29 U.S.C. § 437 — Time for making reports

Page 125 TITLE 29—LABOR § 437 ing contained in this section shall be construed to require any other person to file a report under subsection (b) unless he was a party to an agreement or arrangement of the kind described therein. (e) Services by and payments to regular officers, supervisors, and employees of employer Nothing contained in this section shall be con- strued to require any regular officer, supervisor, or employee of an employer to file a report in connection with services rendered to such em- ployer nor shall any employer be required to file a report covering expenditures made to any reg- ular officer, supervisor, or employee of an em- ployer as compensation for service as a regular officer, supervisor, or employee of such em- ployer. (f) Rights protected by section 158(c) of this title Nothing contained in this section shall be con- strued as an amendment to, or modification of the rights protected by, section 158(c) of this title. (g) ‘‘Interfere with, restrain, or coerce’’ defined The term ‘‘interfere with, restrain, or coerce’’ as used in this section means interference, re- straint, and coercion which, if done with respect to the exercise of rights guaranteed in section 157 of this title, would, under section 158(a) of this title, constitute an unfair labor practice. (Pub. L. 86–257, title II, § 203, Sept. 14, 1959, 73 Stat. 526.) § 434. Exemption of attorney-client communica- tions Nothing contained in this chapter shall be construed to require an attorney who is a mem- ber in good standing of the bar of any State, to include in any report required to be filed pursu- ant to the provisions of this chapter any infor- mation which was lawfully communicated to such attorney by any of his clients in the course of a legitimate attorney-client relationship. (Pub. L. 86–257, title II, § 204, Sept. 14, 1959, 73 Stat. 528.) § 435. Reports and documents as public informa- tion (a) Publication; statistical and research purposes The contents of the reports and documents filed with the Secretary pursuant to sections 431, 432, 433, and 441 of this title shall be public information, and the Secretary may publish any information and data which he obtains pursuant to the provisions of this subchapter. The Sec- retary may use the information and data for sta- tistical and research purposes, and compile and publish such studies, analyses, reports, and sur- veys based thereon as he may deem appropriate. (b) Inspection and examination of information and data The Secretary shall by regulation make rea- sonable provision for the inspection and exam- ination, on the request of any person, of the in- formation and data contained in any report or other document filed with him pursuant to sec- tion 431, 432, 433, or 441 of this title. (c) Copies of reports or documents; availability to State agencies The Secretary shall by regulation provide for the furnishing by the Department of Labor of copies of reports or other documents filed with the Secretary pursuant to this subchapter, upon payment of a charge based upon the cost of the service. The Secretary shall make available without payment of a charge, or require any per- son to furnish, to such State agency as is des- ignated by law or by the Governor of the State in which such person has his principal place of business or headquarters, upon request of the Governor of such State, copies of any reports and documents filed by such person with the Secretary pursuant to section 431, 432, 433, or 441 of this title, or of information and data con- tained therein. No person shall be required by reason of any law of any State to furnish to any officer or agency of such State any information included in a report filed by such person with the Secretary pursuant to the provisions of this subchapter, if a copy of such report, or of the portion thereof containing such information, is furnished to such officer or agency. All moneys received in payment of such charges fixed by the Secretary pursuant to this subsection shall be deposited in the general fund of the Treasury. (Pub. L. 86–257, title II, § 205, Sept. 14, 1959, 73 Stat. 528; Pub. L. 89–216, § 2(a)–(c), Sept. 29, 1965, 79 Stat. 888.) Editorial Notes AMENDMENTS 1965—Pub. L. 89–216 inserted references to section 441 of this title. § 436. Retention of records Every person required to file any report under this subchapter shall maintain records on the matters required to be reported which will pro- vide in sufficient detail the necessary basic in- formation and data from which the documents filed with the Secretary may be verified, ex- plained, or clarified, and checked for accuracy and completeness, and shall include vouchers, worksheets, receipts, and applicable resolutions, and shall keep such records available for exam- ination for a period of not less than five years after the filing of the documents based on the information which they contain. (Pub. L. 86–257, title II, § 206, Sept. 14, 1959, 73 Stat. 529.) § 437. Time for making reports (a) Each labor organization shall file the ini- tial report required under section 431(a) of this title within ninety days after the date on which it first becomes subject to this chapter. (b) Each person required to file a report under section 431(b), 432, 433(a), the second sentence of 433(b), or section 441 of this title shall file such report within ninety days after the end of each of its fiscal years; except that where such person is subject to section 431(b), 432, 433(a), the second sentence of 433(b), or section 441 of this title, as the case may be, for only a portion of such a fis- cal year (because September 14, 1959, occurs dur- Page 126 TITLE 29—LABOR § 438 ing such person’s fiscal year) such person be- comes subject to this chapter during its fiscal year or such person may consider that portion as the entire fiscal year in making such report. (Pub. L. 86–257, title II, § 207, Sept. 14, 1959, 73 Stat. 529; Pub. L. 89–216, § 2(d), Sept. 29, 1965, 79 Stat. 888.) Editorial Notes AMENDMENTS 1965—Subsec. (b). Pub. L. 89–216 inserted reference to section 441 of this title in two places. § 438. Rules and regulations; simplified reports The Secretary shall have authority to issue, amend, and rescind rules and regulations pre- scribing the form and publication of reports re- quired to be filed under this subchapter and such other reasonable rules and regulations (includ- ing rules prescribing reports concerning trusts in which a labor organization is interested) as he may find necessary to prevent the circumven- tion or evasion of such reporting requirements. In exercising his power under this section the Secretary shall prescribe by general rule sim- plified reports for labor organizations or em- ployers for whom he finds that by virtue of their size a detailed report would be unduly burden- some, but the Secretary may revoke such provi- sion for simplified forms of any labor organiza- tion or employer if he determines, after such in- vestigation as he deems proper and due notice and opportunity for a hearing, that the purposes of this section would be served thereby. (Pub. L. 86–257, title II, § 208, Sept. 14, 1959, 73 Stat. 529.) § 439. Violations and penalties (a) Willful violations of provisions of subchapter Any person who willfully violates this sub- chapter shall be fined not more than $10,000 or imprisoned for not more than one year, or both. (b) False statements or representations of fact with knowledge of falsehood Any person who makes a false statement or representation of a material fact, knowing it to be false, or who knowingly fails to disclose a material fact, in any document, report, or other information required under the provisions of this subchapter shall be fined not more than $10,000 or imprisoned for not more than one year, or both. (c) False entry in or willful concealment, etc., of books and records Any person who willfully makes a false entry in or willfully conceals, withholds, or destroys any books, records, reports, or statements re- quired to be kept by any provision of this sub- chapter shall be fined not more than $10,000 or imprisoned for not more than one year, or both. (d) Personal responsibility of individuals re- quired to sign reports Each individual required to sign reports under sections 431 and 433 of this title shall be person- ally responsible for the filing of such reports and for any statement contained therein which he knows to be false. (Pub. L. 86–257, title II, § 209, Sept. 14, 1959, 73 Stat. 529.) § 440. Civil action for enforcement by Secretary; jurisdiction Whenever it shall appear that any person has violated or is about to violate any of the provi- sions of this subchapter, the Secretary may bring a civil action for such relief (including in- junctions) as may be appropriate. Any such ac- tion may be brought in the district court of the United States where the violation occurred or, at the option of the parties, in the United States District Court for the District of Columbia. (Pub. L. 86–257, title II, § 210, Sept. 14, 1959, 73 Stat. 530.) § 441. Surety company reports; contents; waiver or modification of requirements respecting contents of reports Each surety company which issues any bond required by this chapter or the Employee Re- tirement Income Security Act of 1974 [29 U.S.C. 1001 et seq.] shall file annually with the Sec- retary, with respect to each fiscal year during which any such bond was in force, a report, in such form and detail as he may prescribe by reg- ulation, filed by the president and treasurer or corresponding principal officers of the surety company, describing its bond experience under each such chapter or Act, including information as to the premiums received, total claims paid, amounts recovered by way of subrogation, ad- ministrative and legal expenses and such related data and information as the Secretary shall de- termine to be necessary in the public interest and to carry out the policy of the chapter. Not- withstanding the foregoing, if the Secretary finds that any such specific information cannot be practicably ascertained or would be uninformative, the Secretary may modify or waive the requirement for such information. (Pub. L. 86–257, title II, § 211, as added Pub. L. 89–216, § 3, Sept. 29, 1965, 79 Stat. 888; amended Pub. L. 93–406, title I, § 112(a)(2)(D), formerly § 111(a)(2)(D), Sept. 2, 1974, 88 Stat. 852, renum- bered § 112(a)(2)(D), Pub. L. 117–328, div. T, title III, § 320(a)(1), Dec. 29, 2022, 136 Stat. 5354.) Editorial Notes REFERENCES IN TEXT The Employee Retirement Income Security Act of 1974, referred to in text, is Pub. L. 93–406, Sept. 2, 1974, 88 Stat. 829, which is classified principally to chapter 18 (§ 1001 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of this title and Tables. AMENDMENTS 1974—Pub. L. 93–406, § 112(a)(2)(D), formerly § 111(a)(2)(D), as renumbered by Pub. L. 117–328, sub- stituted ‘‘Employee Retirement Income Security Act of 1974’’ for ‘‘Welfare and Pension Plans Disclosure Act’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2022 AMENDMENT Amendment by Pub. L. 117–328 applicable to plan years beginning after Dec. 31, 2022, see section 320(c) of Pub. L. 117–328, set out as a note under section 414 of Title 26, Internal Revenue Code.