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NCPLA: Lobbying News & Tips from NC Secretary of State

Lobbying News & Tips from the NC Secretary of State

September 30, 2021


Personnel Changes in the Lobbying Compliance Division

  1. On July 16, 2021, former Lobbying Compliance Division Director Joal Broun, having been honored by appointment by Governor Cooper, was sworn in by Secretary Marshall as Orange and Chatham Counties’ new District Court Judge. 
  1. General Counsel Ann Wall has been serving as Acting Lobbying Compliance Division Director. She can be reached at: 919-814-5270 or


Third Quarter Expense Report Filing Deadline is October 21, 2021!


Tips to Help Avoid Common Expense Report Filing Errors:

  1. You must use the exact same name on the expense report that you used on the Lobbyist and Lobbyist Principal Registration forms. Double check names by searching here.
  2. Only an authorized officer of the Lobbyist Principal may sign the Principal’s Expense Report. The primary authorized officer was listed on the Principal’s registration form. If you have questions about changing the primary authorized officer or designating additional authorized officers, feel free to call us at 919-814-5270 or email us at
  1. Expense reports may not be filed, or signed and notarized, before the end of the quarter. That means the first day you can get your signature notarized and file the report is the very last day of the quarter. You can only sign, get notarized, and file on the last day of the quarter if you will have no expenses on that day, or if you know and include last day expenses on the report. Quarterly expense reports must include all expenses in the quarter including those on the last day of the quarter.
  1. You are required by law to e-file your reports. You do not have to send us the paper copy of your expense report if you do both of the following things:
  • Check the box on the report form next to: “I choose to maintain the paper original inked, signed, and notarized lobbying expense report in my own records for three years as required by Administrative Rule 18 NCAC 12 .1301.”
  • Keep the original inked, signed, and notarized lobbying expense report for three years.

NOTE: Our building is closed to the public due to COVID, so if you choose to provide us with a paper copy of your expense report, you must mail it to us.

  1. Notarizing your expense report:
  • You may use Emergency Video Notarization for your 3rd quarter expense report if you timely file it. The Emergency Video Notarization law has been extended to December 31, 2021.
  • Seeking a Notary Public to notarize your report? Use our Find A Notary search to find one.
  • A Notary Public cannot legally sign or date the notary’s jurat before you sign it. In other words, the Notary cannot notarize your blank expense report form.


Tips for Other Situations

  1. The Lobbying Act requires that you amend your registration within ten business days if there have been any changes since you registered. Please keep in mind that amendments must be filed electronically and the forms are here.
  1. Be sure your spam filters do not block our email. All of our email to you will come from:
  1. Ensure you do not miss an important email from us. How? Provide an optional secondary email address to cc on our email to you. Check your registration form to see if you provided an optional email address. If not, simply file an amendment.
  1. In order to avoid late fees established by the General Assembly, never ignore email or letters from us related to late expense reports. Such notices set deadlines for filing in order to avoid late fees established by the General Assembly.


1. The Lobbying Act also applies to lobbying (covered) persons in the executive branch. Check the Ethics Commission website to identify:

  • Which departments, agencies, boards, and commissions are covered, and
  • Which individuals in those departments, agencies, boards, and commissions are covered persons.
  1. There is a significant difference between lobbyists and liaisons. Liaison personnel are by definition limited only to State employees authorized to lobby on behalf of their State departments, agencies, boards, and commissions. Local governments may also have employees who are the equivalent of liaisons. G.S. ­§120C-502.
  1. If you terminate a lobbyist registration or resign as a lobbyist during a quarter, you must file an expense report for that quarter, even if the registration was only effective on part of a day of the quarter.


For more information:

N.C. Department of the Secretary of State

Lobbying Compliance Division

2 South Salisbury Street, First Floor

Raleigh, North Carolina 27601-2903

Telephone: 919-814-5270




NCPLA was founded in 1998 to instill core values of integrity, honesty, and professionalism among the lobbyist community and pass along those values to the next generation of lobbyists. NCPLA Members agree to abide by the NCPLA Code of Conduct

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