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Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights".
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
83pct
44d open
vs 230 other HJRES bills in the 118th — cohort avg 27d
No CRS summary is available for this bill yet. The source title, actions, sponsors, and text versions below come from Congress.gov.
Yes
485
No
450
Present
0
Not Voting
32
Party Breakdown
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The Chair directed the Clerk to notify the Senate of the action of the House.
On motion to refer the bill and the accompanying veto message to the Committee on Education and the Workforce. Agreed to without objection.
Motion to refer the bill and accompanying veto message to the Committee on Education and the Workforce.
On passage, the objections of the President to the contrary notwithstanding Failed by the Yeas and Nays: (2/3 required): 219 - 200 (Roll no. 149).
HouseFailed of passage in House over veto On passage, the objections of the President to the contrary notwithstanding Failed by the Yeas and Nays: (2/3 required): 219 - 200 (Roll no. 149).
HouseThe previous question was ordered without objection.
DEBATE - Pursuant to section 4 of H. Res. 199, the unfinished business is the further consideration of the veto message of the President on H.J. Res. 30. The House proceeded with one hour of debate on the objections of the President to the contrary notwithstanding. (consideration: CR H1383-1386)
The Chair laid before the House the veto message from the President.
Bills with similar content found using semantic analysis.
Sources: Congress.gov · House Clerk roll-call votes
| #149 | house | Passage, Objections of the President To The Contrary Notwithstanding | Failed | March 23, 2023 |
| #35 | senate | On the Joint Resolution | Joint Resolution Passed (50-46) | March 1, 2023 |
| #124 | house | On Passage | Passed | February 28, 2023 |
2026 · third_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL- EBSA - Proposed Rule - Pooled Employer Plans: Big Plans for Small Businesses (RIN 1210-AC10). DOL - Joint Trade Letter to Chavez-DeRemer - ERISA Litigation Reform-Reduction. DOL - EBSA - Fiduciary Duties in Selecting Designated Investment Alternatives, RIN 1210-AC38. DOL - EBSA - Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors. DOL - WH - Employee or Independent Contractor Status Under the Fair Labor Standards Act, Family and Medical Leave Act, and Migrant and Seasonal Agricultural Worker Protection Act, RIN 1235-AA46 (2026). DOL - EBSA - Proposed Rule - Amendment to Prohibited Transaction Exemption Procedures - 29 CFR 2570 (RIN: 1210-AC42). DOL - EBSA - Proposed Rule - Loyalty and the Exclusive Purpose Rule in Selecting Plan Investments and Exercising Shareholder Rights - 29 CFR 2550.404a-1 (RIN: 1210-AC37). DOL - EBSA - Proposed Rule - QPAM Re-eligibility Options After Disqualification (QROAD) Class Exemption (RIN: 1210-ZA37). DOL - EBSA - Notice - Relationship Banking and Brokerage Class Exemption (RIN: 1210-ZA38). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Legislation to reform ERISA to reduce frivolous litigation. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The President's Executive Order - Democratizing Access to Alternative Assets for 401(K) Investors (08/07/2025) (E.O. 14330). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718 - 118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799 - 118th Congress). The Financial Fitness Act (H.R.8944 - 118th Congress). The Empowering Main Street in America Act (S.5139 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013 - 119th Congress). The GUARD Act (H.R.2978 - 119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Balancing the Scales Act (H.R.2958 - 119th Congress). The EBSA Investigations Transparency Act (H.R.2869 - 119th Congress). The Employee Ownership Fairness Act (S.1727 - 119th Congress). The Employee Ownership Financing Act (S.2458 - 119th Congress). The Employee Ownership Representation Act (S.1728 - 119th Congress). The Financial Exploitation Prevention Act of 2025 (S.2840/H.R.2478 - 119th Congress). The Helping