Appendix A to Part 99 - Categories of Financial Interests Exempted From the Prohibitions of Section 208(a) of Title 18, United States Code
49:1.0.1.1.41.5.43.1.36 : Appendix A
Appendix A to Part 99 - Categories of Financial Interests Exempted
From the Prohibitions of Section 208(a) of Title 18, United States
Code
I. (a) Pursuant to the authority of section 208(b) of title 18,
United States Code, the following are exempted from the
prohibitions of section 208(a) of title 18, United States Code,
because they are too remote or too inconsequential to affect the
integrity of an employee's services in any matter in which he may
act in his governmental capacity.
(1) Any holding in a widely held mutual fund, or regulated
investment company, which does not specialize in an industry in
which the possibility of conflict arise.
(2) Continued participation in a bona fide pension, retirement,
group life, health, or accident insurance plan or other employee
welfare or benefit plan that is maintained by a business or
nonprofit organization by which the employee was formerly employed,
to the extent that the employee's rights in the plans are vested
and require no additional services by him or further payments to
the plans by the organization with respect to the services of the
employee. In addition, to the extent that the welfare or benefit
plan is a profit sharing or stock bonus plan, this exemption does
not apply and the procedures prescribed in § 99.735-15c (c) through
(e) will apply to the interest of that employee in the plan.
(3) Participation in an air carrier frequent flyers or
substantially similar program that is available to the general
public on the same terms and conditions and involves no direct
financial interest in the carrier, such as stockholdings or similar
types of investment interests.
[Amdt.99-10, 42 FR 3119, Jan. 14, 1977, as amended by Amdt. 99-14,
53 FR 16414, May 9, 1988]