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OGE RIN: 3209-AA09 Publication ID: Fall 2016 
Title: Interpretation, Exemptions, and Waiver Guidance Concerning Acts Affecting a Personal Financial Interest 
Abstract: This regulation interprets section 208(a) of title 18 U.S.C., which prohibits officers and employees of the executive branch from officially participating personally and substantially in a particular matter in which there is a personal financial interest or a financial interest of a related person or organization (absent a waiver or exemption under 18 U.S.C. 208(b)). It also lists and describes interests considered too remote or too inconsequential to affect the integrity of the services of executive branch officers or employees, in accordance with 18 U.S.C. 208(b)(2). Such interests are exempt from the restrictions of 18 U.S.C. 208(a), generally requiring disqualification. The regulation also provides guidance to executive branch agencies as to the kinds of interests that are not so substantial as to be deemed likely to affect the integrity of the services the Government may expect from an employee and which, therefore, may be waived from the general rule of disqualification under 18 U.S.C. 208(a), pursuant to 18 U.S.C. 208(b)(1). In addition, guidance is provided concerning the issuance of waivers to special Government employee advisory committee members, pursuant to 18 U.S.C. 208(b)(3). A separate interim final rule, published in 1995 exempting certain financial interests arising from Federal Government executive branch employment as well as from Social Security or veterans' benefits from the general prohibition in section 208(a), was incorporated in the overall final rule. Additional exemptions are considered for development from time to time as appropriate. 
Agency: Office of Government Ethics(OGE)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 5 CFR 2640   
Legal Authority: 5 U.S.C. app Ethics in Government Act of 1978    E.O. 12674    E.O. 12731    18 U.S.C. 208   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Government Interests and Social Security and Veterans' Benefits Exemptions Interim Final Rule  08/28/1995  60 FR 44706   
Overall NPRM  09/11/1995  60 FR 47208   
Overall Final Rule  12/18/1996  61 FR 66830   
Interim Rule Census Exemption Amendment  03/29/2000  65 FR 16511   
Final Rule Census Exemption Amendment  08/04/2000  65 FR 47830   
Proposed Rule Additional Exemption Amendments  09/06/2000  65 FR 53942   
Final Rule Additional Exemption Amendments  03/19/2002  67 FR 12443   
Interim Final Rule Additional Exemption Amendment Re: Mutual Funds & Unit Investment Trusts  11/14/2005  70 FR 69041   
Proposed Rule Amended & Additional Exemptions  05/03/2011  76 FR 24816   
Final Rule Amended & Additional Exemptions  03/06/2013  78 FR 14437   
Interim Final Rule Technical Amendment  09/06/2016  81 FR 61099   
Final Rule Technical Amendment  12/00/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Federal 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Seth Jaffe
Chief, Ethics Law and Policy Branch
Office of Government Ethics
Suite 500, 1201 New York Avenue NW,
Washington, DC 20005-3917
Phone:202 482-9303
TDD Phone:800 877-8339
Fax:202 482-9237
Email: sjaffe@oge.gov