Young Americans Save for Retirement Act (S.1707/H.R.4718 - 119th Congress). The Improving Disclosure for Investors Act 2024/2025 (S.1877/H.R.2441 - 119th Congress). The Independent Retirement Fairness Act (S.2217 - 119th Congress). The Promotion and Expansion of Private Employee Ownership Act (S.2461 - 119th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2025 (S.852/H.R.20 - 119th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2025 (S.1561/H.R.1777 - 119th Congress). The Unlocking Benefits for Independent Workers Act (S.2210 - 119th Congress). The Auto Reenroll Act (S.1831/H.R.6729 - 119th Congress). The Automatic IRA Act of 2025 (H.R.6722-119th Congress). The ERISA Litigation Reform Act (H.R.6084 - 119th Congress). The Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025 (H.R.3383 - 119th Congress). The Providing Complete Information to Retirement Investors Act (S.3083 - 119th Congress). The Restoring Integrity on Fiduciary Duty Act (S.3086 - 119th Congress). The Retirement Investment Choice Act (H.R.5748 - 119th Congress). The Saving for the Future Act (H.R.5887 - 119th Congress). The Senior Security Act (S.4055/H.R.1469 - 119th Congress). The Small Nonprofit Retirement Security Act (S.2365/H.R.4548 - 119th Congress). The Pensions for All Act (S.2335/H.R.7556 - 119th Congress). The ABLE Tomorrow Act (S.4498 - 119th Congress). The Catching Up Family Caregivers Act (S.4291/H.R.8273 - 119th Congress). The Form 5500 Filing Simplification Act (H.R.7362 - 119th Congress). The Improving Retirement Security for Family Caregivers Act (S.4292/H.R.8274 - 119th Congress). The Investigation Status and Governance for Honest Transparency Act (S.4360 - 119th Congress). The Optimizing Participant Tax Incentives through Optional Noncash Selections Act (H.R.8314 - 119th Congress). The SMART Savings Act (S.5204/H.R.10039 - 119th Congress). The Retirement Simplification and Clarity Act (S.5156/H.R.6324 - 119th Congress). The CLEAR Forms Act (H.R.10234 - 119th Congress). The Savers' Match Enhancement Act (S.5507 - 119th Congress). To amend the Internal Revenue Code of 1986 to impose limitations on high-income taxpayers with large retirement account balances (S.5040/H.R.9813 - 119th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - IRS - Guidance on Section 324 of the SECURE 2.0 Act with Respect to Rollovers (Notice 2026-49). Treasury - IRS - Final Rule - Automatic Enrollment Requirements Under Section 414A (RIN: 1545-BR08).
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2026 · second_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL- EBSA - Proposed Rule - Pooled Employer Plans: Big Plans for Small Businesses (RIN 1210-AC10). DOL - Joint Trade Letter to Chavez-DeRemer - ERISA Litigation Reform-Reduction. DOL - EBSA - Fiduciary Duties in Selecting Designated Investment Alternatives, RIN 1210-AC38. DOL - EBSA - Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors. DOL - WH - Employee or Independent Contractor Status Under the Fair Labor Standards Act, Family and Medical Leave Act, and Migrant and Seasonal Agricultural Worker Protection Act, RIN 1235-AA46 (2026). DOL - EBSA - Proposed Rule - Amendment to Prohibited Transaction Exemption Procedures - 29 CFR 2570 (RIN: 1210-AC42) DOL - EBSA - Proposed Rule - Loyalty and the Exclusive Purpose Rule in Selecting Plan Investments and Exercising Shareholder Rights - 29 CFR 2550.404a-1 (RIN: 1210-AC37). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Legislation to reform ERISA to reduce frivolous litigation. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The President's Executive Order - Democratizing Access to Alternative Assets for 401(K) Investors (08/07/2025) (E.O. 14330). