Page 1
FEDERAL ELECTION
CAMPAIGN LAWS
Compiled by
THE
FEDERAL
ELECTION
COMMISSION
SEPTEMBER 2004
Page 2
FEDERAL ELECTION
CAMPAIGN LAWS
Compiled by
THE
FEDERAL
ELECTION
COMMISSION
SEPTEMBER 2004
Page 3
THE FEDERAL ELECTION COMMISSION
Washington, D.C. 20463
COMMISSIONERS
BRADLEY A. SMITH, Chairman
ELLEN L. WEINTRAUB, Vice Chair
DAVID M. MASON, Commissioner
DANNY L. McDONALD, Commissioner
SCOTT E. THOMAS, Commissioner
MICHAEL E. TONER, Commissioner
First Printing, September 2004
Page 4
PREFACE
The Federal Election Commission (FEC) has prepared this new
compilation of Federal campaign laws as an informative service to the
general public.
There are three major sections of this new compilation:
1. FEDERAL ELECTION CAMPAIGN LAWS: The text of the
“Federal Election Campaign Act (FECA) of 1971,” as amended, the
“Presidential Election Campaign Fund Act,” as amended, and the “Presi-
dential Primary Matching Payment Account Act,” as amended, contained
in titles 2 and 26 of the United States Code. (See Amendments in 1974,
1976, 1977, 1979, 1981, 1983, 1984, 1989, 1990, 1991, 1992, 1993,
1994, 1995, 1996, 1999, 2000, 2002 and 2004: Pub. L. No. 93-443,
Pub. L. No. 94-283, Pub. L. No. 95-216, Pub. L. No. 96-187, Pub. L.
No. 97-51, Pub. L. No. 98-63, Pub. L. No. 98-355, Pub. L. No. 98-620,
Pub. L. No. 100-352, Pub. L. No. 101-194, Pub. L. No. 101-280, Pub.
L. No. 102-90, Pub. L. No. 102-393, Pub. L. No. 103-66, Pub. L. No.
103-272, Pub. L. No. 104-79, Pub. L. No. 104-88, Pub. L. No. 104-287,
Pub. L. No. 106-58, Pub. L. No. 106-346, Pub. L. No. 107-155 and Pub.
L. No. 108-199 respectively.)
2. APPENDIX: The text of additional provisions of the United
States Code, which are not in the FECA but may be relevant to persons
involved with Federal elections, current through September 2004.
3. INDEX TO TITLES 2 and 26: A special index prepared by the
FEC.
This compilation is presented in codified form, with FECA section
numbers converted to United States Code section numbers, in order to
facilitate cross-references between this pamphlet, the United States Code,
and the United States Code Annotated.
Readers should be aware that some terms in the law are defined
differently in different titles. Thus, the meaning of a particular term may
not be consistent throughout this pamphlet. Note, therefore, the defini-
tions provided in each title or section.
Copies of this compilation are available from the Federal Election
Commission, Washington, D.C. 20463.
Page 5
iv
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CONTENTS
UNITED STATES CODE
TITLE 2. THE CONGRESS
Chapter 14—Federal Election Campaigns ...........................................................................1
Subchapter 1—Disclosure of Federal Campaign Funds ......................................................1
Sec. 431.
Definitions ......................................................................................1
(1)
Election ...........................................................................................1
(2)
Candidate ........................................................................................1
(3)
Federal office ..................................................................................1
(4)
Political committee .........................................................................1
(5)
Principal campaign committee .......................................................2
(6)
Authorized committee ....................................................................2
(7)
Connected organization ..................................................................2
(8)
Contribution ....................................................................................2
(9)
Expenditure .....................................................................................6
(10)
Commission ....................................................................................9
(11)
Person .............................................................................................9
(12)
State ..............................................................................................9
(13)
Identification ...................................................................................9
(14)
National committee .........................................................................9
(15)
State committee ..............................................................................9
(16)
Political party ................................................................................10
(17)
Independent expenditure ...............................................................10
(18)
Clearly identified ..........................................................................10
(19)
Act ............................................................................................10
(20)
Federal election activity ................................................................10
(21)
Generic campaign activity ............................................................11
(22)
Public communication ..................................................................11
(23)
Mass mailing ................................................................................11
(24)
Telephone bank .............................................................................12
(25)
Election cycle ...............................................................................12
(26)
Personal funds ...............................................................................12
Sec. 432.
Organization of political committees ...........................................13
(a)
Treasurer: vacancy; official authorizations ...................................13
(b)
Account of contributions; segregated funds .................................13
(c)
Recordkeeping ..............................................................................13
(d)
Preservation of records and copies of reports ...............................14
(e)
Principal and additional campaign committees; designa tions,
status of candidate, authorized committees, etc. .....................14
(f)
Filing with and receipt of designations, statements, and
reports by principal campaign committee ...............................15
(g)
Filing with and receipt of designations, statements, and
re ports by the Secretary of Senate; forwarding to
Commission; filing requirements with Commission;
public inspection and preservation of designations, etc. .........15
(h)
Campaign depositories; designations, maintenance of
ac counts, etc.; petty cash fund for disbursements;
record of disburse ments ..........................................................16
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Federal Election Campaign Laws
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(i)
Reports and records, compliance with requirements
based on best efforts ................................................................16
Sec. 433.
Registration of political committees .............................................16
(a)
Statements of organizations ..........................................................16
(b)
Contents of statement ...................................................................17
(c)
Change of information in statements ............................................17
(d)
Termination, etc., requirements and authorities ...........................17
Sec. 434.
Reporting requirements ................................................................17
(a)
Receipts and disbursements by treasurers of political
com mittees; filing requirements ..............................................17
(b)
Contents of reports ........................................................................25
(c)
Statements by other than political committees; filing;
contents; indices of expenditures ............................................30
(d)
Use of facsimile machines and electronic mail to file
independent expenditure statements ........................................30
(e)
Political committee .......................................................................31
(f)
Disclosure of electioneering communications ..............................32
(g)
Time for reporting certain expenditures .......................................35
(h)
Reports from inaugural committee ...............................................36
Sec. 437.
Reports on convention financing ..................................................36
Sec. 437c.
Federal Election Commission .......................................................37
(a)
Establishment; membership; term of office; vacancies;
qualifications; compensation; chairman and
vice chairman ..........................................................................37
(b)
Administration, enforcement, and formulation of policy;
exclusive jurisdiction of civil enforcement; Congressional
authorities or functions with respect to elections for
Federal office ...........................................................................38
(c)
Voting requirements; delegation of authorities .............................39
(d)
Meetings .......................................................................................39
(e)
Rules for conduct of activities; judicial notice of seal; principal
office ........................................................................................39
(f)
Staff director and general counsel; appointment and
com pensation; appointment and compensation of
personnel and procure ment of intermittent services
by staff director; use of assistance, per sonnel, and facilities
of Federal agencies and departments; counsel for defense
of actions .................................................................................39
Sec. 437d.
Powers of the Commission ...........................................................40
(a)
Specific authorities .......................................................................40
(b)
Judicial orders for compliance with subpoenas and orders
of Commission; contempt of court ..........................................41
(c)
Civil liability for disclosure of information ..................................41
(d)
Concurrent transmissions to Congress or member of
budg et estimates, etc.; prior submission of legislative
recommendations, testimony, or comments on legislation ......41
(e)
Exclusive civil remedy for enforcement .......................................42
Sec. 437f.
Advisory opinions ........................................................................42
(a)
Requests by persons, candidates, or authorized committees; sub-
ject matter; time for response ..................................................42
(b)
Procedures applicable to initial proposal of rules or
regu lations, and advisory opinions ..........................................42
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(c)
Persons entitled to rely upon opinions; scope of protection
for good faith reliance .............................................................42
(d)
Requests made public; submission of written comments
by interested public .................................................................43
Sec. 437g.
Enforcement ..................................................................................43
(a)
Administrative and judicial practice and procedure .....................43
(b)
Notice to persons not filing required reports prior to
insti tution of enforcement action; publication of
identity of persons and unfiled reports ....................................49
(c)
Reports by Attorney General of apparent violations ....................49
(d)
Penalties; defenses; mitigation of offenses ...................................49
Sec. 437h.
Judicial review ..............................................................................51
Sec. 438.
Administrative provisions .............................................................51
(a)
Duties of Commission ..................................................................51
(b)
Audits and field investigations ......................................................52
(c)
Statutory provisions applicable to forms and information-gather-
ing activities ............................................................................53
(d)
Rules, regulations, or forms; issuance, procedures
applicable, etc. .........................................................................53
(e)
Scope of protection for good faith reliance upon rules or
regulations ...............................................................................54
(f)
Promulgation of rules, regulations, and forms by Commission
and Internal Revenue Service; report to Congress on
cooperative efforts ...................................................................54
Sec. 438a.
Maintenance of website of election reports ..................................54
(a)
In general ......................................................................................54
(b)
Election-related report ..................................................................54
(c)
Coordination with other agencies .................................................54
Sec. 439.
Statements filed with State officers; “appropriate State”
defined; duties of State officers; waiver of duplicate filing
requirements for States with electronic access ........................55
Sec. 439a.
Use of contributed amounts for certain purposes .........................56
(a)
Permitted uses ...............................................................................56
(b)
Prohibited use ...............................................................................56
Sec. 439c.
Authorization of appropriations ....................................................57
Sec. 441a.
Limitations, contributions, and expenditures ................................57
(a)
Dollar limits on contributions .......................................................57
(b)
Dollar limits on expenditures by candidates for office
of President of the United States .............................................61
(c)
Increases on limits based on increases in price index ..................62
(d)
Expenditures by national committee, State committee,
or subordinate committee of State committee in
connection with general election campaign of candidates
for Federal office .....................................................................63
(e)
Certification and publication of estimated voting age
popu lation ................................................................................64
(f)
Prohibited contributions and expenditures ...................................64
(g)
Attribution of multi-State expenditures to candidate’s
expenditure limitation in each State .......................................65
(h)
Senatorial candidates ....................................................................65
(i)
Increased limit to allow response to expenditures from personal
funds ........................................................................................65
(j)
Limitation on repayments of personal loans .................................68
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Sec. 441a-1.
Modification of certain limits for House candidates in response
to personal fund expenditures of opponents ............................69
(a)
Availability of increased limit ......................................................69
(b)
Notification of expenditures from personal funds ........................71
Sec. 441b.
Contributions or expenditures by national banks,
corporations, or labor organizations ........................................72
(c)
Rules relating to electioneering communications .........................76
Sec. 441c.
Contributions by government contractors ....................................78
(a)
Prohibition ....................................................................................78
(b)
Separate segregated funds .............................................................78
(c)
“Labor organization” defined .......................................................78
Sec. 441d.
Publication and distribution of statements and solicitations;
charge for newspaper or magazine space ................................79
(c)
Specification .................................................................................79
(d)
Additional requirements ...............................................................80
Sec. 441e.
Contributions by foreign nationals ...............................................81
(a)
Prohibition ....................................................................................81
Sec. 441f.
Contributions in name of another prohibited ................................82
Sec. 441g.
Limitation on contribution of currency .........................................82
Sec. 441h.
Fraudulent misrepresentation of campaign authority ...................82
(a)
In general ......................................................................................82
(b)
Fraudulent solicitation of funds ....................................................82
Sec. 441i.
Soft money of political parties ......................................................83
(a)
National committees .....................................................................83
(b)
State, district and local committees ..............................................83
(c)
Fundraising costs ..........................................................................85
(d)
Tax-exempt organizations .............................................................85
(e)
Federal candidates ........................................................................86
(f)
State candidates ............................................................................87
Sec. 441k.
Prohibition of contributions by minors .........................................87
Sec. 442.
Authority to procure technical support and other services
and incur travel expenses; payment of such expenses .............88
Subchapter II. General Provisions ................................................................................88
Sec. 451.
Extension of credit by regulated industries; regulations ...............88
Sec. 452.
Prohibition against use of certain Federal funds for
election activities .....................................................................88
Sec. 453.
State laws affected ........................................................................89
(a)
In general ......................................................................................89
(b)
State and local committees of political parties .............................89
Sec. 454.
Partial invalidity ............................................................................89
Sec. 455.
Period of limitations .....................................................................89
TITLE 26. INTERNAL REVENUE CODE
Chapter 95—Presidential Election Campaign Fund ..........................................................91
Sec. 9001.
Short title ......................................................................................91
Sec. 9002.
Definitions ....................................................................................91
Sec. 9003.
Condition for eligibility for payments ..........................................93
(a)
In general ......................................................................................93
(b)
Major parties .................................................................................94
(c)
Minor and new parties ..................................................................94
(d)
Withdrawal by candidate ..............................................................94
(e)
Closed captioning requirement .....................................................95
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Sec. 9004.
Entitlement of eligible candidates to payments ............................95
(a)
In general ......................................................................................95
(b)
Limitations ....................................................................................96
(c)
Restrictions ...................................................................................96
(d)
Expenditures from personal funds ................................................97
(e)
Definition of immediate family ....................................................97
Sec. 9005.
Certification by Commission ........................................................97
(a)
Initial certifications .......................................................................97
(b)
Finality of certifications and determinations ................................97
Sec. 9006.
Payments to eligible candidates ....................................................97
(a)
Establishment of campaign fund ..................................................97
(b)
Payments from the fund ................................................................98
(c)
Insufficient amounts in fund .........................................................98
Sec. 9007.
Examinations and audits; repayments ..........................................98
(a)
Examinations and audits ...............................................................98
(b)
Repayments ..................................................................................98
(c)
Notification ...................................................................................99
(d)
Deposit of repayments ..................................................................99
Sec. 9008.
Payments for presidential nominating conventions ......................99
(a)
Establishment of accounts ............................................................99
(b)
Entitlement to payments from the fund ......................................100
(c)
Use of funds ................................................................................100
(d)
Limitation of expenditures ..........................................................101
(e)
Availability of payments .............................................................101
(f)
Transfer to the fund ....................................................................101
(g)
Certification by Commission ......................................................102
(h)
Repayments ................................................................................102
Sec. 9009.
Reports to Congress; regulations ................................................102
(a)
Reports ........................................................................................102
(b)
Regulations, etc. ........................................................................103
(c)
Review of regulations .................................................................103
Sec. 9010.
Participation by Commission in judicial proceedings ................103
(a)
Appearance by counsel ...............................................................103
(b)
Recovery of certain payments ....................................................104
(c)
Declaratory and injunctive relief ................................................104
(d)
Appeal .........................................................................................104
Sec. 9011.
Judicial review ............................................................................104
(a)
Review of certification, determination, or other action
by the Commission ................................................................104
(b)
Suits to implement chapter .........................................................104
Sec. 9012.
Criminal penalties .......................................................................105
(a)
Excess expenses ..........................................................................105
(b)
Contributions ..............................................................................105
(c)
Unlawful use of payments ..........................................................106
(d)
False statements, etc. ..................................................................106
(e)
Kickbacks and illegal payments .................................................106
(f)
Unauthorized expenditures and contributions ............................107
(g)
Unauthorized disclosure of information .....................................108
Sec. 9013.
Effective date of chapter .............................................................108
Chapter 96—Presidential Primary Matching Payment Account .....................................108
Sec. 9031.
Short title ....................................................................................108
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Sec. 9032.
