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Code · BILL · 118th Congress · S. 1160 (Introduced in Senate) — To provide greater transparency with respect to the financial regulatory agencies, and for other purposes. · Sec. 3

Sec. 3. Congressional FOIA requests for ethics-related information from other financial regulatory agencies

4,717 words·~21 min read·/bill/118/s/1160/is/section-3

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Subtitle A of title X of the Consumer Financial Protection Act of 2010 ( 12 U.S.C. 5491 et seq. ) is amended by inserting after section 1016B ( 12 U.S.C. 5496b ) the following: Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Bureau; financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Bureau; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Bureau; and any other ethics-related policies, procedures, practices, or program records of the Bureau, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Bureau; and any other ethics-related policies, procedures, practices, or program of the Bureau; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Bureau to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Bureau under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Bureau may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Bureau, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Bureau; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Bureau under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Bureau from withholding records of the Bureau and to order the production of any records of the Bureau improperly withheld from the Member of Congress in the same manner as any other person under that section. . The Federal Deposit Insurance Act ( 12 U.S.C. 1811 et seq. ) is amended by adding at the end the following:
Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Corporation; financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Corporation; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Corporation; and any other ethics-related policies, procedures, practices, or program records of the Corporation, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Corporation; and any other ethics-related policies, procedures, practices, or program of the Corporation; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Corporation to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Corporation under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Corporation may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Corporation, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Corporation; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Corporation under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Corporation from withholding records of the Corporation and to order the production of any records of the Corporation improperly withheld from the Member of Congress in the same manner as any other person under that section. . The Securities Exchange Act of 1934 ( 12 U.S.C. 78a et seq. ) is amended by inserting after section 4E ( 12 U.S.C. 78d–5 ) the following:
Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Commission; financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Commission; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Commission; and any other ethics-related policies, procedures, practices, or program records of the Commission, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Commission; and any other ethics-related policies, procedures, practices, or program of the Commission; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Commission to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Commission under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Commission may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Commission, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Commission; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Commission under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Commission from withholding records of the Commission and to order the production of any records of the Commission improperly withheld from the Member of Congress in the same manner as any other person under that section. . Title I of the Federal Credit Union Act ( 12 U.S.C. 1752 et seq. ) is amended by adding at the end the following:
Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Administration; financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Administration; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Administration; and any other ethics-related policies, procedures, practices, or program records of the Administration, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Administration; and any other ethics-related policies, procedures, practices, or program of the Administration; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Administration to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Administration under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Administration may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Administration, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Administration; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Administration under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Administration from withholding records of the Administration and to order the production of any records of the Administration improperly withheld from the Member of Congress in the same manner as any other person under that section. .
The Revised Statutes of the United States is amended by inserting after section 333 ( 12 U.S.C. 14 ) the following: Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Office of the Comptroller of the Currency (in this section referred to as the Office ); financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Office; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Office; and any other ethics-related policies, procedures, practices, or program records of the Office, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Office; and any other ethics-related policies, procedures, practices, or program of the Office; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Office to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Office under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Office may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Office, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Office; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Office under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Office from withholding records of the Office and to order the production of any records of the Office improperly withheld from the Member of Congress in the same manner as any other person under that section. . Part 1 of subtitle A of the Federal Housing Enterprises Financial Safety and Soundness Act of 1992 ( 12 U.S.C. 4511 et seq. ) is amended by adding at the end the following:
Subject to paragraph (2), in this section, the term ethics-related information means any record documenting or relating to— the activities of the ethics program of the Agency; financial disclosure reports and related records; ethics agreements and related records; outside employment and activity of officers and employees of the Agency; referrals of violations of criminal conflict of interest statutes; ethics-related disciplinary records or adverse actions; ethics-related investigations, inquiries, or reviews; ethics-related materials, including ethics determinations issued by, ethics advice issued by, ethics consultation engaged in, and ethics training records of the Agency; and any other ethics-related policies, procedures, practices, or program records of the Agency, including— any record relating to— ethics policies, procedures, practices, or program implementation, interpretation, counseling, management, development, review, or complaints; employee training and education related to any ethics-related policies, procedures, practices, or program; ethics waivers, authorizations, and approvals; non-Federally funded travel; any ethics-related annual questionnaires relating to the ethics program of the Agency; and any other ethics-related policies, procedures, practices, or program of the Agency; and any other record described in the document entitled, General Records Schedule 2.8:
Employee Ethics Records published in September 2016 by the National Archives and Records Administration, or any successor document. Notwithstanding paragraph (1), a record of advice and counseling provided by an ethics official to an individual officer or employee, except for a record that has operative legal effect such as a waiver, an authorization, an approval, or a determination that alters the ethical obligations of such officer or employee, shall not be included in the definition of the term ethics-related information for the purposes of this Act.
Section 552 of title 5, United States Code, is not authority for the Agency to withhold ethics-related information from a Member of Congress, including any ethics-related information in a personnel file. No provision of law, including title I of the Ethics in Government Act (5 U.S.C. App.), shall preclude or limit the disclosure of ethics-related information to a Member of Congress under paragraph (1). Any request for ethics-related information from the Agency under section 552 of title 5, United States Code, made by a Member of Congress— shall be prioritized ahead of requests for information made by persons other than Members of Congress; and shall be processed without charging any fee to the Member of Congress.
Notwithstanding any other provision of law, the Agency may not withhold ethics-related information requested by a Member of Congress under section 552 of title 5, United States Code, on the basis that the information is privileged pursuant to a common law privilege, such as the deliberative process privilege, attorney-client privilege, or attorney work product privilege. With respect to any materials related to ethics-related information that are received by or in the possession of a Member of Congress or any staff member of a Member of Congress in response to a request made by a Member of Congress under section 552 of title 5, United States Code, from the Agency, the chief clerk of the Committee on Banking, Housing, and Urban Affairs of the Senate, with respect to the Senate, and the chief clerk of the Committee on Financial Services of the House of Representatives, with respect to the House of Representatives, shall— have responsibility for the maintenance and security of those materials; and ensure that— the materials are stored in a safe with a combination lock by the chief clerk of the relevant committee in the offices of the relevant committee; the materials do not leave the relevant committee, except for a Member of Congress or any staff member of a Member of Congress to review the materials in a congressional office or to return the materials to the Agency; a Member of Congress or any staff member of a Member of Congress shall review the materials in a congressional office; and a Member of Congress or any staff member of a Member of Congress shall keep the materials in their physical custody when reviewing them and keep the materials in the safe of the chief clerk of the relevant committee when not reviewing the materials.
Any Member of Congress who makes a request for ethics-related information from the Agency under section 552 of title 5, United States Code, has standing to file in the appropriate district court of the United States an action to enjoin the Agency from withholding records of the Agency and to order the production of any records of the Agency improperly withheld from the Member of Congress in the same manner as any other person under that section. .
Connectionstraces to 6
2 references not yet in our index
  • 12 USC 78a
  • 12 USC 78d–5
Citation graph
cites case law
Sec. 3
Congressional FOIA requests for ethics-related information from other financial regulatory agencies
Cite12 USC 78a
Cite12 USC 78d–5
Cites 8Cited by 0 across 0 sources
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