[Code of Federal Regulations]
[Title 29, Volume 2]
[Revised as of July 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR406.1]

[Page 152-153]
 
                             TITLE 29--LABOR
 
  CHAPTER IV--OFFICE OF LABOR-MANAGEMENT STANDARDS, DEPARTMENT OF LABOR
 
PART 406_REPORTING BY LABOR RELATIONS CONSULTANTS AND OTHER PERSONS, 
CERTAIN AGREEMENTS WITH EMPLOYERS--Table of Contents
 
Sec. 406.1  Definitions.




Sec.
406.1 Definitions.
406.2 Agreement and activities report.
406.3 Receipts and disbursements report.
406.4 Terminal report.
406.5 Persons excepted from filing reports.
406.6 Relation of section 8(c) of the National Labor Relations Act to 
          this part.
406.7 Personal responsibility of signatories of reports.
406.8 Maintenance and retention of records.
406.9 Publication of reports required by this part.
406.10 OMB control number.

    Authority: Secs. 203, 207, 208, 73 Stat. 526, 529 (29 U.S.C. 433, 
437, 438); Secretary's Order No. 5-96, 62 FR 107, January 2, 1997.

    Source: 28 FR 14385, Dec. 27, 1963, unless otherwise noted.


    As used in this part, the term:
    (a) Corresponding principal officers means any person or persons 
performing or authorized to perform, principal executive functions 
corresponding to those of president and treasurer of any entity engaged 
in whole or in part in the performance of the activities described in 
section 203(b) of the Labor-Management Reporting and Disclosure Act of 
1959.
    (b) Fiscal year means the calendar year or other period of 12 
consecutive calendar months, on the basis of which financial accounts 
are kept by a person. Where a person designates a new fiscal year prior 
to the expiration of a previously established fiscal year period, the 
resultant period of less than 12 consecutive calendar months, and 
thereafter the newly established fiscal year, shall in that order 
constitute the fiscal years.
    (c) Undertake means not only the performing of activities, but also 
the agreeing to perform them or to have them performed.

[[Page 153]]

    (d) A direct or indirect party to an agreement or arrangement 
includes persons who have secured the services of another or of others 
in connection with an agreement or arrangement of the type referred to 
in Sec. 406.2 as well as persons who have undertaken activities at the 
behest of another or of others with knowledge or reason to believe that 
they are undertaken as a result of an agreement or arrangement between 
an employer and any other person, except bona fide regular officers, 
supervisors or employees of their employer to the extent to which they 
undertook to perform services as such bona fide regular officers, 
supervisors or employees of their employer.

[28 FR 14385, Dec. 27, 1963, as amended at 42 FR 59070, Nov. 15, 1977; 
63 FR 33779, June 19, 1998]