Definitions ..................................................................................108
Sec. 9033.
Eligibility for payments ..............................................................110
(a)
Conditions ...................................................................................110
(b)
Expense limitation; declaration of intent; minimum
contributions ..........................................................................111
(c)
Termination of payments ............................................................111
Sec. 9034.
Entitlement of eligible candidates to payments ..........................112
(a)
In general ....................................................................................112
(b)
Limitations ..................................................................................112
Sec. 9035.
Qualified campaign expense limitations .....................................112
(a)
Expenditure limitations ..............................................................112
(b)
Definition of immediate family ..................................................113
Sec. 9036.
Certification by Commission ......................................................113
(a)
Initial certifications .....................................................................113
(b)
Finality of determinations ...........................................................113
Sec. 9037.
Payments to eligible candidates ..................................................113
(a)
Establishment of account ............................................................113
(b)
Payments from the matching payment account ..........................113
Sec. 9038.
Examinations and audits; repayments ........................................114
(a)
Examinations and audits .............................................................114
(b)
Repayments ................................................................................114
(c)
Notification .................................................................................114
(d)
Deposit of repayments ................................................................114
Sec. 9039.
Reports to Congress; regulations ................................................115
(a)
Reports ........................................................................................115
(b)
Regulations, etc. .........................................................................115
(c)
Review of regulations .................................................................115
Sec. 9040.
Participation by Commission in judicial proceedings ................116
(a)
Appearance by counsel ...............................................................116
(b)
Recovery of certain payments ....................................................116
(c)
Injunctive relief ...........................................................................116
(d)
Appeal .........................................................................................116
Sec. 9041.
Judicial review ............................................................................116
(a)
Review of agency action by the Commission .............................116
(b)
Review procedures ......................................................................116
Sec. 9042.
Criminal penalties .......................................................................117
(a)
Excess campaign expenses .........................................................117
(b)
Unlawful use of payments ..........................................................117
(c)
False statements, etc. ..................................................................117
(d)
Kickbacks and illegal payments .................................................117
APPENDIX
This appendix includes the text of additional provisions of the United States Code
which are not in the FECA, but may be relevant to persons involved with Federal elections;
the material is current through September 2004.
TITLE 18. CRIMES AND CRIMINAL PROCEDURE
Chapter 29—Elections and Political Activities ................................................................119
Sec. 594.
Intimidation of voters .................................................................119
Sec. 595.
Interference by administrative employees of Federal, State, or
Territorial Governments ........................................................119
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Sec. 597.
Expenditures to influence voting ................................................120
Sec. 598.
Coercion by means of relief appropriations ...............................120
Sec. 599.
Promise of appointment by candidate ........................................120
Sec. 600.
Promise of employment or other benefit for political activity ....121
Sec. 601.
Deprivation of employment or other benefit for political
contribution ...........................................................................121
Sec. 602.
Solicitation of political contributions .........................................122
Sec. 603.
Making political contributions ....................................................123
Sec. 604.
Solicitation from persons on relief .............................................123
Sec. 605.
Disclosure of names of persons on relief ....................................123
Sec. 606.
Intimidation to secure political contributions .............................124
Sec. 607.
Place of solicitation ....................................................................124
(a)
Prohibition ..................................................................................124
Sec. 610.
Coercion of political activity ......................................................125
Sec. 1001.
Statements of entries generally ...................................................125
Sec. 1505.
Obstruction of proceedings before departments, agencies and
committees ............................................................................126
TITLE 26. INTERNAL REVENUE CODE
(Selected Excerpts)
Sec. 84.
Transfer of appreciated property to political organization .........127
(a)
General rule ................................................................................127
(b)
Basis of property .........................................................................127
(c)
Political organization defined .....................................................127
Sec. 271.
Debts owed by political parties, etc. ...........................................127
(a)
General rule ................................................................................127
(b)
Definitions ..................................................................................127
(c)
Exception ....................................................................................128
Sec. 276.
Certain indirect contributions to political parties .......................128
(a)
Disallowance of deduction .........................................................128
(b)
Definitions ..................................................................................128
(c)
Cross reference ...........................................................................129
Sec. 501.
Exemption from tax on corporations, certain trusts, etc. ............129
(a)
Exemption from taxation ............................................................129
(c)
List of exempt organizations ......................................................129
Sec. 527.
Political organizations ................................................................130
(a)
General rule ................................................................................130
(b)
Tax imposed ................................................................................130
(c)
Political organization taxable income defined ............................131
(d)
Certain uses not treated as income to candidate .........................131
(e)
Other definitions .........................................................................132
(f)
Exempt organization which is not political organization must
include certain amounts in gross income ..............................134
(g)
Treatment of newsletter funds ....................................................135
(h)
Special rule for principal campaign committees ........................135
(i)
Organizations must notify Secretary that they are section 527
organizations .........................................................................136
(j)
Required disclosure of expenditures and contributions ..............137
(k)
Public availability of notices and reports ....................................140
(l)
Authority to waive ......................................................................140
Sec. 2501.
Imposition of [gift] tax ...............................................................141
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Federal Election Campaign Laws
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(a)
Taxable transfers .........................................................................141
Sec. 6012.
Persons required to make returns of income ..............................141
(a)
General rule ................................................................................141
Sec. 6033.
Returns by exempt organizations ................................................142
(a)
Organizations required to file .....................................................142
(e)
Special rules relating to lobbying activities ................................143
(g)
Returns required by political organizations ................................144
Sec. 6096.
Designation by individuals [to Presidential Election
Campaign Fund] ....................................................................145
(a)
In general ....................................................................................145
(b)
Income tax liability .....................................................................145
(c)
Manner and time of designation .................................................145
Sec. 6104.
Publicity of information required from certain exempt
organizations and certain trusts .............................................146
(a)
Inspection of applications for tax exemption
or notice of status ...................................................................146
(b)
Inspection of annual information returns ....................................147
(c)
Publication to State officials .......................................................147
(d)
Public inspection of certain annual returns, reports,
applications for exemption and notices of status ...................148
Sec. 6113.
Disclosure of nondeductibility of contributions .........................150
(a)
General rule ................................................................................150
(b)
Organizations to which section applies ......................................150
(c)
Fundraising solicitation ..............................................................151
Sec. 6652.
Failure to file certain information returns, registration
statements, etc. ......................................................................151
(c)
Returns by exempt organizations and by certain trusts ..............151
Sec. 6710.
Failure to disclose that contributions are nondeductible ............153
(a)
Imposition of penalty ..................................................................153
(b)
Reasonable cause exception .......................................................153
(c)
$10,000 limitation not to apply where intentional disregard ......154
(d)
Day on which failure occurs .......................................................154
TITLE 28. JUDICIARY AND JUDICIAL PROCEDURE
Chapter 163—Fines, Penalties and Forfeitures ...............................................................155
Sec. 2462.
Time for commencing proceedings ............................................155
Nt. Sec. 2462. Federal Civil Penalties Inflation Adjustment Act of 1990 ..........155
TITLE 36. PATRIOTIC AND NATIONAL OBSERVANCES,
CEREMONIES, AND ORGANIZATIONS
Chapter 5—Presidential Inaugural Ceremonies ...............................................................159
Sec. 510.
Disclosure of and prohibition on certain donations ....................159
(a)
In general ....................................................................................159
(b)
Disclosure ...................................................................................159
(c)
Limitation ...................................................................................159
Sec. 511.
Authorization of appropriations ..................................................159
(a)
Authorization ..............................................................................159
(b)
Payment ......................................................................................160
TITLE 47. TELEGRAPHS, TELEPHONES,
AND RADIOTELEGRAPHS
Chapter 5—Wire or Radio Communication ....................................................................161
Sec. 312.
Administrative sanctions ............................................................161
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(a)
Revocation of station license or construction permit .................161
Sec. 315.
Candidates for public office ........................................................161
(a)
Equal opportunities requirement; censorship prohibition;
allowance of station use; news appearances exception;
public interest; public issues discussion opportunities ..........161
(b)
Broadcast media rates. Charges ..................................................162
(c)
Definitions ..................................................................................163
(d)
Rules and regulations ..................................................................163
(e)
Political record ............................................................................163
(f)
Certfication .................................................................................164
(g)
Definitions ..................................................................................164
INDEX
Special Index to Titles 2 and 26 of FECA of 1971 as Amended .....................................165
Page 15
TITLE 2. THE CONGRESS
Chapter 14—Federal Election Campaigns
Subchapter 1—Disclosure of Federal Campaign Funds
§ 431. Definitions
When used in this Act:
(1) The term “election” means—
(A) a general, special, primary, or runoff election;
(B) a convention or caucus of a political party which
has authority to nominate a candidate;
(C) a primary election held for the selection of delegates
to a national nominating convention of a political party; and
(D) a primary election held for the expression of a prefer-
ence for the nomination of individuals for election to the office
of President.
(2) The term “candidate” means an individual who seeks
nomination for election, or election, to Federal office, and for purposes
of this paragraph, an individual shall be deemed to seek nomination
for election, or election—
(A) if such individual has received contributions ag-
gregating in excess of $5,000 or has made expenditures ag-
gregating in excess of $5,000; or
(B) if such individual has given his or her consent to
another person to receive contributions or make expendi tures
on behalf of such individual and if such person has received
such contributions aggregating in excess of $5,000 or has made
such expenditures aggregating in excess of $5,000.
(3) The term “Federal office” means the office of Presi dent
or Vice President, or of Senator or Representative in, or Delegate or
Resident Commissioner to, the Congress.
(4) The term “political committee” means—
(A) any committee, club, association, or other group of
persons which receives contributions aggregating in excess of
$1,000 during a calendar year or which makes expenditures
aggregating in excess of $1,000 during a cal endar year; or
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Federal Election Campaign Laws
2
(B) any separate segregated fund established under the
provisions of section 441b(b) of this title; or
(C) anylocal committee of a political party which receives
contributions aggregating in excess of $5,000 dur ing a calendar
year, or makes payments exempted from the definition of con-
tribution or expenditure as defined in para graphs (8) and (9) of
this section aggregating in excess of $5,000 during a calendar
year, or makes contributions ag gregating in excess of $1,000
during a calendar year or makes expenditures aggregating in
excess of $1,000 during a calendar year.
(5) The term “principal campaign committee” means a political
committee designated and authorized by a candidate under section
432(e)(1) of this title.
(6) The term “authorized committee” means the prin cipal
campaign committee or any other political committee au thorized by
a candidate under section 432(e)(1) of this title to receive contribu-
tions or make expenditures on behalf of such candidate.
(7) The term “connected organization” means any organization
which is not a political committee but which directly or indirectly
establishes, administers, or financially supports a political commit-
tee.
(8) (A) The term “contribution” includes—
(i) any gift, subscription, loan, advance, or de posit
of money or anything of value made by any per son for
the purpose of influencing any election for Federal office;
or
(ii) the payment by any person of compensa tion
for the personal services of another person which are
rendered to a political committee without charge for any
purpose.
(B) The term “contribution” does not include–
(i) the value of services provided without com-
pensation by any individual who volunteers on behalf of
a candidate or political committee;
(ii) the use of real or personal property, includ ing
a church or community room used on a regular basis by
members of a community for noncommercial purposes,
and the cost of invitations, food, and beverages, voluntarily
provided by an individual to any candidate or any politi-
cal committee of a political party in rendering voluntary
personal services on the individual’s residential premises
§ 431
Page 17
Title 2. The Congress
3
or in the church or community room for candidate-related
or political party-related activities, to the extent that the
cumu lative value of such invitations, food, and beverages
provided by such individual on behalf of any single can-
didate does not exceed $1,000 with respect to any single
election, and on behalf of all political commit tees of a
political party does not exceed $2,000 in any calendar
year;
(iii) the sale of any food or beverage by a ven dor
for use in any candidate’s campaign or for use by or on
behalf of any political committee of a political party at a
charge less than the normal comparable charge, if such
charge is at least equal to the cost of such food or bever-
age to the vendor, to the extent that the cumulative value
of such activity by such vendor on behalf of any single
candidate does not exceed $1,000 with respect to any
single election, and on behalf of all political committees
of a political party does exceed $2000 in any calendar
year;
(iv) any unreimbursed payment for travel expenses
made by any individual on behalf of any can didate or any
political committee of a political party, to the extent that
the cumulative value of such activ ity by such individual
on behalf of any single can didate does not exceed $1,000
with respect to any sin gle election, and on behalf of all
political committees of a political party does not exceed
$2,000 in any cal endar year;
(v) the payment by a State or local committee of
a political party of the costs of preparation, dis play, or
mailing or other distribution incurred by such commit-
tee with respect to a printed slate card or sam ple ballot,
or other printed listing, of 3 or more can didates for any
public office for which an election is held in the State
in which such committee is organized, except that this
clause shall not apply to any cost incurred by such com-
mittee with respect to a dis play of any such listing made
on broadcasting sta tions, or in newspapers, magazines, or
similar types of general public political advertising;
(vi) any payment made or obligation incurred by a
corporation or a labor organization which, under section
441b(b) of this title, would not constitute an expenditure
by such corporation or labor organization;
§ 431
Page 18
Federal Election Campaign Laws
4
(vii) any loan of money by a State bank, a fed erally
chartered depository institution, or a depository institu-
tion the deposits or accounts of which are in sured by the
Federal Deposit Insurance Corporation . . .
1
or the National
Credit Union Administration, other than any overdraft made
with respect to a checking or savings account, made in
accordance with applica ble law and in the ordinary course
of business, but such loan—
(I) shall be considered a loan by each en-
dorser or guarantor, in that proportion of the un paid
balance that each endorser or guarantor bears to the
total number of endorsers or guaran tors;
(II) shall be made on a basis which
assures repayment, evidenced by a written in strument,
and subject to a due date or amortiza tion schedule;
and
(III) shall bear the usual and customary interest
rate of the lending institution;
(viii) any legal or accounting services rendered to or
on behalf of—
2
(I) any political committee of a political party
if the person paying for such services is the regular
employer of the person rendering such services
and if such services are not attributable to activities
which directly further the election of any designated
candidate to Federal office; or
(II) an authorized committee of a can didate
or any other political committee, if the person pay-
ing for such services is the regular employer of the
individual rendering such serv ices and if such services
are solely for the pur pose of ensuring compliance
with this Act or chapter 95 or chapter 96 of title 26,
but amounts paid or incurred by the regular employer
§ 431
1
The omitted language is an obsolete reference to the Federal Savings and Loan Insurance
Corporation, which in past years provided account or deposit insurance. This corporation
was abolished and its functions transferred in 1989. See note at 12 U.S.C. § 1437 for a
fuller explanation.
2
Section 103(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 431(8)(B) to strike subsection (viii) (regarding donations to
party building funds) and redesignate subsections (ix) through (xv) as subsections (viii)
through (xiv) respectively. This amendment is effective as of November 6, 2002.