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799 - 118th Congress). The Financial Fitness Act (H.R.8944 - 118th Congress). The Empowering Main Street in America Act (S.5139 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The GUARD Act (H.R.2978 - 119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Balancing the Scales Act (H.R.2958 - 119th Congress). The EBSA Investigations Transparency Act (H.R.2869 - 119th Congress). The Employee Ownership Fairness Act (S.1727 - 119th Congress). The Employee Ownership Financing Act (S.2458 - 119th Congress). The Employee Ownership Representation Act (S.1728 - 119th Congress). The Financial Exploitation Prevention Act of 2025 (S.2840/H.R.2478 - 119th Congress). The Helping Young Americans Save for Retirement Act (H.R.4718/S.1707 - 119th Congress). The Improving Disclosure for Investors Act 2024/2025 (S.1877/H.R.2441 - 119th Congress). The Independent Retirement Fairness Act (S.2217 - 119th Congress). The Promotion and Expansion of Private Employee Ownership Act (S.2461 - 119th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2025 (S.852/H.R.20 - 119th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2025 (S.1561/H.R.1777 - 119th Congress). The Unlocking Benefits for Independent Workers Act (S.2210 - 119th Congress). The Auto Reenroll Act (S.1831/H.R.6729 - 119th Congress). The Automatic IRA Act of 2025 (H.R.6722-119th Congress). The ERISA Litigation Reform Act (H.R.6084 - 119th Congress). The Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025 (H.R.3383 - 119th Congress). The Providing Complete Information to Retirement Investors Act (S.3083 - 119th Congress). The Restoring Integrity on Fiduciary Duty Act (S.3086 - 119th Congress). The Retirement Investment Choice Act (H.R.5748 - 119th Congress). The Saving for the Future Act (H.R.5887 - 119th Congress). The Retirement Simplification and Clarity Act (H.R. 6324 - 119th Congress). The Senior Security Act (S.4055/H.R.1469-119th Congress). The Small Nonprofit Retirement Security Act (S.2365/H.R.4548 - 119th Congress). The Pensions for All Act (S.2335/H.R.7556 - 119th Congress). The ABLE Tomorrow Act (S.4498 - 119th Congress). The Catching Up Family Caregivers Act (S.4291/H.R.8273-119th Congress). The Form 5500 Filing Simplification Act (H.R.7362 - 119th Congress). The Improving Retirement Security for Family Caregivers Act (S.4292/H.R.8274-119th Congress). The Investigation Status and Governance for Honest Transparency Act (S.4360 - 119th Congress). The Optimizing Participant Tax Incentives through Optional Noncash Selections Act (H.R.8314-119th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - FSOC - Joint Trade Effort to Restore 2019 Nonbank Financial Institution Guidance.
2026 · first_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL- EBSA - Proposed Rule - Pooled Employer Plans: Big Plans for Small Businesses (RIN 1210-AC10). DOL - Joint Trade Letter to Chavez-DeRemer - ERISA Litigation Reform-Reduction. DOL - EBSA - Fiduciary Duties in Selecting Designated Investment Alternatives, RIN 1210-AC38. DOL - EBSA - Requirement To Provide Paper Statements in Certain Cases-Amendments to Electronic Disclosure Safe Harbors. DOL - WH - Employee or Independent Contractor Status Under the Fair Labor Standards Act, Family and Medical Leave Act, and Migrant and Seasonal Agricultural Worker Protection Act, RIN 1235-AA46 (2026). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Legislation to reform ERISA to reduce frivolous litigation. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The President's Executive Order - Democratizing Access to Alternative Assets for 401(K) Investors (08/07/2025) (E.O. 14330). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Catching Up Family Caregivers Act (S.5149/H.R.9764-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148/H.R.9765-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The GUARD Act (H.R.2978-119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Balancing the Scales Act (H.R.2958 - 119th Congress). The EBSA Investigations Transparency Act (H.R.2869 - 119th Congress). The Employee Ownership Fairness Act (S.1727 - 119th Congress). The Employee Ownership Financing Act (S.2458 - 119th Congress). The Employee Ownership Representation Act (S.1728 - 119th Congress). The Financial Exploitation Prevention Act of 2025 (S.2840/H.R.2478 - 119th Congress). The Helping Young Americans Save for Retirement Act (H.R.4718/S.1707 - 119th Congress). The Improving Disclosure for Investors Act 2024/2025 (S.1877/H.R.2441 - 119th Congress). The Independent Retirement Fairness Act (S.2217 - 119th Congress). The Promotion and Expansion of Private Employee Ownership Act (S.2461 - 119th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2025 (S.852/H.R.20 - 119th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2025 (S.1561/H.R.1777 - 119th Congress). The Unlocking Benefits for Independent Workers Act (S.2210 - 119th Congress). The Auto Reenroll Act (S.1831/H.R.6729 - 119th Congress). The Automatic IRA Act of 2025 (H.R.6722-119th Congress). The ERISA Litigation Reform Act (H.R.6084 - 119th Congress). The Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025 (H.R.3383 - 119th Congress). The Providing Complete Information to Retirement Investors Act (S.3083 - 119th Congress). The Restoring Integrity on Fiduciary Duty Act (S.3086 - 119th Congress). The Retirement Investment Choice Act (H.R.5748 - 119th Congress). The Saving for the Future Act (H.R.5887 - 119th Congress). The Retirement Simplification and Clarity Act (H.R. 6324 - 119th Congress). The Senior Security Act (S.4055/H.R.1469-119th Congress). The Small Nonprofit Retirement Security Act (S.2365/H.R.4548 - 119th Congress). The Pensions for All Act (S.2335/H.R.7556 - 119th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - FSOC - Joint Trade Effort to Restore 2019 Nonbank Financial Institution Guidance.
2025 · fourth_quarter · Banking
1)Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. 2)Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. 3)Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL- EBSA - FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL- EBSA - Proposed Rule - Pooled Employer Plans: Big Plans for Small Businesses (RIN 1210-AC10). DOL - Joint Trade Letter to Chavez-DeRemer - ERISA Litigation Reform-Reduction. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Legislation to reform ERISA to reduce frivolous litigation. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The President's Executive Order - Democratizing Access to Alternative Assets for 401(K) Investors (08/07/2025) (E.O. 14330). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Catching Up Family Caregivers Act (S.5149/H.R.9764-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148/H.R.9765-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The Senior Security Act of 2023/2025 (S.955-118th Congress/H.R.1469-119th Congress). The GUARD Act (H.R.2978-119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Retirement Simplification and Clarity Act (H.R. 10467 - 118th Congress). The Balancing the Scales Act (H.R.2958 - 119th Congress). The EBSA Investigations Transparency Act (H.R.2869 - 119th Congress). The Employee Ownership Fairness Act (S.1727 - 119th Congress). The Employee Ownership Financing Act (S.2458 - 119th Congress). The Employee Ownership Representation Act (S.1728 - 119th Congress). The Financial Exploitation Prevention Act of 2025 (S.2840/H.R.2478 - 119th Congress). The Helping Young Americans Save for Retirement Act (H.R.4718/S.1707 - 119th Congress). The Improving Disclosure for Investors Act 2024/2025 (S.1877/H.R.2441 - 119th Congress). The Independent Retirement Fairness Act (S.2217 - 119th Congress). The Promotion and Expansion of Private Employee Ownership Act (S.2461 - 119th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2025 (S.852/H.R.20 - 119th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2025 (S.1561/H.R.1777 - 119th Congress). The Unlocking Benefits for Independent Workers Act (S.2210 - 119th Congress). The Auto Reenroll Act (S.1831/H.R.6729 - 119th Congress). The Automatic IRA Act of 2025 (H.R.6722-119th Congress). The ERISA Litigation Reform Act (H.R.6084 - 119th Congress). The Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025 (H.R.3383 - 119th Congress). The Providing Complete Information to Retirement Investors Act (S.3083 - 119th Congress). The Restoring Integrity on Fiduciary Duty Act (S.3086 - 119th Congress). The Retirement Investment Choice Act (H.R.5748 - 119th Congress). The Saving for the Future Act (H.R.5887 - 119th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - FSOC - Joint Trade Effort to Restore 2019 Nonbank Financial Institution Guidance.
