6 : FEC Alternative Approaches to Enforcement Cases8-14
    • § 8:6.1 : Alternative Dispute Resolution Program8-14
    • § 8:6.2 : Self-Reporting of FECA Violations (Sua Sponte Policy)8-15
      • [A] : Fast-Track Resolution8-15
      • [B] : Form of Fast-Track Resolution8-15
  • § 8:7 : Other Enforcement Issues8-16
    • § 8:7.1 : Complainant’s Role8-16
    • § 8:7.2 : Confidentiality and Closed Enforcement Matters8-16
    • § 8:7.3 : Statute of Limitations8-16
  • § 8:8 : Criminal Prosecution by the Department of Justice8-17
    • § 8:8.1 : Civil Versus Criminal Jurisdiction; Violations8-17
    • § 8:8.2 : Criminal FECA Violations8-18
    • § 8:8.3 : FEC/DOJ Memorandum of Understanding and Current Trend8-18
  • § 8:9 : Other Regulators8-19
    • § 8:9.1 : Contact List for Regulatory Bodies8-20
  • Appendix 8A : Safe Harbor and Sua Sponte Submission Policies Under the FEC8-21
Appendix A: Citizens United v. FEC
Appendix B: McCutcheon v. FEC
  Index

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