Page 19
Title 2. The Congress
5
for such legal or accounting services shall be reported
in accordance with section 434(b) of this title by the
committee receiving such services;
(ix) the payment by a State or local committee of
a political party of the costs of campaign materials (such
as pins, bumper stickers, handbills, brochures, posters,
party tabloids, and yard signs) used by such committee in
connection with volunteer activities on behalf of nominees
of such party: Provided, That —
(1) such payments are not for the cost of
campaign materials or activities used in connec tion
with any broadcasting, newspaper, maga zine, bill-
board, direct mail, or similar type of general public
communication or political adver tising;
(2) such payments are made from con-
tributions subject to the limitations and prohibi tions
of this Act; and
(3) such payments are not made from con-
tributions designated to be spent on behalf of a
particular candidate or particular candidates;
(x) the payment by a candidate, for nomination
or election to any public office (including State or local
office), or authorized committee of a candidate, of the
costs of campaign materials which include in formation
on or reference to any other candidate and which are used
in connection with volunteer activities (including pins,
bumper stickers, handbills, brochures, posters, and yard
signs, but not including the use of broadcasting, newspa-
pers, magazines, billboards, di rect mail, or similar types
of general public commu nication or political advertising):
Provided, That such payments are made from contributions
subject to the limitations and prohibitions of this Act;
(xi) the payment by a State or local committee of
a political party of the costs of voter registration and get-
out-the-vote activities conducted by such committee on
behalf of nominees of such party for President and Vice
President: Provided, That—
(1) such payments are not for the costs of
campaign materials or activities used in connection
§ 431
Page 20
Federal Election Campaign Laws
6
with any broadcasting, newspaper, maga zine, bill-
board, direct mail, or similar type of general public
communication or political adver tising;
(2) such payments are made from con-
tributions subject to the limitations and prohibi tions
of this Act; and
(3) such payments are not made from con-
tributions designated to be spent on behalf of a
particular candidate or candidates;
(xii) payments made by a candidate or the au thorized
committee of a candidate as a condition of ballot access
and payments received by any political party committee
as a condition of ballot access;
(xiii) any honorarium (within the meaning of section
441i
1
of this title); and
(xiv)
2
any loan of money derived from an advance
on a candidate’s brokerage account, credit card, home
equity line of credit, or other line of credit available to
the candidate, if such a loan is made in accordance with
applicable law and under commercially reasonable terms
and if the person making such loan makes loans derived
from an advance on the candidate’s brokerage account,
credit card, home equity line of credit, or other line of
credit in the normal course of the person’s business.
(9) (A) The term “expenditure” includes—
(i) any purchase, payment, distribution, loan,
advance, deposit, or gift of money or anything of value,
made by any person for the purpose of influ encing any
election for Federal office; and
(ii) a written contract, promise, or agreement to
make an expenditure.
(B) The term “expenditure” does not include—
(i) any news story, commentary, or editorial dis-
tributed through the facilities of any broadcasting station,
§ 431
1
This is an obsolete reference to a section of the law repealed in 1991 and not to current
section 441i.
2
Section 502(6) of the Department of Transportation and Related Agencies Appropriations
Act, 2001, Pub. Law No. 106-346 amended 2 U.S.C. § 431(8)(B) by adding new subsec-
tion (xv). Section 103(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub.
L. No. 107-155, amended section 431(8)(B) to redesignate subsection (xv) as subsection
(xiv). This amendment is effective as of November 6, 2002.
Page 21
Title 2. The Congress
7
newspaper, magazine, or other periodical pub lication, un-
less such facilities are owned or controlled by any political
party, political committee, or can didate;
(ii) nonpartisan activity designed to encourage
individuals to vote or to register to vote;
(iii) any communication by any membership or-
ganization or corporation to its members, stockhold ers, or
executive or administrative personnel, if such membership
organization or corporation is not orga nized primarily for
the purpose of influencing the nomination for election, or
election, of any individual to Federal office, except that
the costs incurred by a membership organization (includ-
ing a labor organiza tion) or by a corporation directly at-
tributable to a communication expressly advocating the
election or defeat of a clearly identified candidate (other
than a communication primarily devoted to subjects other
than the express advocacy of the election or defeat of a
clearly identified candidate), shall, if such costs exceed
$2,000 for any election, be reported to the Com mission
in accordance with section 434(a)(4)(A)(i) of this title,
and in accordance with section 434(a)(4)(A)(ii) of this
title with respect to any gen eral election;
(iv) the payment by a State or local committee of
a political party of the costs of preparation, dis play, or
mailing or other distribution incurred by such commit-
tee with respect to a printed slate card or sam ple ballot,
or other printed listing, of 3 or more can didates for any
public office for which an election is held in the State
in which such committee is orga nized, except that this
clause shall not apply to costs incurred by such commit-
tee with respect to a display of any such listing made on
broadcasting stations, or in newspapers, magazines, or
similar types of general public political advertising;
(v) any payment made or obligation incurred by a
corporation or a labor organization which, under section
441b(b) of this title, would not constitute an expenditure
by such corporation or labor organization;
(vi) any costs incurred by an authorized com mittee
or candidate in connection with the solicitation of con-
tributions on behalf of such candidate, except that this
clause shall not apply with respect to costs incurred by
an authorized committee of a candidate in excess of an
§ 431
Page 22
Federal Election Campaign Laws
8
amount equal to 20 percent of the expenditure limitation
applicable to such candidate under section 441a(b), but
all such costs shall be re ported in accordance with section
434(b);
(vii) the payment of compensation for legal or
accounting services—
(I) rendered to or on behalf of any political
committee of a political party if the person paying
for such services is the regular employer of the indi-
vidual rendering such services, and if such services
are not attributable to activities which directly further
the election of any des ignated candidate to Federal
office; or
(II) rendered to or on behalf of a can didate
or political committee if the person pay ing for such
services is the regular employer of the individual
rendering such services, and if such services are
solely for the purpose of ensuring compliance with
this Act or chapter 95 or chapter 96 of title 26, but
amounts paid or incurred by the regular employer for
such legal or accounting services shall be reported
in accordance with section 434(b) by the committee
receiving such services;
(viii) the payment by a State or local committee of
a political party of the costs of campaign materials (such
as pins, bumper stickers, handbills, brochures, posters,
party tabloids, and yard signs) used by such committee in
connection with volunteer activities on behalf of nominees
of such party: Provided, That—
(1) such payments are not for the costs of
campaign materials or activities used in connec tion
with any broadcasting, newspaper, maga zine, bill-
board, direct mail, or similar type of general public
communication or political adver tising;
(2) such payments are made from con-
tributions subject to the limitations and prohibi tions
of this Act; and
(3) such payments are not made from con-
tributions designated to be spent on behalf of a
particular candidate or particular candidates;
(ix) the payment by a State or local committee of
a political party of the costs of voter registration and get-
§ 431
Page 23
Title 2. The Congress
9
out-the-vote activities conducted by such committee on
behalf of nominees of such party for President and Vice
President: Provided, That—
(1) such payments are not for the costs of
campaign materials or activities used in connection
with any broadcasting, newspaper, maga zine, bill-
board, direct mail, or similar type of general public
communication or political adver tising;
(2) such payments are made from con-
tributions subject to the limitations and prohibi tions
of this Act; and
(3) such payments are not made from con-
tributions designated to be spent on behalf of a
particular candidate or candidates; and
(x) payments received by a political party commit-
tee as a condition of ballot access which are transferred
to another political party committee or the appropriate
State official.
(10) The term “Commission” means the Federal Election
Commission.
(11) The term “person” includes an individual, part nership,
committee, association, corporation, labor organi zation, or any other
organization or group of persons, but such term does not include the
Federal Government or any authority of the Federal Government.
(12) The term “State” means a State of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, or a ter-
ritory or possession of the United States.
(13) The term “identification” means—
(A) in the case of any individual, the name, the mailing
address, and the occupation of such individ ual, as well as the
name of his or her employer; and
(B) in the case of any other person, the full name and
address of such person.
(14) The term “national committee” means the orga nization
which, by virtue of the bylaws of a political party, is responsible for
the day-to-day operation of such political party at the national level,
as determined by the Commis sion.
(15) The term “State committee” means the organi zation which,
by virtue of the bylaws of a political party, is responsible for the
day-to-day operation of such political party at the State level, as
determined by the Commission.
§ 431
Page 24
Federal Election Campaign Laws
10
(16) The term “political party” means an associa tion, com-
mittee, or organization which nominates a can didate for election to
any Federal office whose name ap pears on the election ballot as the
candidate of such asso ciation, committee, or organization.
(17)
1
Independent expenditure. The term ‘independent expen-
diture’ means an expenditure by a person—
(A) expressly advocating the election or defeat of a
clearly identified candidate; and
(B) that is not made in concert or cooperation with or
at the request or suggestion of such candidate, the candidate’s
authorized political committee, or their agents, or a political
party committee or its agents.
(18) The term “clearly identified” means that—
(A) the name of the candidate involved appears;
(B) a photograph or drawing of the candidate appears;
or
(C) the identity of the candidate is apparent by unam-
biguous reference.
(19) The term “Act” means the Federal Election Campaign Act
of 1971 as amended.
(20) Federal election activity.
2
(A) In general. The term ‘Federal election activity’
means—
(i) voter registration activity during the period
that begins on the date that is 120 days before the date a
regularly scheduled Federal election is held and ends on
the date of the election;
(ii) voter identification, get-out-the-vote activity,
or generic campaign activity conducted in connection
with an election in which a candidate for Federal office
appears on the ballot (regardless of whether a candidate
for State or local office also appears on the ballot);
(iii) a public communication that refers to a
clearly identified candidate for Federal office (regardless
§ 431
1
Section 211 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No. 107-
155, amended section 431 by revising the definition of an independent expenditure. This
amendment is effective as of November 6, 2002.
2
Section 101(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 431 by adding new paragraphs (20) through (24). This amend-
ment is effective as of November 6, 2002.
Page 25
Title 2. The Congress
11
of whether a candidate for State or local office is also
mentioned or identified) and that promotes or supports a
candidate for that office, or attacks or opposes a candidate
for that office (regardless of whether the communication
expressly advocates a vote for or against a candidate);
or
(iv) services provided during any month by an
employee of a State, district, or local committee of a
political party who spends more than 25 percent of that
individual’s compensated time during that month on ac-
tivities in connection with a Federal election.
(B) Excluded activity. The term ‘Federal election activity’
does not include an amount expended or disbursed by a State,
district, or local committee of a political party for—
(i) a public communication that refers solely to a
clearly identified candidate for State or local office, if the
communication is not a Federal election activity described
in subparagraph (A)(i) or (ii);
(ii) a contribution to a candidate for State or local
office, provided the contribution is not designated to pay
for a Federal election activity described in subparagraph
(A);
(iii) the costs of a State, district, or local political
convention; and
(iv) the costs of grassroots campaign materials, in-
cluding buttons, bumper stickers, and yard signs, that name
or depict only a candidate for State or local office.
(21) Generic campaign activity. The term ‘generic campaign
activity’ means a campaign activity that promotes a political party
and does not promote a candidate or non-Federal candidate.
(22) Public communication. The term ‘public communication’
means a communication by means of any broadcast, cable, or satellite
communication, newspaper, magazine, outdoor advertising facility,
mass mailing, or telephone bank to the general public, or any other
form of general public political advertising.
(23) Mass mailing. The term ‘mass mailing’ means a mailing
by United States mail or facsimile of more than 500 pieces of mail
matter of an identical or substantially similar nature within any 30-
day period.
§ 431
Page 26
Federal Election Campaign Laws
12
(24) Telephone bank. The term ‘telephone bank’ means more
than 500 telephone calls of an identical or substantially similar nature
within any 30-day period.
(25)
1
Election cycle. For purposes of sections 315(i) (2 U.
S.C. § 441a(i)) and 315A (2 U.S.C. § 441a-1) and paragraph (26),
the term ‘election cycle’ means the period beginning on the day after
the date of the most recent election for the specific office or seat
that a candidate is seeking and ending on the date of the next elec-
tion for that office or seat. For purposes of the preceding sentence,
a primary election and a general election shall be considered to be
separate elections.
(26) Personal funds. The term ‘personal funds’ means an
amount that is derived from—
(A) any asset that, under applicable State law, at the
time the individual became a candidate, the candidate had legal
right of access to or control over, and with respect to which
the candidate had—
(i) legal and rightful title; or
(ii) an equitable interest;
(B) income received during the current election cycle of
the candidate, including—
(i) a salary and other earned income from bona
fide employment;
(ii) dividends and proceeds from the sale of the
candidate’s stocks or other investments;
(iii) bequests to the candidate;
(iv) income from trusts established before the be-
ginning of the election cycle;
(v) income from trusts established by bequest after
the beginning of the election cycle of which the candidate
is the beneficiary;
(vi) gifts of a personal nature that had been cus-
tomarily received by the candidate prior to the beginning
of the election cycle; and
(vii) proceeds from lotteries and similar legal games
of chance; and
§ 431
1
Section 304(c) of the Bipartisan Campaign Reform Act of 2002, Pub. L. No. 107-155,
amended section 431 by adding new paragraphs (25) through (26). This amendment is
effective as of November 6, 2002.
Page 27
Title 2. The Congress
13
(C) a portion of assets that are jointly owned by the
candidate and the candidate’s spouse equal to the candidate’s
share of the asset under the instrument of conveyance or owner-
ship, but if no specific share is indicated by an instrument of
conveyance or ownership, the value of 1/2 of the property.
§ 432. Organization of political committees
(a) Treasurer: vacancy; official authorizations. Every political
committee shall have a treasurer. No contribution or expenditure shall
be accepted or made by or on behalf of a political committee during any
period in which the office of treasurer is vacant. No expenditure shall be
made for or on behalf of a political committee without the authorization
of the treasurer or his or her designated agent.
(b) Account of contributions; segregated funds.
(1) Every person who receives a contribution for an au thorized
political committee shall, no later than 10 days after re ceiving such
contribution, forward to the treasurer such contribu tion, and if the
amount of the contribution is in excess of $50 the name and address
of the person making the contribution and the date of receipt.
(2) Every person who receives a contribution for a politi cal
committee which is not an authorized committee shall—
(A) if the amount of the contribution is $50 or less, for-
ward to the treasurer such contribution no later than 30 days
after receiving the contribution; and
(B) if the amount of the contribution is in excess of $50,
forward to the treasurer such contribution, the name and address
of the person making the contribution, and the date of receipt
of the contribution, no later than 10 days after receiving the
contribution.
(3) All funds of a political committee shall be segregated
from, and may not be commingled with, the personal funds of any
individual.
(c) Recordkeeping. The treasurer of a political committee shall
keep an account of—
(1) all contributions received by or on behalf of such po litical
committee;
(2) the name and address of any person who makes any
contribution in excess of $50, together with the date and amount of
such contribution by any person;
(3) the identification of any person who makes a con tribution
or contributions aggregating more than $200 during a calendar year,
together with the date and amount of any such contribution;
§ 432
Page 28
Federal Election Campaign Laws
14
(4) the identification of any political committee which makes
a contribution, together with the date and amount of any such con-
tribution; and
(5) the name and address of every person to whom any dis-
bursement is made, the date, amount, and purpose of the dis bursement,
and the name of the candidate and the office sought by the candidate,
if any, for whom the disbursement was made, including a receipt, in-
voice, or cancelled check for each dis bursement in excess of $200.
(d) Preservation of records and copies of reports. The treas urer
shall preserve all records required to be kept by this section and copies
of all reports required to be filed by this subchapter for 3 years after the
report is filed. For any report filed in electronic format under section
434(a)(11) of this title, the treasurer shall retain a machine-readable copy
of the report as the copy preserved under the preceding sentence.