POSTPONED CONSIDERATION OF VETO MESSAGE - The Chair announced that pursuant to section 4 of H. Res. 199, further consideration of the veto message and the joint resolution will be postponed until Thursday, March 23, 2023.
The Chair announced that the objections of the President to H.J. Res. 30 would be spread at large upon the Journal and the veto message would be printed as a House Document (118-18).
The Chair laid before the House the veto message from the President. (text: CR H1299-1300)
Vetoed by President.
Congress.gov source codes: 31000, E30000
Presented to President.
Presented to President.
Message on Senate action sent to the House.
Passed Senate without amendment by Yea-Nay Vote. 50 - 46. Record Vote Number: 35.
SenatePassed/agreed to in Senate: Passed Senate without amendment by Yea-Nay Vote. 50 - 46. Record Vote Number: 35.
SenateMeasure laid before Senate by unanimous consent. (consideration: CR S550-556)
Received in the Senate, read twice.
Motion to reconsider laid on the table Agreed to without objection.
On passage Passed by the Yeas and Nays: 216 - 204 (Roll no. 124). (text: CR H932)
HousePassed/agreed to in House: On passage Passed by the Yeas and Nays: 216 - 204 (Roll no. 124). (text: CR H932)
HouseConsidered as unfinished business. (consideration: CR H941)
POSTPONED PROCEEDINGS - At the conclusion of debate on H. J. Res. 30, the Chair put the question on passage of the resolution and by voice vote, announced that the ayes had prevailed. Mr. Scott (VA) demanded the yeas and nays and the Chair postponed further proceedings on passage of the resolution until a time to be announced.
The previous question was ordered pursuant to the rule.
DEBATE - The House proceeded with one hour of debate on H.J. Res. 30.
Rule provides for consideration of H.R. 347 and H.J. Res. 30. Provides for consideration of H.R. 347 and H.J. Res. 30 and one hour of debate on each measure. The rule makes in order amendments to H.R. 347 printed in the report and provides for one motion to recommit on each measure.
Considered under the provisions of rule H. Res. 166. (consideration: CR H932-940)
Rule H. Res. 166 passed House.
Rules Committee Resolution H. Res. 166 Reported to House. Rule provides for consideration of H.R. 347 and H.J. Res. 30. Provides for consideration of H.R. 347 and H.J. Res. 30 and one hour of debate on each measure. The rule makes in order amendments to H.R. 347 printed in the report and provides for one motion to recommit on each measure.
Referred to the House Committee on Education and the Workforce.
Introduced in House
Congress.gov source codes: 1000, Intro-H
| -- |
| Republican |
| AZ |
| Ann Wagner | Republican | MO |
| Ashley Hinson | Republican | IA |
| August Pfluger | Republican | TX |
| Austin Scott | Republican | GA |
| Barry Loudermilk | Republican | GA |
| Barry Moore | Republican | AL |
| Ben Cline | Republican | VA |
| Beth Van Duyne | Republican | TX |
| Bill Huizenga | Republican | MI |
| Bill Posey | Republican | FL |
| Blaine Luetkemeyer | Republican | MO |
| Blake D. Moore | Republican | UT |
| Bob Good | Republican | VA |
| Brad Finstad | Republican | MN |
| Brad R. Wenstrup | Republican | OH |
| Brandon Williams | Republican | NY |
| Bryan Steil | Republican | WI |
| Burgess Owens | Republican | UT |
| Byron Donalds | Republican | FL |
| Carlos A. Gimenez | Republican | FL |
| Carol D. Miller | Republican | WV |
| Cathy McMorris Rodgers | Republican | WA |
| Chip Roy | Republican | TX |
| Chris Stewart | Republican | UT |
| Dan Bishop | Republican | NC |
| Dan Crenshaw | Republican | TX |
| Dan Newhouse | Republican | WA |
| Daniel Meuser | Republican | PA |
| David Kustoff | Republican | TN |
| David P. Joyce | Republican | OH |
| David Rouzer | Republican | NC |
