Provide List of Prohibited Holdings to Filers Annually

Employees at one agency are at heightened risk for conflicts of interest as a result of case proceedings before Commissioners and Administrative Law Judges (ALJ). Disqualifications at the agency are required when there is any action on a pending case. Agency ethics officials provide financial disclosure filers with lists of subsidiaries, divisions, and affiliates for each stock and bond reported on their financial disclosure reports to assist filers in determining whether they need to disqualify themselves from a particular case.