(e) Principal and additional campaign committees; designa tions,
status of candidate, authorized committees, etc.
(1) Each candidate for Federal office (other than the nominee
for the office of Vice President) shall designate in writ ing a political
committee in accordance with paragraph (3) to serve as the principal
campaign committee of such candidate. Such designation shall be
made no later than 15 days after be coming a candidate. A candidate
may designate additional politi cal committees in accordance with
paragraph (3) to serve as au thorized committees of such candidate.
Such designation shall be in writing and filed with the principal
campaign committee of such candidate in accordance with subsec-
tion (f)(1) of this sec tion.
(2) Any candidate described in paragraph (1) who re ceives
a contribution, or any loan for use in connection with the campaign
of such candidate for election, or makes a disburse ment in connec-
tion with such campaign, shall be considered, for purposes of this
Act, as having received the contribution or loan, or as having made
the disbursement, as the case may be, as an agent of the authorized
committee or committees of such can didate.
(3) (A) No political committee which supports or has sup-
ported more than one candidate may be designated as an authorized
committee, except that—
(i) the candidate for the office of President
nominated by a political party may designate the na tional
committee of such political party as a principal campaign
committee, but only if that national com mittee maintains
separate books of account with respect to its function as
a principal campaign commit tee; and
§ 432
Page 29
Title 2. The Congress
15
(ii) candidates may designate a political com mittee
established solely for the purpose of joint fund raising by
such candidates as an authorized commit tee.
(B) As used in this section, the term “support” does not
include a contribution by any authorized committee in amounts
of $1,000 or less to an authorized committee of any other can-
didate.
(4) The name of each authorized committee shall include
the name of the candidate who authorized such committee under
paragraph (1). In the case of any political committee which is not
an authorized committee, such political committee shall not include
the name of any candidate in its name.
(5) The name of any separate segregated fund established
pursuant to section 441b(b) shall include the name of its con nected
organization.
(f) Filing with and receipt of designations, statements, and reports
by principal campaign committee.
(1) Notwithstanding any other provision of this Act, each
designation, statement, or report of receipts or disbursements made
by an authorized committee of a candidate shall be filed with the
candidate’s principal campaign committee.
(2) Each principal campaign committee shall receive all
designations, statements, and reports required to be filed with it
under paragraph (1) and shall compile and file such designa tions,
statements, and reports in accordance with this Act.
(g) Filing with and receipt of designations, statements, and reports
by the Secretary of Senate; forwarding to Commission; filing requirements
with Commission; public inspection and preservation of designations,
etc.
(1) Designations, statements, and reports required to be filed
under this Act by a candidate for the office of Senator, by the principal
campaign committee of such candidate, and by the Republican and
Democratic Senatorial Campaign Committee, shall be filed with the
Secretary of the Senate, who shall receive such designations, state-
ments, and reports, as custodian for the Com mission.
(2) The Secretary of the Senate shall forward a copy of any
designation, statement, or report filed with the Secretary under this
subsection to the Commission as soon as possible (but no later than
2 working days) after receiving such designation, statement, or re-
port.
(3) All designations, statements, and reports required to be
filed under this Act, except designations, statements, and re ports filed
in accordance with paragraph (1), shall be filed with the Commis-
sion.
§ 432
Page 30
Federal Election Campaign Laws
16
(4) The Secretary of the Senate shall make the designations,
statements, and reports received under this subsection available for
public inspection and copying in the same manner as the Commis-
sion under section 438(a)(4), and shall preserve such designations,
statements, and reports in the same manner as the Commission under
section 438(a)(5).
(h) Campaign depositories; designations, maintenance of ac counts,
etc.; petty cash fund for disbursements; record of disburse ments.
(1) Each political committee shall designate one or more
State banks, federally chartered depository institutions, or depos-
itory institutions the deposits or accounts of which are insured by
the Federal Deposit Insurance Corporation . . .
1
or the National Credit
Union Administration, as its campaign depository or de positories.
Each political committee shall maintain at least one checking account
and such other accounts as the committee determines at a deposi-
tory designated by such committee. All re ceipts received by such
committee shall be deposited in such ac counts. No disbursements
may be made (other than petty cash disbursements under paragraph
(2)) by such committee except by check drawn on such accounts in
accordance with this sec tion.
(2) A political committee may maintain a petty cash fund for
disbursements not in excess of $100 to any person in con nection with
a single purchase or transaction. A record of all petty cash disburse-
ments shall be maintained in accordance with subsection (c)(5) of
this section.
(i) Reports and records, compliance with requirements based on
best efforts. When the treasurer of a political committee shows that best
efforts have been used to obtain, maintain, and submit the information
required by this Act for the political committee, any report or any records
of such committee shall be considered in compli ance with this Act or
chapter 95 or chapter 96 of title 26.
§ 433. Registration of political committees
(a) Statements of organizations. Each authorized campaign com-
mittee shall file a statement of organization no later than 10 days after
designation pursuant to section 432(e)(1). Each separate seg regated fund
established under the provisions of section 441b(b) shall file a statement of
organization no later than 10 days after establish ment. All other commit-
tees shall file a statement of organization within 10 days after becoming
a political committee within the mean ing of section 431(4).
§ 432
1
See footnote 1 on page 4 for an explanation of this omission.
Page 31
Title 2. The Congress
17
(b) Contents of statements. The statement of organization of a
political committee shall include—
(1) the name, address, and type of committee;
(2) the name, address, relationship, and type of any connected
organization or affiliated committee;
(3) the name, address, and position of the custodian of books
and accounts of the committee;
(4) the name and address of the treasurer of the committee;
(5) if the committee is authorized by a candidate, the name,
address, office sought, and party affiliation of the candidate; and
(6) a listing of all banks, safety deposit boxes, or other de-
positories used by the committee.
(c) Change of information in statements. Any change in infor mation
previously submitted in a statement of organization shall be reported in
accordance with section 432(g) no later than 10 days after the date of the
change.
(d) Termination, etc., requirements and authorities.
(1) A political committee may terminate only when such
a committee files a written statement, in accordance with section
432(g), that it will no longer receive any contributions or make any
disbursement and that such committee has no outstanding debts or
obligations.
(2) Nothing contained in this subsection may be construed
to eliminate or limit the authority of the Commission to establish
procedures for—
(A) the determination of insolvency with respect to any
political committee;
(B) the orderly liquidation of an insolvent political com-
mittee, and the orderly application of its assets for the reduction
of outstanding debts; and
(C) the termination of an insolvent political committee
after such liquidation and application of assets.
§ 434. Reporting requirements
(a) Receipts and disbursements by treasurers of political com mittees;
filing requirements.
(1) Each treasurer of a political committee shall file re ports
of receipts and disbursements in accordance with the provisions of
this subsection. The treasurer shall sign each such report.
§ 434
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Federal Election Campaign Laws
18
(2) If the political committee is the principal campaign com-
mittee of a candidate for the House of Representatives or for the
Senate—
(A) in any calendar year during which there is a reg ularly
scheduled election for which such candidate is seek ing election,
or nomination for election, the treasurer shall file the following
reports:
(i) a pre-election report, which shall be filed no later
than the 12th day before (or posted by any of the follow-
ing: reg istered mail, certified mail, priority mail having a
delivery confirmation, or delivered to an overnight delivery
service with an on-line tracking system, if posted or de-
livered no later than the 15th day be fore)
1
any election in
which such candidate is seeking election, or nomination
for election, and which shall be complete as of the 20th
day before such election;
(ii) a post-general election report, which shall be
filed no later than the 30th day after any general election
in which such candidate has sought election, and which
shall be complete as of the 20th day after such general
election; and
(iii) additional quarterly reports, which shall be
filed no later than the 15th day after the last day of each
calendar quarter, and which shall be complete as of the
last day of each calendar quarter: except that the report
for the quarter ending December 31 shall be filed no later
than January 31 of the following cal endar year; and
(B)
2
in any other calendar year the treasurer shall file
quarterly reports, which shall be filed not later than the 15th
day after the last day of each calendar quarter, and which shall
be complete as of the last day of each calendar quarter, except
that the report for the quarter ending December 31 shall be
filed not later than January 31 of the following calendar year.
(3) If the committee is the principal campaign committee of
a candidate for the office of President—
§ 434
1
Section 641 of division F, Title VI of the Consolidated Appropriations Act, 2004, Pub.
L. No. 108-199, amended section 434(a) to permit the use of priority and express mail
and overnight delivery services for timely filing purposes. This amendment is effective
as of January 23, 2004.
2
Section 503(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434(a)(2)(B) to require additional reports in nonelection years
by House and Senate campaigns. This amendment is effective as of November 6, 2002.
Page 33
Title 2. The Congress
19
(A) in any calendar year during which a general election
is held to fill such office—
(i) the treasurer shall file monthly reports if such
committee has on January 1 of such year, re ceived con-
tributions aggregating $100,000 or made expenditures
aggregating $100,000 or anticipates re ceiving contributions
aggregating $100,000 or more or making expenditures
aggregating $100,000 or more during such year: such
monthly reports shall be filed no later than the 20th day
after the last day of each month and shall be complete as
of the last day of the month, except that, in lieu of filing
the report other wise due in November and December, a
pre-general election report shall be filed in accordance
with para graph (2)(A)(i), a post-general election report
shall be filed in accordance with paragraph (2)(A)(ii), and
a year end report shall be filed no later than January 31
of the following calendar year;
(ii) the treasurer of the other principal cam paign
committees of a candidate for the office of President shall
file a pre-election report or reports in accordance with
paragraph (2)(A)(i), a post-general election report in ac-
cordance with paragraph (2)(A)(ii), and quarterly reports
in accordance with paragraph (2)(A)(iii); and
(iii) if at any time during the election year a commit-
tee filing under paragraph (3)(A)(ii) receives contributions
in excess of $100,000 or makes expend itures in excess of
$100,000, the treasurer shall begin filing monthly reports
under paragraph (3)(A)(i) at the next reporting period;
and
(B) in any other calendar year, the treasurer shall file
either—
(i) monthly reports, which shall be filed no later
than the 20th day after the last day of each month and
shall be complete as of the last day of the month; or
(ii) quarterly reports, which shall be filed no later
than the 15th day after the last day of each calendar quarter
and which shall be complete as of the last day of each
calendar quarter.
(4) All political committees other than authorized com mittees
of a candidate shall file either—
(A) (i) quarterly reports, in a calendar year in which a
regularly scheduled general election is held, which shall
§ 434
Page 34
Federal Election Campaign Laws
20
be filed no later than the 15th day after the last day of
each calendar quarter: except that the report for the quarter
ending on December 31 of such calendar year shall be
filed no later than January 31 of the following calendar
year;
(ii) a pre-election report, which shall be filed no
later than the 12th day before (or posted by any of the fol-
lowing: reg istered mail, certified mail, priority mail having
a delivery confirmation, or express mail having a delivery
confirmation, or delivered to an overnight delivery service
with an on-line tracking system, if posted or delivered
no later than the 15th day be fore)
1
any election in which
the committee makes a contribution to or expenditure on
behalf of a can didate in such election, and which shall
be complete as of the 20th day before the election;
(iii) a post-general election report, which shall be
filed no later than the 30th day after the general election
and which shall be complete as of the 20th day after such
general election; and
(iv) in any other calendar year, a report cover ing
the period beginning January 1 and ending June 30, which
shall be filed no later than July 31 and a report covering
the period beginning July 1 and end ing December 31,
which shall be filed no later than January 31 of the fol-
lowing calendar year; or
(B) monthly reports in all calendar years which shall be
filed no later than the 20th day after the last day of the month
and shall be complete as of the last day of the month, except
that, in lieu of filing the reports otherwise due in November and
December of any year in which a regularly scheduled general
election is held, a pre-general election report shall be filed in
accordance with paragraph (2)(A)(i), a post-general election
report shall be filed in ac cordance with paragraph (2)(A)(ii),
and a year end report shall be filed no later than January 31
of the following cal endar year. Notwithstanding the preceding
§ 434
1
Section 641 of division F, Title VI of the Consolidated Appropriations Act, 2004, Pub.
L. No. 108-199, amended section 434(a) to permit the use of priority and express mail
and overnight delivery services for timely filing purposes. This amendment is effective
as of January 23, 2004.
Page 35
Title 2. The Congress
21
sentence, a national committee of a political party shall file the
reports required under subparagraph (B).
1
(5) If a designation, report, or statement filed pursuant to this
Act (other than under paragraph (2)(A)(i) or (4)(A)(ii) or subsec-
tion (g)(1)) is sent by registered mail, certified mail, priority mail
having a delivery confirmation, or express mail having a delivery
confirmation, the United States postmark shall be considered the
date of filing of the designation, report, or statement. If a designa-
tion, report or statement filed pursuant to this Act (other than under
paragraph (2)(A)(i) or (4)(A)(ii), or subsection (g)(1)) is sent by an
overnight delivery service with an on-line tracking system, the date
on the proof of delivery to the delivery service shall be considered
the date of filing of the designation, report, or statement.
2
(6) (A) The principal campaign committee of a can didate
shall notify the Secretary or the Commis sion, and the Secre-
tary of State, as appropriate, in writing, of any contribution of
$1,000 or more received by any au thorized committee of such
candidate after the 20th day, but more than 48 hours before,
any election. This notifica tion shall be made within 48 hours
after the receipt of such contribution and shall include the
name of the candidate and the office sought by the candidate,
the identification of the contributor, and the date of receipt and
amount of the contribution.
(B)
3
Notification of expenditure from personal funds.
(i) Definition of expenditure from personal funds.
In this subparagraph, the term ‘expenditure from personal
funds’ means—
(I) an expenditure made by a candidate using
personal funds; and
(II) a contribution or loan made by a candidate
using personal funds or a loan secured using such
funds to the candidate’s authorized committee.
§ 434
1
Section 503(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434(a)(4) to require monthly reports by national party com-
mittees. This amendment is effective as of November 6, 2002.
2
Section 641 of division F, Title VI of the Consolidated Appropriations Act, 2004, Pub.
L. No. 108-199, amended section 434(a)(5) to permit the use of priority and express mail
and overnight delivery services for timely filing purposes. This amendment is effective
as of January 23, 2004.
3
Section 304(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434(a)(6) by redesignating subparagraph (B) as (E) and inserting
new subparagraphs (B)-(D). This amendment is effective as of November 6, 2002.
Page 36
Federal Election Campaign Laws
22
(ii) Declaration of intent. Not later than the date that
is 15 days after the date on which an individual becomes
a candidate for the office of Senator, the candidate shall
file a declaration stating the total amount of expenditures
from personal funds that the candidate intends to make, or
to obligate to make, with respect to the election that will
exceed the State-by-State competitive and fair campaign
formula with—
(I) the Commission; and
(II) each candidate in the same election.
(iii) Initial notification. Not later than 24 hours
after a candidate described in clause (ii) makes or obli-
gates to make an aggregate amount of expenditures from
personal funds in excess of 2 times the threshold amount
in connection with any election, the candidate shall file a
notification with—
(I) the Commission; and
(II) each candidate in the same election.