| Debbie Lesko | Republican | AZ |
| Derrick Van Orden | Republican | WI |
| Doug LaMalfa | Republican | CA |
| Dusty Johnson | Republican | SD |
| Earl L. "Buddy" Carter | Republican | GA |
| Elise M. Stefanik | Republican | NY |
| Eric A. "Rick" Crawford | Republican | AR |
| Eric Burlison | Republican | MO |
| Erin Houchin | Republican | IN |
| Gary J. Palmer | Republican | AL |
| Glenn Grothman | Republican | WI |
| Glenn Thompson | Republican | PA |
| Gregory F. Murphy | Republican | NC |
| Guy Reschenthaler | Republican | PA |
| J. French Hill | Republican | AR |
| Jake Ellzey | Republican | TX |
| Jake LaTurner | Republican | KS |
| James R. Baird | Republican | IN |
| Jeff Duncan | Republican | SC |
| Jefferson Van Drew | Republican | NJ |
| Jim Banks | Republican | IN |
| Jodey C. Arrington | Republican | TX |
| Joe Wilson | Republican | SC |
| John H. Rutherford | Republican | FL |
| John R. Curtis | Republican | UT |
| John R. Moolenaar | Republican | MI |
| John W. Rose | Republican | TN |
| Josh Brecheen | Republican | OK |
| Julia Letlow | Republican | LA |
| Kat Cammack | Republican | FL |
| Kelly Armstrong | Republican | ND |
| Kevin Kiley | Independent | CA |
| Lance Gooden | Republican | TX |
| Lauren Boebert | Republican | CO |
| Lisa C. McClain | Republican | MI |
| Lloyd Smucker | Republican | PA |
| Mariannette Miller-Meeks | Republican | IA |
| Mary E. Miller | Republican | IL |
| Matthew M. Rosendale, Sr. | Republican | MT |
| Max L. Miller | Republican | OH |
| Michael Guest | Republican | MS |
| Michael Lawler | Republican | NY |
| Michael T. McCaul | Republican | TX |
| Michelle Fischbach | Republican | MN |
| Michelle Steel | Republican | CA |
| Mike Bost | Republican | IL |
| Mike Ezell | Republican | MS |
| Mike Flood | Republican | NE |
| Mike Johnson | Republican | LA |
| Nancy Mace | Republican | SC |
| Nathaniel Moran | Republican | TX |
| Neal P. Dunn | Republican | FL |
| Paul A. Gosar | Republican | AZ |
| Pete Sessions | Republican | TX |
| Pete Stauber | Republican | MN |
| Ralph Norman | Republican | SC |
| Randy Feenstra | Republican | IA |
| Randy K. Weber, Sr. | Republican | TX |
| Richard McCormick | Republican | GA |
| Rick W. Allen | Republican | GA |
| Robert B. Aderholt | Republican | AL |
| Roger Williams | Republican | TX |
| Ron Estes | Republican | KS |
| Ronny Jackson | Republican | TX |
| Russell Fry | Republican | SC |
| Ryan K. Zinke | Republican | MT |
| Scott DesJarlais | Republican | TN |
| Scott Fitzgerald | Republican | WI |
| Scott Perry | Republican | PA |
| Stephanie I. Bice | Republican | OK |
| Steve Scalise | Republican | LA |
| Thomas P. Tiffany | Republican | WI |
| Tim Burchett | Republican | TN |
| Tim Walberg | Republican | MI |
| Tom Emmer | Republican | MN |
| Tom McClintock | Republican | CA |
| Tracey Mann | Republican | KS |
| Troy Balderson | Republican | OH |
| Troy E. Nehls | Republican | TX |
| Vern Buchanan | Republican | FL |
| Virginia Foxx | Republican | NC |
| Warren Davidson | Republican | OH |
| Wesley Hunt | Republican | TX |
| Zachary Nunn | Republican | IA |
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $170,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $240,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · third_quarter · Banking
1)Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. 2)Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. 3)Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL- EBSA - FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL - EBSA - Direct Final Rule - Removal of Definition of Plan Assets-Insurance Company General Accounts. DOL - EBSA - Direct Final Rule - Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974. DOL - EBSA - Direct Final Rule - Selection of Annuity Providers-Safe Harbor for Individual Account Plans. DOL- EBSA - Proposed Rule - Pooled Employer Plans: Big Plans for Small Businesses (RIN 1210-AC10). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The President's Executive Order - Democratizing Access to Alternative Assets for 401(K) Investors (08/07/2025). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Catching Up Family Caregivers Act (S.5149/H.R.9764-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148/H.R.9765-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The Senior Security Act of 2023/2025 (S.955-118th Congress/H.R.1469-119th Congress). The Auto Reenroll Act (S.1831 - 119th Congress). The GUARD Act (H.R.2978-119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Retirement Simplification and Clarity Act (H.R. 10467 - 118th Congress). The Balancing the Scales Act (H.R.2958 - 119th Congress). The EBSA Investigations Transparency Act (H.R.2869 - 119th Congress). The Employee Ownership Fairness Act (S.1727 - 119th Congress). The Employee Ownership Financing Act (S.2458 - 119th Congress). The Employee Ownership Representation Act (S.1728 - 119th Congress). The Financial Exploitation Prevention Act of 2025 (S.1481/H.R.2478 - 119th Congress). The Helping Young Americans Save for Retirement Act (H.R.4718/S.1707 - 119th Congress). The Improving Disclosure for Investors Act 2024/2025 (S.1877/H.R.2441 - 119th Congress). The Independent Retirement Fairness Act (S.2217 - 119th Congress). The Promotion and Expansion of Private Employee Ownership Act (S.2461 - 119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2025 (S.852/H.R.20 - 119th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2025 (S.1561/H.R.1777 - 119th Congress). The Unlocking Benefits for Independent Workers Act (S.2210 - 119th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - FSOC - Joint Trade Effort to Restore 2019 Nonbank Financial Institution Guidance.
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · second_quarter · Banking
1)Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. 2)Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. 3)Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). DOL - EBSA - Direct Final Rule - Removal of Definition of Plan Assets-Insurance Company General Accounts. DOL - EBSA - Direct Final Rule - Removal of Interpretive Bulletins Relating to the Employee Retirement Income Security Act of 1974. DOL - EBSA - Direct Final Rule - Selection of Annuity Providers-Safe Harbor for Individual Account Plans. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Labor to Rescind "ESG Rule" and Draft "Anti-ESG Rule." Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Catching Up Family Caregivers Act (S.5149/H.R.9764-118th Congress). The Financial Exploitation Prevention Act 2023/2025(S.1481-118th Congress/H.R.2478-119th Congress). The Improving Disclosure for Investors Act 2024/2025(S.3815-118th Congress/H.R.2441-119th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148/H.R.9765-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The Senior Security Act of 2023/2025 (S.955-118th Congress/H.R.1469-119th Congress). The Auto Reenroll Act (S.1831 - 119th Congress). The GUARD Act (H.R.2978-119th Congress). The Helping Young Americans Save for Retirement Act (S.1707 - 119th Congress). The Protecting Prudent Investment of Retirement Savings Act (H.R.2988 - 119th Congress). The Retirement Proxy Protection Act (H.R. 1996 - 119th Congress). The Retirement Savings for Americans Act (S.1526/H.R.2696 - 119th Congress). The Retirement Simplification and Clarity Act (H.R. 10467 - 118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - FSOC - Joint Trade Effort to Restore 2019 Nonbank Financial Institution Guidance.