(iv) Additional notification. After a candidate files
an initial notification under clause (iii), the candidate shall
file an additional notification each time expenditures from
personal funds are made or obligated to be made in an
aggregate amount that exceed $10,000 with—
(I) the Commission; and
(II) each candidate in the same election.
Such notification shall be filed not later than 24 hours
after the expenditure is made.
(v) Contents. A notification under clause (iii) or
(iv) shall include—
(I) the name of the candidate and the office
sought by the candidate;
(II) the date and amount of each expenditure;
and
(III) the total amount of expenditures from
personal funds that the candidate has made, or
obligated to make, with respect to an election as of
the date of the expenditure that is the subject of the
notification.
(C) Notification of disposal of excess contributions. In the
next regularly scheduled report after the date of the election for
§ 434
Page 37
Title 2. The Congress
23
which a candidate seeks nomination for election to, or election
to, Federal office, the candidate or the candidate’s authorized
committee shall submit to the Commission a report indicating the
source and amount of any excess contributions (as determined
under paragraph (1) of section 315(i)) (2 U.S.C. § 441a(i)) and
the manner in which the candidate or the candidate’s authorized
committee used such funds.
(D) Enforcement. For provisions providing for the en-
forcement of the reporting requirements under this paragraph,
see section 309 (2 U.S.C. § 437g).
(E) The notification required under this paragraph shall
be in addition to all other reporting requirements under this
Act.
(7) The reports required to be filed by this subsection shall be
cumulative during the calendar year to which they re late, but where
there has been no change in an item reported in a previous report
during such year, only the amount need be carried forward.
(8) The requirement for a political committee to file a quar-
terly report under paragraph (2)(A)(iii) or paragraph (4)(A)(i) shall
be waived if such committee is required to file a pre-election report
under paragraph (2)(A)(i), or paragraph (4)(A)(ii) during the period
beginning on the 5th day after the close of the calendar quarter and
ending on the 15th day after the close of the calendar quarter.
(9) The Commission shall set filing dates for reports to be
filed by principal campaign committees of candidates seeking elec-
tion, or nomination for election, in special elections and po litical
committees filing under paragraph (4)(A) which make contributions
to or expenditures on behalf of a candidate or can didates in special
elections. The Commission shall require no more than one pre-
election report for each election and one post election report for the
election which fills the vacancy. The Commission may waive any
reporting obligation of committees required to file for special elec-
tions if any report required by paragraph (2) or (4) is required to be
filed within 10 days of a report required under this subsection. The
Commission shall establish the reporting dates within 5 days of the
setting of such election and shall publish such dates and notify the
principal campaign committees of all candidates in such election of
the reporting dates.
(10) The treasurer of a committee supporting a candidate for
the office of Vice President (other than the nominee of a po litical
party) shall file reports in accordance with paragraph (3).
§ 434
Page 38
Federal Election Campaign Laws
24
(11) (A) The Commission shall promulgate a regulation under
which a person required to file a designation, statement, or
report under this Act —
(i) is required to maintain and file a designation,
statement, or report for any calendar year in electronic
form accessible by computers if the person has, or has
reason to expect to have, aggregate contributions or ex-
penditures in excess of a threshold amount determined by
the Commission; and
(ii) may maintain and file a designation, statement,
or report in electronic form or an alternative form if not
required to do so under the regulation promulgated under
clause (i).
(B)
1
The Commission shall make a designation, statement,
report, or notification that is filed with the Commission under
this Act available for inspection by the public in the offices of
the Commission and accessible to the public on the Internet not
later than 48 hours (or not later than 24 hours in the case of
a designation, statement, report, or notification filed electroni-
cally) after receipt by the Commission.
(C) In promulgating a regulation under this paragraph,
the Commission shall provide methods (other than requiring a
signature on the document being filed) for verifying designa-
tions, statements, and reports covered by the regulation. Any
document verified under any of the methods shall be treated
for all purposes (including penalties for perjury) in the same
manner as a document verified by signature.
(D) As used in this paragraph, the term “report” means,
with respect to the Commission, a report, designation, or state-
ment required by this Act to be filed with the Commission.
(12) Software for filing of reports.
2
(A) In general. The Commission shall—
(i) promulgate standards to be used by vendors to
develop software that—
§ 434
1
Section 501 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No. 107-
155, amended section 434(a)(11)(B) to address Internet access to reports. This amendment
is effective as of November 6, 2002.
2
Section 306 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No. 107-
155, amended section 434(a) to add new subparagraph (12). This amendment is effective
as of November 6, 2002.
Page 39
Title 2. The Congress
25
(I) permits candidates to easily record in-
formation concerning receipts and disbursements
required to be reported under this Act at the time
of the receipt or disbursement;
(II) allows the information recorded under
subclause (I) to be transmitted immediately to the
Commission; and
(III) allows the Commission to post the infor-
mation on the Internet immediately upon receipt;
and
(ii) make a copy of software that meets the stan-
dards promulgated under clause (i) available to each
person required to file a designation, statement, or report
in electronic form under this Act.
(B) Additional information. To the extent feasible, the
Commission shall require vendors to include in the software
developed under the standards under subparagraph (A) the abil-
ity for any person to file any designation, statement, or report
required under this Act in electronic form.
(C) Required use. Notwithstanding any provision of
this Act relating to times for filing reports, each candidate for
Federal office (or that candidate’s authorized committee) shall
use software that meets the standards promulgated under this
paragraph once such software is made available to such can-
didate.
(D) Required posting. The Commission shall, as soon
as practicable, post on the Internet any information received
under this paragraph.
(b) Contents of reports. Each report under this section shall
disclose—
(1) the amount of cash on hand at the beginning of the
reporting period;
(2) for the reporting period and calendar year (or election
cycle, in the case of an authorized committee of a candidate for
Federal office), the total amount of all receipts, and the total amount
of all receipts in the following categories:
(A) contributions from persons other than political
committees;
(B) for an authorized committee, contributions from the
candidate;
§ 434
Page 40
Federal Election Campaign Laws
26
(C) contributions from political party committees;
(D) contributions from other political committees;
(E) for an authorized committee, transfers from other
authorized committees of the same candidate;
(F) transfers from affiliated committees and, where the
reporting committee is a political party committee, transfers
from other political party committees, regardless of whether
such committees are affiliated;
(G) for an authorized committee, loans made by or
guaranteed by the candidate;
(H) all other loans;
(I) rebates, refunds, and other offsets to operating ex-
penditures;
(J) dividends, interest, and other forms of receipts;
and
(K) for an authorized committee of a candidate for the
office of President, Federal funds received under chapter 95
and chapter 96 of title 26;
(3) the identification of each—
(A) person (other than a political committee) who makes
a contribution to the reporting committee during the reporting
period, whose contribution or contributions have an aggregate
amount or value in excess of $200 within the calendar year
(or election cycle, in the case of an authorized committee of
a candidate for Federal office), or in any lesser amount if the
reporting com mittee should so elect, together with the date and
amount of any such contribution;
(B) political committee which makes a contribution to
the reporting committee during the reporting period, to gether
with the date and amount of any such contribution;
(C) authorized committee which makes a transfer to the
reporting committee;
(D) affiliated committee which makes a transfer to the
reporting committee during the reporting period and, where the
reporting committee is a political party commit tee, each trans-
fer of funds to the reporting committee from another political
party committee, regardless of whether such committees are
affiliated, together with the date and amount of such transfer;
(E) person who makes a loan to the reporting com mittee
during the reporting period, together with the identi fication of
any endorser or guarantor of such loan, and date and amount
or value of such loan;
§ 434
Page 41
Title 2. The Congress
27
(F) person who provides a rebate, refund, or other offset
to operating expenditures to the reporting committee in an ag-
gregate amount or value in excess of $200 within the calendar
year (or election cycle, in the case of an authorized committee
of a candidate for Federal office), together with the date and
amount of such receipt; and
(G) person who provides any dividend, interest, or other
receipt to the reporting committee in an aggregate value or
amount in excess of $200 within the calendar year (or election
cycle, in the case of an authorized committee of a candidate
for Federal office), together with the date and amount of any
such re ceipt;
(4) for the reporting period and the calendar year (or elec-
tion cycle, in the case of an authorized committee of a candidate
for Federal office), the total amount of all disbursements, and all
disbursements in the following categories:
(A) expenditures made to meet candidate or commit tee
operating expenses;
(B) for authorized committees, transfers to other com-
mittees authorized by the same candidate;
(C) transfers to affiliated committees and, where the
reporting committee is a political party committee, transfers
to other political party committees, regardless of whether they
are affiliated;
(D) for an authorized committee, repayment of loans
made by or guaranteed by the candidate;
(E) repayment of all other loans;
(F) contribution refunds and other offsets to contribu-
tions;
(G) for an authorized committee, any other disburse-
ments;
(H) for any political committee other than an author ized
committee—
(i) contributions made to other political
com mittees;
(ii) loans made by the reporting committees;
(iii) independent expenditures;
(iv) expenditures made under section 441a(d) of
this title; and
(v) any other disbursements; and
§ 434
Page 42
Federal Election Campaign Laws
28
§ 434
(I) for an authorized committee of a candidate for the
office of President, disbursements not subject to the limitation
of section 441a(b);
(5) the name and address of each—
(A) person to whom an expenditure in an aggregate
amount or value in excess of $200 within the calendar year is
made by the reporting committee to meet a candidate or com-
mittee operating expense, together with the date, amount, and
purpose of such operating expenditure;
(B) authorized committee to which a transfer is made
by the reporting committee;
(C) affiliated committee to which a transfer is made
by the reporting committee during the reporting period and,
where the reporting committee is a political party commit tee,
each transfer of funds by the reporting committee to another
political party committee, regardless of whether such commit-
tees are affiliated, together with the date and amount of such
transfers;
(D) person who receives a loan repayment from the
reporting committee during the reporting period, together with
the date and amount of such loan repayment; and
(E) person who receives a contribution refund or other
offset to contributions from the reporting committee where
such contribution was reported under paragraph (3)(A) of this
subsection, together with the date and amount of such disburse-
ment;
(6) (A) for an authorized committee, the name and ad dress
of each person who has received any disbursement not disclosed
under paragraph (5) in an aggregate amount or value in excess
of $200 within the calendar year (or election cycle, in the case
of an authorized committee of a candidate for Federal office),
to gether with the date and amount of any such disbursement;
(B) for any other political committee, the name and
address of each—
(i) political committee which has received a contri-
bution from the reporting committee during the reporting
period, together with the date and amount or any such
contribution;
(ii) person who has received a loan from the report-
ing committee during the reporting period, to gether with
the date and amount of such loan;
Page 43
Title 2. The Congress
29
(iii) person who receives any disbursement dur ing
the reporting period in an aggregate amount or value in
excess of $200 within the calendar year (or election cycle,
in the case of an authorized committee of a candidate
for Federal office) in connection with an independent
expenditure by the re porting committee, together with
the date, amount, and purpose of any such independent
expenditure and a statement which indicates whether such
independent expenditure is in support of, or in opposition
to, a candidate, as well as the name and office sought
by such candidate, and a certification, under penalty of
perjury, whether such independent expenditure is made
in cooperation, consultation, or concert, with, or at the
request or suggestion of, any candidate or any authorized
committee or agent of such committee;
(iv) person who receives any expenditure from
the reporting committee during the reporting period in
connection with an expenditure under section 441a(d) of
this title, together with the date, amount, and pur pose of
any such expenditure as well as the name of, and office
sought by, the candidate on whose behalf the expenditure
is made; and
(v) person who has received any disbursement not
otherwise disclosed in this paragraph or paragraph (5) in
an aggregate amount or value in excess of $200 within
the calendar year (or election cycle, in the case of an
authorized committee of a candidate for Federal office)
from the reporting committee within the reporting period,
together with the date, amount, and purpose of any such
disbursement;
(7) the total sum of all contributions to such political com-
mittee, together with the total contributions less offsets to contribu-
tions and the total sum of all operating expenditures made by such
political committee, together with total operating expenditures less
offsets to operating expenditures, for both the reporting period and
the calendar year (or election cycle, in the case of an authorized
committee of a candidate for Federal office); and
(8) the amount and nature of outstanding debts and obli gations
owed by or to such political committee; and where such debts and
obligations are settled for less than their reported amount or value,
a statement as to the circumstances and condi tions under which
such debts or obligations were extinguished and the consideration
therefor.
§ 434
Page 44
Federal Election Campaign Laws
30
§ 434
(c) Statements by other than political committees; filing; contents;
indices of expenditures.
(1) Every person (other than a political committee) who makes
independent expenditures in an aggregate amount or value in excess
of $250 during a calendar year shall file a state ment containing the
information required under subsection (b)(3)(A) of this section for
all contributions received by such person.
(2) Statements required to be filed by this subsection shall be
filed in accordance with subsection (a)(2) of this sec tion, and shall
include—
(A) the information required by subsection (b)(6)(B)(iii)
of this section, indicating whether the inde pendent expenditure
is in support of, or in opposition to, the candidate involved;
(B) under penalty of perjury, a certification whether
or not such independent expenditure is made in coopera tion,
consultation, or concert, with, or at the request or sug gestion
of, any candidate or any authorized committee or agent of such
candidate; and
(C) the identification of each person who made a con-
tribution in excess of $200 to the person filing such statement
which was made for the purpose of furthering an independent
expenditure.
1
(3) The Commission shall be responsible for expedi tiously
preparing indices which set forth, on a candidate-by-can didate basis,
all independent expenditures separately, including those reported
under subsection (b)(6)(B)(iii) of this section, made by or for each
candidate, as reported under this subsection, and for periodically
publishing such indices on a timely pre -election basis.
(d) Use of facsimile machines and electronic mail to file independent
expenditure statements.
(1) Any person who is required to file a statement under
sub-section (c) or (g)
2
of this section, except statements required to
1
Sections 502(a) and (c) of the Department of Transportation and Related Agencies Ap-
propriations Act, 2001, Pub. L. No. 106-346, amended 2 U.S.C. § 434 by amending sub-
section (c)(2) and adding subsection (d), as well as a conforming amendment at 2 U.S.C.
§ 434(a)(5). These amendments became effective with respect to elections occurring after
January 1, 2001. Section 212(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA),
Pub. L. No. 107-155, further amended section 434 by striking the undesignated matter
after subparagraph (c)(2) and adding new section 434(g). This amendment is effective as
of November 6, 2002.
2
Section 212(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, added a conforming amendment to section 434(d)(1). This amendment is ef-
fective as of November 6, 2002.
Page 45
Title 2. The Congress
31
be filed electronically pursuant to subsection (a)(11)(A)(i) may file
the statement by facsimile device or electronic mail, in accordance
with such regulations as the Commission may promulgate.
(2) The Commission shall make a document which is filed
electronically with the Commission pursuant to this paragraph ac-
cessible to the public on the internet not later than 24 hours after
the document is received by the Commission.
(3) In promulgating a regulation under this paragraph, the
Commission shall provide methods (other than requiring a signature
on the document being filed) for verifying the documents covered
by the regulation. Any document verified under any of the methods
shall be treated for all purposes (including penalties for perjury) in
the same manner as a document verified by signature.
(e) Political committee.
1
(1) National and congressional political committees. The
national committee of a political party, any national congressional
campaign committee of a political party, and any subordinate com-
mittee of either, shall report all receipts and disbursements during
the reporting period.
(2) Other political committees to which section 323 (2 U.S.C.
§ 441i) applies.
(A) In general. In addition to any other reporting require-
ments applicable under this Act, a political committee (not
described in paragraph (1)) to which section 323(b)(1) (2 U.S.C.
§ 441i(b)(1)) applies shall report all receipts and disbursements
made for activities described in section 301(20)(A), (2 U.S.C. §
431(20)(A)) unless the aggregate amount of such receipts and
disbursements during the calendar year is less than $5,000.
(B) Specific disclosure by state and local parties of certain
nonfederal amounts permitted to be spent on federal election
activity. Each report by a political committee under subparagraph
(A) of receipts and disbursements made for activities described
in section 301(20)(A) (2 U.S.C. § 431(20)(A)) shall include a
disclosure of all receipts and disbursements described in section
323(b)(2)(A) and (B) (2 U.S.C. § 441i(b)(2)(A) and (B)).
§ 434
1
Section 103 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434 to add paragraph (e). This amendment is effective as of
November 6, 2002.
Page 46
Federal Election Campaign Laws
32
§ 434
1
Section 201(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434 to add paragraph (f). This amendment is effective as of
November 6, 2002.
(3) Itemization. If a political committee has receipts or dis-
bursements to which this subsection applies from or to any person
aggregating in excess of $200 for any calendar year, the political
committee shall separately itemize its reporting for such person in
the same manner as required in paragraphs (3)(A), (5), and (6) of
subsection (b).
(4) Reporting periods. Reports required to be filed under
this subsection shall be filed for the same time periods required for
political committees under subsection (a)(4)(B).
(f) Disclosure of electioneering communications.
1
(1) Statement required. Every person who makes a disburse-
ment for the direct costs of producing and airing electioneering com-
munications in an aggregate amount in excess of $10,000 during any
calendar year shall, within 24 hours of each disclosure date, file with
the Commission a statement containing the information described in
paragraph (2).
(2) Contents of statement. Each statement required to be
filed under this subsection shall be made under penalty of perjury
and shall contain the following information:
(A) The identification of the person making the disburse-
ment, of any person sharing or exercising direction or control
over the activities of such person, and of the custodian of the
books and accounts of the person making the disbursement.
(B) The principal place of business of the person making
the disbursement, if not an individual.
(C) The amount of each disbursement of more than $200
during the period covered by the statement and the identifica-
tion of the person to whom the disbursement was made.
(D) The elections to which the electioneering commu-
nications pertain and the names (if known) of the candidates
identified or to be identified.
(E) If the disbursements were paid out of a segregated
bank account which consists of funds contributed solely by
individuals who are United States citizens or nationals or law-
fully admitted for permanent residence (as defined in section
101(a)(20) of the Immigration and Nationality Act (8 U.S.C.
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Title 2. The Congress
33
§ 1101(a)(20))) directly to this account for electioneering
communications, the names and addresses of all contributors
who contributed an aggregate amount of $1,000 or more to
that account during the period beginning on the first day of
the preceding calendar year and ending on the disclosure date.
Nothing in this subparagraph is to be construed as a prohibition
on the use of funds in such a segregated account for a purpose
other than electioneering communications.
(F) If the disbursements were paid out of funds not
described in subparagraph (E), the names and addresses of all
contributors who contributed an aggregate amount of $1,000 or
more to the person making the disbursement during the period
beginning on the first day of the preceding calendar year and
ending on the disclosure date.
(3) Electioneering communication. For purposes of this
subsection—
(A) In general.
(i) The term ‘electioneering communication’
means any broadcast, cable, or satellite communication
which—
(I) refers to a clearly identified candidate for
Federal office;
(II) is made within—
(aa) 60 days before a general, special,
or runoff election for the office sought by the
candidate; or
(bb) 30 days before a primary or pref-
erence election, or a convention or caucus of
a political party that has authority to nominate
a candidate, for the office sought by the can-
didate; and
(III) in the case of a communication which
refers to a candidate for an office other than Presi-
dent or Vice President, is targeted to the relevant
electorate.
(ii) If clause (i) is held to be constitutionally
insufficient by final judicial decision to support the regu-
lation provided herein, then the term ‘electioneering
communication’ means any broadcast, cable, or satellite
communication which promotes or supports a candidate
§ 434
Page 48
Federal Election Campaign Laws
34
§ 434
for that office, or attacks or opposes a candidate for that
office (regardless of whether the communication expressly
advocates a vote for or against a candidate) and which
also is suggestive of no plausible meaning other than an
exhortation to vote for or against a specific candidate.
Nothing in this subparagraph shall be construed to affect
the interpretation or application of section 100.22(b) of
title 11, Code of Federal Regulations.
(B) Exceptions. The term ‘electioneering communication’
does not include—
(i) a communication appearing in a news story,
commentary, or editorial distributed through the facilities of
any broadcasting station, unless such facilities are owned
or controlled by any political party, political committee,
or candidate;
(ii) a communication which constitutes an expen-
diture or an independent expenditure under this Act;
(iii) a communication which constitutes a candi-
date debate or forum conducted pursuant to regulations
adopted by the Commission, or which solely promotes
such a debate or forum and is made by or on behalf of
the person sponsoring the debate or forum; or
(iv) any other communication exempted under
such regulations as the Commission may promulgate
(consistent with the requirements of this paragraph) to
ensure the appropriate implementation of this paragraph,
except that under any such regulation a communication
may not be exempted if it meets the requirements of this
paragraph and is described in section 301(20)(A)(iii) (2 U.
S.C. § 431(20)(A)(iii)).
(C) Targeting to relevant electorate. For purposes of this
paragraph, a communication which refers to a clearly identified
candidate for Federal office is ‘targeted to the relevant elector-
ate’ if the communication can be received by 50,000 or more
persons—
(i) in the district the candidate seeks to represent, in
the case of a candidate for Representative in, or Delegate
or Resident Commissioner to, the Congress; or
(ii) in the State the candidate seeks to represent,
in the case of a candidate for Senator.
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Title 2. The Congress
35
(4) Disclosure date. For purposes of this subsection, the term
‘disclosure date’ means—
(A) the first date during any calendar year by which a
person has made disbursements for the direct costs of producing
or airing electioneering communications aggregating in excess
of $10,000; and
(B) any other date during such calendar year by which
a person has made disbursements for the direct costs of pro-
ducing or airing electioneering communications aggregating
in excess of $10,000 since the most recent disclosure date for
such calendar year.
(5) Contracts to disburse. For purposes of this subsection, a
person shall be treated as having made a disbursement if the person
has executed a contract to make the disbursement.
(6) Coordination with other requirements. Any requirement to
report under this subsection shall be in addition to any other report-
ing requirement under this Act.
(7) Coordination with Internal Revenue Code. Nothing in
this subsection may be construed to establish, modify, or otherwise
affect the definition of political activities or electioneering activities
(including the definition of participating in, intervening in, or influ-
encing or attempting to influence a political campaign on behalf of
or in opposition to any candidate for public office) for purposes of
the Internal Revenue Code of 1986.
(g) Time for reporting certain expenditures.
1
(1) Expenditures aggregating $1,000.
(A) Initial report. A person (including a political com-
mittee) that makes or contracts to make independent expendi-
tures aggregating $1,000 or more after the 20th day, but more
than 24 hours, before the date of an election shall file a report
describing the expenditures within 24 hours.
(B) Additional reports. After a person files a report un-
der subparagraph (A), the person shall file an additional report
within 24 hours after each time the person makes or contracts
to make independent expenditures aggregating an additional
$1,000 with respect to the same election as that to which the
initial report relates.
§ 434
1
Section 212(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434 by striking the undesignated matter after paragraph (c) and
adding new paragraph (g). This amendment is effective as of November 6, 2002.
Page 50
Federal Election Campaign Laws
36
§ 434
(2) Expenditures aggregating $10,000.
(A) Initial report. A person (including a political commit-
tee) that makes or contracts to make independent expenditures
aggregating $10,000 or more at any time up to and including
the 20th day before the date of an election shall file a report
describing the expenditures within 48 hours.
(B) Additional reports. After a person files a report un-
der subparagraph (A), the person shall file an additional report
within 48 hours after each time the person makes or contracts
to make independent expenditures aggregating an additional
$10,000 with respect to the same election as that to which the
initial report relates.
(3) Place of filing; Contents. A report under this subsec-
tion—
(A) shall be filed with the Commission; and
(B) shall contain the information required by subsection
(b)(6)(B)(iii), including the name of each candidate whom an
expenditure is intended to support or oppose.
(4) Time of filing for expenditures aggregating $1,000. Not-
withstanding subsection (a)(5), the time at which the statement under
paragraph (1) is received by the Commission or any other recipient
to whom the notification is required to be sent shall be considered
the time of filing of the statement with the recipient.
(h)
1
Reports from Inaugural Committees. The Federal Election
Commission shall make any report filed by an Inaugural Committee under
section 510 of title 36, United States Code, accessible to the public at the
offices of the Commission and on the Internet not later than 48 hours after
the report is received by the Commission.
§ 437. Reports on convention financing
Each committee or other organization which—
(1) represents a State, or a political subdivision thereof, or
any group of persons, in dealing with officials of a national political
party with respect to matters involving a convention held in such
State or political subdivision to nominate a can didate for the office
of President or Vice President, or
1
Section 308(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 434 by adding paragraph (h). This amendment is effective as
of November 6, 2002.
Page 51
Title 2. The Congress
37
(2) represents a national political party in making ar rangements
for the convention of such party held to nominate a candidate for the
office of President or Vice President, shall, within 60 days following
the end of the convention (but not later than 20 days prior to the
date on which presidential and vice-presidential electors are chosen),
file with the Commission a full and complete financial statement, in
such form and detail as it may prescribe, of the sources from which
it derived its funds, and the pur pose for which such funds were
expended.
§ 437c. Federal Election Commission
(a) Establishment; membership; term of office; vacancies; quali-
fications; compensation; chairman and vice chairman.
(1) There is established a commission to be known as the
Federal Election Commission. The Commission is composed of the
Secretary of the Senate and the Clerk of the House of Rep resentatives
or their designees, ex officio and without the right to vote, and 6
members appointed by the President, by and with the advice and
consent of the Senate.
1
No more than 3 members of the Commis-
sion appointed under this paragraph may be affili ated with the same
political party.
(2) (A) Members of the Commission shall serve for a single
term of 6 years,
2
except that of the members first ap pointed—
(i) two of the members, not affiliated with the
same political party, shall be appointed for terms end ing
on April 30, 1977;
(ii) two of the members, not affiliated with the
same political party, shall be appointed for terms end ing
on April 30, 1979; and
(iii) two of the members, not affiliated with the
same political party, shall be appointed for terms end ing
on April 30, 1981.
§ 437c
2
This term limit applies to individuals nominated by the President to be members of the
Federal Election Commission after December 31, 1997 unless the President announced his
intent to nominate the individual prior to November 30, 1997. Pub. L. No. 105–61, § 512,
111 Stat. 1272, 1305 (1997), Pub. L. No. 105-119, § 631, 111 Stat. 2440, 2522 (1997).
1
The U.S. Court of Appeals for the District of Columbia found the ex officio member-
ship of the Secretary of the Senate and the Clerk of the House on the Federal Election
Commission to be unconstitutional, a holding left intact when the Supreme Court sub-
sequently decided that it should not have agreed to hear the Commission’s appeal. FEC
v. NRA Political Victory Fund, 6 F.3d 821 (D.C. Cir. 1993), cert. dismissed for want of
jurisdiction, 513 U.S. 88 (1994). Therefore these ex officio members no longer serve on
the Commission.
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Federal Election Campaign Laws
38
§ 437c
(B) A member of the Commission may serve on the Com-
mission after the expiration of his or her term until his or her
successor has taken office as a member of the Com mission.
(C) An individual appointed to fill a vacancy occur ring
other than by the expiration of a term of office shall be ap-
pointed only for the unexpired term of the member he or she
succeeds.
(D) Any vacancy occurring in the membership of the
Commission shall be filled in the same manner as in the case
of the original appointment.
(3) Members shall be chosen on the basis of their experi ence,
integrity, impartiality, and good judgment and members (other than
the Secretary of the Senate and the Clerk of the House of Repre-
sentatives) shall be individuals who, at the time appointed to the
Commission, are not elected or appointed officers or employees in
the executive, legislative, or judicial branch of the Federal Govern-
ment. Such members of the Commission shall not engage in any other
business, vocation, or employment. Any individual who is engaging
in any other business, vocation, or employment at the time of his
or her appointment to the Commission shall terminate or liquidate
such activity no later than 90 days after such appointment.
(4) Members of the Commission (other than the Secretary
of the Senate and the Clerk of the House of Representatives) shall
receive compensation equivalent to the compensation paid at level
IV of the Executive Schedule (5 U.S.C. § 5315).
(5) The Commission shall elect a chairman and a vice chair-
man from among its members (other than the Secretary of the Senate
and the Clerk of the House of Representatives) for a term of one
year. A member may serve as chairman only once during any term
of office to which such member is appointed. The chairman and the
vice chairman shall not be affiliated with the same political party.
The vice chairman shall act as chairman in the absence or disability
of the chairman or in the event of a vacancy in such office.
(b) Administration, enforcement, and formulation of policy; ex-
clusive jurisdiction of civil enforcement; Congressional authorities or
functions with respect to elections for Federal office.
(1) The Commission shall administer, seek to obtain com-
pliance with, and formulate policy with respect to, this Act and
chapter 95 and chapter 96 of title 26. The Commission shall have
exclusive jurisdiction with respect to the civil enforcement of such
provisions.
(2) Nothing in this Act shall be construed to limit, re strict, or
diminish any investigatory, informational, oversight, su pervisory, or
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Title 2. The Congress
39
disciplinary authority or function of the Congress or any committee
of the Congress with respect to elections for Federal office.
(c) Voting requirements; delegation of authorities. All deci sions
of the Commission with respect to the exercise of its duties and powers
under the provisions of this Act shall be made by a majority vote of the
members of the Commission. A member of the Commis sion may not
delegate to any person his or her vote or any decision making authority or
duty vested in the Commission by the provisions of this Act, except that
the affirmative vote of 4 members of the Commission shall be required in
order for the Commission to take any action in accordance with paragraph
(6), (7), (8), or (9) of section 437d(a) of this title or with chapter 95 or
chapter 96 of title 26.
(d) Meetings. The Commission shall meet at least once each month
and also at the call of any member.
(e) Rules for conduct of activities; judicial notice of seal; principal
office. The Commission shall prepare written rules for the con duct of its
activities, shall have an official seal which shall be judi cially noticed, and
shall have its principal office in or near the Dis trict of Columbia (but it
may meet or exercise any of its powers any where in the United States).
(f) Staff director and general counsel; appointment and com-
pensation; appointment and compensation of personnel and procure ment
of intermittent services by staff director; use of assistance, personnel,
and facilities of Federal agencies and departments; counsel for defense
of actions.
(1) The Commission shall have a staff director and a gen-
eral counsel who shall be appointed by the Commission. The staff
director shall be paid at a rate not to exceed the rate of basic pay in
effect for level IV of the Executive Schedule (5 U.S.C. 5315). The
general counsel shall be paid at a rate not to exceed the rate of basic
pay in effect for level V of the Exec utive Schedule (5 U.S.C. 5316).
With the approval of the Com mission, the staff director may appoint
and fix the pay of such additional personnel as he or she considers
desirable without regard to the provisions of title 5, United States
Code, governing appointments in the competitive service.
(2) With the approval of the Commission, the staff direc tor
may procure temporary and intermittent services to the same extent
as is authorized by section 3109(b) of title 5, United States Code,
but at rates for individuals not to exceed the daily equivalent of the
annual rate of basic pay in effect for grade GS–15 of the General
Schedule (5 U.S.C. § 5332).
§ 437c
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Federal Election Campaign Laws
40
§ 437c
(3) In carrying out its responsibilities under this Act, the
Commission shall, to the fullest extent practicable, avail itself of the
assistance, including personnel and facilities of other agen cies and
departments of the United States. The heads of such agencies and
departments may make available to the Commis sion such personnel,
facilities, and other assistance, with or without reimbursement, as
the Commission may request.
(4) Notwithstanding the provisions of paragraph (2), the
Commission is authorized to appear in and defend against any action
instituted under this Act, either—
(A) by attorneys employed in its office, or
(B) by counsel whom it may appoint, on a temporary
basis as may be necessary for such purpose, without regard
to the provisions of title 5, United States Code, governing ap-
pointments in the competitive service, and whose compensation
it may fix without regard to the provisions of chapter 51 and
subchapter III of chapter 53 of such title. The compensation
of counsel so appointed on a temporary basis shall be paid out
of any funds otherwise available to pay the compensation of
employees of the Commission.
§ 437d. Powers of the Commission
(a) Specific authorities. The Commission has the power—
(1) to require by special or general orders, any person to
submit, under oath, such written reports and answers to ques tions
as the Commission may prescribe;
(2) to administer oaths or affirmations;
(3) to require by subpoena, signed by the chairman or the
vice chairman, the attendance and testimony of witnesses and the
production of all documentary evidence relating to the execution of
its duties;
(4) in any proceeding or investigation, to order testimony to
be taken by deposition before any person who is designated by the
Commission and has the power to administer oaths and, in such
instances, to compel testimony and the production of evidence in
the same manner as authorized under paragraph (3);
(5) to pay witnesses the same fees and mileage as are paid
in like circumstances in the courts of the United States;
(6) to initiate (through civil actions for injunctive, declar atory,
or other appropriate relief), defend (in the case of any civil action
brought under section 437g(a)(8) of this title) or appeal any civil
Page 55
Title 2. The Congress
41
action in the name of the Commission to enforce the provisions of
this Act and chapter 95 and chapter 96 of title 26, through its general
counsel;
(7) to render advisory opinions under section 437f of this
title;
(8) to develop such prescribed forms and to make, amend,
and repeal such rules, pursuant to the provisions of chapter 5 of title
5, United States Code, as are necessary to carry out the provisions
of this Act and chapter 95 and chapter 96 of title 26; and
(9) to conduct investigations and hearings expeditiously, to
encourage voluntary compliance, and to report apparent viola tions
to the appropriate law enforcement authorities.
(b) Judicial orders for compliance with subpoenas and orders of
Commission; contempt of court. Upon petition by the Commission, any
United States district court within the jurisdiction of which any inquiry
is being carried on may, in case of refusal to obey a subpoena or order of
the Commission issued under subsection (a) of this sec tion, issue an order
requiring compliance. Any failure to obey the order of the court may be
punished by the court as a contempt there of.
(c) Civil liability for disclosure of information. No person shall be
subject to civil liability to any person (other than the Commission or the
United States) for disclosing information at the request of the Commis-
sion.
(d) Concurrent transmissions to Congress or member of budget
estimates, etc.; prior submission of legislative recommendations, testimony,
or comments on legislation
.1
(1) Whenever the Commission submits any budget esti mate
or request to the President or the Office of Management and Budget,
it shall concurrently transmit a copy of such esti mate or request to
the Congress.
(2) Whenever the Commission submits any legislative recom-
mendation, or testimony, or comments on legislation, re quested by the
Congress or by any Member of the Congress, to the President or the
Office of Management and Budget, it shall concurrently transmit a
copy thereof to the Congress or to the Member requesting the same.
No officer or agency of the United States shall have any authority to
require the Commission to submit its legislative recommendations,
testimony, or comments on legislation, to any office or agency of
the United States for approval, comments, or review, prior to the
§ 437d
1
These reports are no longer required. See House Document No. 103-7, cited in Note,
31 U.S.C. § 1113 and Pub. L. No. 104-66.
Page 56
Federal Election Campaign Laws
42
§ 437d
submission of such recommendations, testimony, or comments to
the Congress.
(e) Exclusive civil remedy for enforcement. Except as provided in
section 437g(a)(8) of this title, the power of the Commission to initiate
civil actions under subsection (a)(6) of this section shall be the exclusive
civil remedy for the enforcement of the provisions of this Act.
§ 437f. Advisory opinions
(a) Requests by persons, candidates, or authorized committees;
subject matter; time for response.
(1) Not later than 60 days after the Commission receives from
a person a complete written request concerning the appli cation of
this Act, chapter 95 or chapter 96 of title 26, or a rule or regulation
prescribed by the Commission, with respect to a specific transaction
or activity by the person, the Commission shall render a written advi-
sory opinion relating to such trans action or activity to the person.
(2) If an advisory opinion is requested by a candidate, or any
authorized committee of such candidate, during the 60-day period
before any election for Federal office involving the re questing party,
the Commission shall render a written advisory opinion relating to
such request no later than 20 days after the Commission receives a
complete written request.
(b) Procedures applicable to initial proposal of rules or regu lations,
and advisory opinions. Any rule of law which is not stated in this Act or
in chapter 95 or chapter 96 of title 26 may be initially proposed by the
Commission only as a rule or regulation pursuant to procedures established
in section 438(d) of this title. No opinion of an advisory nature may be
issued by the Commission or any of its employees except in accordance
with the provisions of this section.
(c) Persons entitled to rely upon opinions; scope of protection for
good faith reliance.
(1) Any advisory opinion rendered by the Commission under
subsection (a) of this section may be relied upon by—
(A) any person involved in the specific transaction or
activity with respect to which such advisory opinion is rendered;
and
(B) any person involved in any specific transaction or
activity which is indistinguishable in all its material as pects
from the transaction or activity with respect to which such
advisory opinion is rendered.
(2) Notwithstanding any other provisions of law, any per son
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Title 2. The Congress
43
who relies upon any provision or finding of an advisory opinion in
accordance with the provisions of paragraph (1) and who acts in
good faith in accordance with the provisions and findings of such
advisory opinion shall not, as a result of any such act, be subject to
any sanction provided by this Act or by chapter 95 or chapter 96 of
title 26.
(d) Requests made public; submission of written comments by
interested public. The Commission shall make public any requests made
under subsection (a) of this section for an advisory opinion. Be fore render-
ing an advisory opinion, the Commission shall accept writ ten comments
submitted by any interested party within the 10-day pe riod following the
date the request is made public.
§ 437g. Enforcement
(a) Administrative and judicial practice and procedure.
1
(1) Any person who believes a violation of this Act or of
chapter 95 or chapter 96 of title 26 has occurred, may file a com-
plaint with the Commission. Such complaint shall be in writing,
signed and sworn to by the person filing such com plaint, shall be
notarized, and shall be made under penalty of perjury and subject to
the provisions of section 1001 of title 18. Within 5 days after receipt
of a complaint, the Commission shall notify, in writing, any person
alleged in the complaint to have committed such a violation. Before
the Commission conducts any vote on the complaint, other than a
vote to dismiss, any per son so notified shall have the opportunity
to demonstrate, in writing, to the Commission within 15 days after
notification that no action should be taken against such person on
the basis of the complaint. The Commission may not conduct any
investiga tion or take any other action under this section solely on
the basis of a complaint of a person whose identity is not disclosed
to the Commission.
(2) If the Commission, upon receiving a complaint under
paragraph (1) or on the basis of information ascertained in the normal
§ 437g
1
The Debt Collection Improvement Act, adopted in 1996, amended the Federal Civil
Penalties Inflation Adjustment Act to require that the FEC and other executive agencies
adjust the top amount of their current civil penalties. The general provisions at 2 U.S.C.
§ 437g(a)(5) and (6) now call for a maximum penalty of the greater of the amount of any
contribution or expenditure involved in the violation or $5,500. The maximum penalty for
knowing and willful violations increased to $11,000. Civil penalties assessed for violating
the Act’s confidentiality provisions at 2 U.S.C. § 437g(a)(12) increased to $2,200 and, for
knowing and willful violations, to $5,500. These increases apply only to violations that
occurred after April 29, 1997. See 62 FR 11316 and 62 FR 32021.
Page 58
Federal Election Campaign Laws
44
§ 437g
1
Section 640 of the Treasury and General Government Appropriations Act, 2000, Pub. L.
No. 106-58, amended 2 U.S.C. § 437g(a)(4) by adding subparagraph (C) plus conform-
ing amendments at sections 437g(a)(4)(A)(i) and (a)(6)(A). These amendments applied
with respect to violations occurring between January 1, 2000, and December 31, 2001.
The Fiscal Year 2002 Treasury and General Government Appropriations Act, Pub. L. No.
106-58, extended the effective date to cover violations that relate to reporting periods
through December 31, 2003. Section 639 of the Consolidated Appropriations Act, 2004,
Pub. L. No. 108-199, further extended the effective date to cover violations that relate to
reporting periods through December 31, 2005. See 69 FR 6525 (February 11, 2004) for
more information.
course of carrying out its supervisory responsibilities, de termines, by
an affirmative vote of 4 of its members, that it has reason to believe
that a person has committed, or is about to commit, a violation of
this Act or chapter 95 or chapter 96 of title 26, the Commission shall,
through its chairman or vice chairman, notify the person of the al-
leged violation. Such notification shall set forth the factual basis for
such alleged violation. The Commission shall make an investigation
of such alleged violation, which may include a field investigation or
audit, in ac cordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the
respondent of any recommendation to the Commission by the general
counsel to proceed to a vote on probable cause pur suant to paragraph
(4)(A)(i). With such notification, the general counsel shall include
a brief stating the position of the general counsel on the legal and
factual issues of the case. Within 15 days of receipt of such brief,
respondent may submit a brief stat ing the position of such respondent
on the legal and factual is sues of the case, and replying to the brief
of general counsel. Such briefs shall be filed with the Secretary of
the Commission and shall be considered by the Commission before
proceeding under paragraph (4).
(4) (A) (i) Except as provided in clauses (ii) and subpara-
graph (C),
1
if the Commission determines, by an affirma-
tive vote of 4 of its members, that there is probable cause
to believe that any person has committed, or is about to
commit, a violation of this Act or of chapter 95 or chapter
96 of title 26, the Commission shall attempt, for a period
of at least 30 days, to correct or prevent such viola tion
by informal methods of conference, conciliation, and per-
suasion, and to enter into a conciliation agree ment with
any person involved. Such attempt by the Commission
to correct or prevent such violation may continue for a
period of not more than 90 days. The Commission may
not enter into a conciliation agree ment under this clause
except pursuant to an affirma tive vote of 4 of its members.
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Title 2. The Congress
45
A conciliation agree ment, unless violated, is a complete
bar to any further action by the Commission, including the
bringing of a civil proceeding under paragraph (6)(A).
(ii) If any determination of the Commission under
clause (i) occurs during the 45-day period im mediately
preceding any election, then the Commis sion shall attempt,
for a period of at least 15 days, to correct or prevent the
violation involved by the methods specified in clause
(i).
(B) (i) No action by the Commission or any per son,
and no information derived, in connection with any con-
ciliation attempt by the Commission under subparagraph
(A) may be made public by the Com mission without the
written consent of the respondent and the Commission.
(ii) If a conciliation agreement is agreed upon by
the Commission and the respondent, the Commission shall
make public any conciliation agreement signed by both
the Commission and the respondent. If the Commission
makes a determination that a per son has not violated this
Act or chapter 95 or chapter 96 of title 26, the Commis-
sion shall make public such determination.
(C) (i) Notwithstanding subparagraph (A), in the case
of a violation of any requirement of section 304(a) of the
Act (2 U.S.C. § 434(a)), the Commission may—
(I) find that a person committed such a viola-
tion on the basis of information obtained pursuant
to the procedures described in paragraphs (1) and
(2); and
(II) based on such finding, require the person
to pay a civil money penalty in an amount determined
under a schedule of penalties which is established
and published by the Commission and which takes
into account the amount of the violation involved,
the existence of previous violations by the person,
and such other factors as the Commission considers
appropriate.
(ii) The Commission may not make any determina-
tion adverse to a person under clause (i) until the person
has been given written notice and an opportunity to be
heard before the Commission.
(iii) Any person against whom an adverse deter-
mination is made under this subparagraph may obtain a
§ 437g
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Federal Election Campaign Laws
46
§ 437g
1
Section 315(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, inserted new language in sections 437g(a)(5)(B) and (6)(C). This amendment
is effective for violations occurring on or after November 6, 2002.
review of such determination in the district court of the
United States for the district in which the person resides,
or transacts business, by filing in such court (prior to the
expiration of the 30-day period which begins on the date
the person receives notification of the determination)
a written petition requesting that the determination be
modified or set aside.
(5) (A) If the Commission believes that a violation of this
Act or of chapter 95 or chapter 96 of title 26 has been com-
mitted, a conciliation agreement entered into by the Commis-
sion under paragraph (4)(A) may include a require ment that
the person involved in such conciliation agree ment shall pay
a civil penalty which does not exceed the greater of $5,000 or
an amount equal to any contribution or expenditure involved
in such violation.
(B) If the Commission believes that a knowing and will-
ful violation of this Act or of chapter 95 or chapter 96 of title
26 has been committed, a conciliation agreement entered into
by the Commission under paragraph (4)(A) may require that
the person involved in such conciliation agreement shall pay a
civil penalty which does not exceed the greater of $10,000 or an
amount equal to 200 percent of any contribution or expenditure
involved in such viola tion (or in the case of a violation of sec-
tion 320 (2 U.S.C. § 441f), which is not less than 300 percent
of the amount involved in the violation and is not more than
the greater of $50,000 or 1000 percent of the amount involved
in the violation)
1
(C) If the Commission by an affirmative vote of 4 of its
members, determines that there is probable cause to believe that
a knowing and willful violation of this Act which is subject to
subsection (d) of this section, or a knowing and willful violation
of chapter 95 or chapter 96 of title 26, has occurred or is about
to occur, it may refer such apparent violation to the Attorney
General of the United States without regard to any limitations
set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a
conciliation agreement with the Commission under para graph
(4)(A), the Commission may institute a civil action for relief
under paragraph (6)(A) if it believes that the per son has violated
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Title 2. The Congress
47
any provision of such conciliation agree ment. For the Commis-
sion to obtain relief in any civil ac tion, the Commission need
only establish that the person has violated, in whole or in part,
any requirement of such conciliation agreement.
(6) (A) If the Commission is unable to correct or prevent any
violation of this Act or of chapter 95 or chapter 96 of title 26,
by the methods specified in paragraph (4), the Commission may,
upon an affirmative vote of 4 of its members, institute a civil
action for relief, includ ing a permanent or temporary injunction,
restraining order, or any other appropriate order (including an
order for a civil penalty which does not exceed the greater of
$5,000 or an amount equal to any contribution or expenditure
involved in such violation) in the district court of the United
States for the district in which the person against whom such
action is brought is found, resides, or transacts busi ness.
(B) In any civil action instituted by the Commission
under subparagraph (A), the court may grant a permanent or
temporary injunction, restraining order, or other order, including
a civil penalty which does not exceed the greater of $5,000 or
an amount equal to any contribution or expenditure involved in
such violation, upon a proper show ing that the person involved
has committed, or is about to commit (if the relief sought is
a permanent or temporary injunction or a restraining order), a
violation of this Act or chapter 95 or chapter 96 of title 26.
(C) In any civil action for relief instituted by the Com-
mission under subparagraph (A), if the court deter mines that the
Commission has established that the person involved in such
civil action has committed a knowing and willful violation of
this Act or of chapter 95 or chapter 96 of title 26, the court
may impose a civil penalty which does not exceed the greater
of $10,000 or an amount equal to 200 percent of any contribu-
tion or expenditure involved in such violation (or in the case of
a violation of section 320 (2 U.S.C. § 441f), which is not less
than 300 percent of the amount involved in the violation and
is not more than the greater of $50,000 or 1000 percent of the
amount involved in the violation.
(7) In any action brought under paragraph (5) or (6), subpoe-
nas for witnesses who are required to attend a United States district
court may run into any other district.
§ 437g
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Federal Election Campaign Laws
48
§ 437g
(8) (A) Any party aggrieved by an order of the Commis sion
dismissing a complaint filed by such party under para graph (1),
or by a failure of the Commission to act on such complaint dur-
ing the 120-day period beginning on the date the complaint is
filed, may file a petition with the United States District Court
for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed,
in the case of a dismissal of a complaint by the Com mission,
within 60 days after the date of the dismissal.
(C) In any proceeding under this paragraph the court
may declare that the dismissal of the complaint or the fail ure
to act is contrary to law, and may direct the Commission to
conform with such declaration within 30 days, fail ing which
the complainant may bring, in the name of such complainant,
a civil action to remedy the violation involved in the original
complaint.
(9) Any judgment of a district court under this subsection
may be appealed to the court of appeals, and the judgment of the
court of appeals affirming or setting aside, in whole or in part, any
such order of the district court shall be final, subject to review by the
Supreme Court of the United States upon certiorari or certification
as provided in section 1254 of title 28.
(10) Repealed.
(11) If the Commission determines after an investigation that
any person has violated an order of the court entered in a proceeding
brought under paragraph (6), it may petition the court for an order
to hold such person in civil contempt, but if it believes the violation
to be knowing and willful it may peti tion the court for an order to
hold such person in criminal con tempt.
(12) (A) Any notification or investigation made under this
section shall not be made public by the Commission or by any
person without the written consent of the person receiving such
notification or the person with respect to whom such investiga-
tion is made.
(B) Any member or employee of the Commission, or
any other person, who violates the provisions of sub paragraph
(A) shall be fined not more than $2,000. Any such member,
employee, or other person who knowingly and willfully violates
the provisions of subparagraph (A) shall be fined not more than
$5,000.
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Title 2. The Congress
49
(b) Notice to persons not filing required reports prior to insti tution
of enforcement action; publication of identity of persons and unfiled reports.
Before taking any action under subsection (a) of this section against any
person who has failed to file a report required under section 434(a)(2)(A)(iii)
of this title for the calendar quarter im mediately preceding the election
involved, or in accordance with sec tion 434(a)(2)(A)(i) of this title, the
Commission shall notify the per son of such failure to file the required
reports. If a satisfactory re sponse is not received within 4 business days
after the date of notification, the Commission shall, pursuant to section
438(a)(7) of this title, publish before the election the name of the person
and the report or reports such person has failed to file.
(c) Reports by Attorney General of apparent violations. Whenever
the Commission refers an apparent violation to the Attorney General, the
Attorney General shall report to the Commission any action taken by the
Attorney General regarding the apparent violation. Each report shall be
transmitted within 60 days after the date the Commission refers an ap-
parent violation, and every 30 days thereafter until the final disposition
of the apparent violation.
(d) Penalties; defenses; mitigation of offenses.
(1) (A) Any person who knowingly and willfully com mits
a violation of any provision of this Act which involves the
making, receiving, or reporting of any contribu tion, donation
or expenditure—
(i) aggregating $25,000 or more during a calendar
year shall be fined under title 18, United States Code, or
imprisoned for not more than 5 years, or both; or
(ii) aggregating $2,000 or more (but less than
$25,000) during a calendar year shall be fined under
such title, or imprisoned for not more than one year, or
both.
1
(B) In the case of a knowing and willful violation of
section 441b(b)(3) of this title, the penalties set forth in this
subsection shall apply to a violation involving an amount ag-
gregating $250 or more during a calendar year. Such violation
of section 441b(b)(3) of this title may incor porate a violation
of section 441c(b), 441f, and 441g of this title.
§ 437g
1
Section 312(a) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 437g(d)(1) to strike language in subparagraph (A) and insert
subparagraphs (A)(i) and (ii). This amendment is effective for violations occurring on or
after November 6, 2002.
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Federal Election Campaign Laws
50
§ 437g
(C) In the case of a knowing and willful violation of sec-
tion 441h of this title, the penalties set forth in this sub section
shall apply without regard to whether the making, receiving,
or reporting of a contribution or expenditure of $1,000 or more
is involved.
(D) Any person who knowingly and willfully commits a
violation of section 320 (2 U.S.C. § 441f) involving an amount
aggregating more than $10,000 during a calendar year shall
be—
(i) imprisoned for not more than 2 years if the
amount is less than $25,000 (and subject to imprison-
ment under subparagraph (A) if the amount is $25,000
or more);
(ii) fined not less than 300 percent of the amount
involved in the violation and not more than the greater
of—
(I) $50,000; or
(II) 1,000 percent of the amount involved in
the violation; or
(iii) both imprisoned under clause (i) and fined
under clause (ii).
1
(2) In any criminal action brought for a violation of any pro-
vision of this Act or of chapter 95 or chapter 96 of this title 26, any
defendant may evidence their lack of knowledge or in tent to com-
mit the alleged violation by introducing as evidence a conciliation
agreement entered into between the defendant and the Commission
under subsection (a)(4)(A) of this section which specifically deals
with the act or failure to act constituting such violation and which
is still in effect.
(3) In any criminal action brought for a violation of any
provision of this Act or of chapter 95 or chapter 96 of title 26, the
court before which such action is brought shall take into account,
in weighing the seriousness of the violation and in considering the
appropriateness of the penalty to be imposed if the defendant is
found guilty, whether—
(A) the specific act or failure to act which con stitutes the
violation for which the action was brought is the subject of a
conciliation agreement entered into be tween the defendant and
the Commission under subpara graph (a)(4)(A);
1
Section 315(b) of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, amended section 437g(d)(1) to add new subparagraph (D). This amendment is
effective for violations occurring on or after November 6, 2002.
Page 65
Title 2. The Congress
51
(B) the conciliation agreement is in effect; and
(C) the defendant is, with respect to the violation in-
volved, in compliance with the conciliation agreement.
§ 437h. Judicial review
1
The Commission, the national committee of any political party, or
any individual eligible to vote in any election for the office of President
may institute such actions in the appropriate district court of the United
States, including actions for declaratory judgment, as may be appropriate
to construe the constitutionality of any provision of this Act. The district
court immediately shall certify all questions of constitutionality of this
Act to the United States court of appeals for the circuit involved, which
shall hear the matter sitting en banc.
§ 438. Administrative provisions
(a) Duties of Commission. The Commission shall—
(1) prescribe forms necessary to implement this Act;
(2) prepare, publish, and furnish to all persons required to
file reports and statements under this Act a manual recommending
uniform methods of bookkeeping and reporting;
(3) develop a filing, coding, and cross-indexing system con-
sistent with the purposes of this Act.
(4) within 48 hours after the time of the receipt by the Com-
mission of reports and statements filed with it, make them available
for public inspection, and copying, at the expense of the person
requesting such copying, except that any information copied from
such reports or statements may not be sold or used by any person for
the purpose of soliciting contributions or for commercial purposes,
other than using the name and address of any political committee
to solicit contributions from such com mittee. A political committee
may submit 10 pseudonyms on each report filed in order to pro-
tect against the illegal use of names and addresses of contributors,
provided such committee attaches a list of such pseudonyms to the
appropriate report. The Secretary or the Commission shall exclude
these lists from the public record;
(5) keep such designations, reports, and statements for a pe-
riod of 10 years from the date of receipt, except that designa tions,
reports, and statements that relate solely to candidates for the House
§ 438
1
Section 403 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No.
107-155, provided special rules for actions challenging the constitutionality of that Act’s
provisions. See Note, 2 U.S.C. § 437h for more information.
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Federal Election Campaign Laws
52
§ 438
1
This report is no longer required. See House Document No. 103-7, cited at Note, 31
U.S.C. § 1113 and Pub. L. No. 104-66.
of Representatives shall be kept for 5 years from the date of their
receipt;
(6) (A) compile and maintain a cumulative index of des-
ignations, reports, and statements filed under this Act, which
index shall be published at regular intervals and made available
for purchase directly or by mail;
(B) compile, maintain, and revise a separate cumu lative
index of reports and statements filed by multicandidate com-
mittees, including in such index a list of multicandidate com-
mittees; and
(C) compile and maintain a list of multicandidate com-
mittees, which shall be revised and made available monthly;
(7) prepare and publish periodically lists of authorized com-
mittees which fail to file reports as required by this Act;
(8) prescribe rules, regulations, and forms to carry out the
provisions of this Act, in accordance with the provisions of sub section
(d) of this section;
(9) transmit to the President and to each House of the Congress
no later than June 1 of each year, a report which states in detail the
activities of the Commission in carrying out its du ties under this
Act, and any recommendations for any legislative or other action
the Commission considers appropriate;
1
and
(10) serve as a national clearinghouse for the compilation
of information and review of procedures with respect to the ad-
ministration of Federal elections. The Commission may enter into
contracts for the purpose of conducting studies under this paragraph.
Reports or studies made under this paragraph shall be available to
the public upon the payment of the cost thereof, except that copies
shall be made available without cost, upon re quest, to agencies and
branches of the Federal Government.
(b) Audits and field investigations. The Commission may con duct
audits and field investigations of any political committee re quired to file
a report under section 434 of this title. All audits and field investigations
concerning the verification for, and receipt and use of, any payments
received by a candidate or committee under chapter 95 or chapter 96 of
title 26 shall be given priority. Prior to conducting any audit under this
subsection, the Commission shall per form an internal review of reports
filed by selected committees to determine if the reports filed by a particu-
lar committee meet the thresh old requirements for substantial compliance
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Title 2. The Congress
53
with the Act. Such thresholds for compliance shall be established by the
Commission. The Commission may, upon an affirmative vote of 4 of its
members, conduct an audit and field investigation of any committee which
does meet the threshold requirements established by the Commission. Such
audit shall be commenced within 30 days of such vote, except that any
audit of an authorized committee of a candidate, under the provi sions of
this subsection, shall be commenced within 6 months of the election for
which such committee is authorized.
(c) Statutory provisions applicable to forms and information-
gathering activities. Any forms prescribed by the Commission under
subsection (a)(1) of this section, and any information-gathering activi ties
of the Commission under this Act, shall not be subject to the provisions
of section 3512 of title 44.
(d) Rules, regulations, or forms; issuance, procedures applicable,
etc.
(1) Before prescribing any rule, regulation, or form under
this section or any other provision of this Act, the Commission shall
transmit a statement with respect to such rule, regulation, or form
to the Senate and the House of Representatives, in ac cordance with
this subsection. Such statement shall set forth the proposed rule,
regulation, or form, and shall contain a detailed explanation and
justification of it.
1
(2) If either House of the Congress does not disapprove by
resolution any proposed rule or regulation submitted by the Commis-
sion under this section within 30 legislative days after the date of the
receipt of such proposed rule or regulation or within 10 legislative
days after the date of receipt of such pro posed form, the Commission
may prescribe such rule, regula tion, or form.
(3) For purposes of this subsection, the term “legislative day”
means, with respect to statements transmitted to the Sen ate, any
calendar day on which the Senate is in session, and with respect to
statements transmitted to the House of Rep resentatives, any calendar
day on which the House of Represent atives is in session.
(4) For purposes of this subsection, the terms “rule” and
regulation” mean a provision or series of interrelated provi sions
stating a single, separable rule of law.
(5) (A) A motion to discharge a committee of the Senate
from the consideration of a resolution relating to any such rule,
regulation, or form or a motion to proceed to the con sideration
§ 438
1
These transmittals are no longer required. See House Document No. 103-7, cited at
Note, 31 U.S.C. § 1113 and Pub. L. No. 104-66.
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Federal Election Campaign Laws
54
§ 438
1
This report is no longer required. See House Document No. 103-7, cited at Note, 31
U.S.C. § 1113 and Pub. L. No. 104-66.
2
Section 502 of the Bipartisan Campaign Reform Act of 2002 (BCRA), Pub. L. No. 107-
155, added new section 438a. This amendment is effective as of November 6, 2002.
of such a resolution, is highly privileged and shall be decided
without debate.
(B) Whenever a committee of the House of Rep-
resentatives reports any resolution relating to any such form, rule
or regulation, it is at any time thereafter in order (even though
a previous motion to the same effect has been disagreed to)
to move to proceed to the consideration of the resolution. The
motion is highly privileged and is not debatable. An amend-
ment to the motion is not in order, and is not in order to move
to reconsider the vote by which the motion is agreed to or
disagreed with.
(e) Scope of protection for good faith reliance upon rules or
regulations. Notwithstanding any other provision of law, any person who
relies upon any rule or regulation prescribed by the Commission in ac-
cordance with the provisions of this section and who acts in good faith
in accordance with such rule or regulation shall not, as a result of such
act, be subject to any sanction provided by this Act or by chapter 95 or
chapter 96 of Title 26.
(f) Promulgation of rules, regulations, and forms by Commission
and Internal Revenue Service; report to Congress on cooperative efforts.
In prescribing such rules, regulations, and forms under this section, the
Commission and the Internal Revenue Service shall consult and work
together to promulgate rules, regulations, and forms which are mutually
consistent. The Commission shall report to the Congress annually on the
steps it has taken to comply with this sub section.
1
§ 438a. Maintenance of website of election reports
2
(a) In general. The Federal Election Commission shall maintain
a central site on the Internet to make accessible to the public all publicly
available election-related reports and information.
(b) Election-related report. In this section, the term ‘election-related
report’ means any report, designation, or statement required to be filed
under the Federal Election Campaign Act of 1971.
(c) Coordination with other agencies. Any Federal executive agency
receiving election-related information which that agency is required by
law to publicly disclose shall cooperate and coordinate with the Federal
Election Commission to make such report available through, or for posting
on, the site of the Federal Election Commission in a timely manner.