Client expense: $170,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · first_quarter · Banking
1)Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. 2)Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. 3)Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2025 · first_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). To amend the Internal Revenue Code of 1986 to provide for in-serve rollovers for individual retirement annuity purchases (H.R. 10467 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to clarify the annuity selection safe harbor (P.L.116-94, Div. O, Section 204) provides a plan sponsor with the same protections in selecting an annuity contract. Legislation to direct the SEC to allow the use of amended appropriate registration forms to authorize consistent registrations for non-variable products. Legislation to ensure a balanced approach to the regulation of environmental, social, and governance investments. Legislation to increase protections and safeguards for personal financial information. Legislation to make a diverse slate of indexed and variable annuity contracts with guaranteed benefits eligible to be treated as QLACs to better meet the diverse needs of retirement savers. Legislation to make long-term care insurance tax-advantaged, accessible, and affordable. Legislation to provide balanced approach to regulating the use of AI by the insured retirement industry. Legislation to require defined contribution plans to offer participants the option to invest in protected, guaranteed lifetime income solutions for all or some of their account balances. Legislation to require inclusion of longevity risk language in annual plan notices. Legislation to require plan fiduciaries to provide retirement income education to employees throughout their working years. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Catching Up Family Caregivers Act (S.5149/H.R.9764-118th Congress). The Financial Exploitation Prevention Act 2023/2025(S.1481-118th Congress/H.R.2478-119th Congress). The Helping Young Americans Save for Retirement Act (S.3305/H.R.9281-118th Congress). The Improving Disclosure for Investors Act 2024/2025(S.3815-118th Congress/H.R.2441-119th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148/H.R.9765-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2025 (S.424/H.R.1013-119th Congress). The Senior Security Act of 2023/2025 (S.955-118th Congress/H.R.1469-119th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - IRS - Final Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN 1545-BP82).
Client expense: $170,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · fourth_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. Oppose price controls on credit card late fees. Oppose Federal Reserve rule to tighten price controls on debit card interchange fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to financial regulatory reform; Issues related to data privacy; H.R. 1165, Data Privacy Act of 2023; H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; H.R. 8818, the American Privacy Rights Act of 2024.
Client expense: $1,710,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Labor Issues/Antitrust/Workplace
S.189, Mind Your Own Business Act H.J.Res.30/S.J. Res.8, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights. General discussions on apprenticeships General discussions around congressional action on diversity & inclusion
Client expense: $450,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · fourth_quarter · Labor Issues/Antitrust/Workplace
- Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
Client expense: $60,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · fourth_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). To amend the Internal Revenue Code of 1986 to provide for in-serve rollovers for individual retirement annuity purchases (H.R. 10467 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. DOL - EBSA - Final Rule - Prohibited Transaction Class Exemption 84-14 for Transactions Determined by Independent Qualified Professional Asset Managers (the QPAM Exemption) (RIN 1210-ZA07). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. SEC - Final Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (S.4917/H.R.3063-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148-118th Congress). The Catching Up Family Caregivers Act (S.5149-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - IRS - Proposed Rulemaking: Required Minimum Distributions - 89 FR 58644 - [REG-103529-23] (RIN 1545-BQ66). Treasury - IRS - Final Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN 1545-BP82).
Client expense: $190,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · fourth_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division and Federal Trade Commission S. 148 (Stop STALLING Act) S. 142 (Preserve Access to Affordable Generics and Biosimilars Act) S. 150 (Affordable Prescriptions for Patients Act) H.R. 7737 (One Agency Act) Codify New Madison Approach, doctrine for navigating patent rights-antitrust nexus
Client expense: Not reported · Firm income: $7,600
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · third_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. Oppose price controls on credit card late fees. Oppose Federal Reserve rule to tighten price controls on debit card interchange fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2024 · third_quarter · Financial Institutions/Investments/Securities
Issues related to financial regulatory reform; Issues related to data privacy; H.R. 1165, Data Privacy Act of 2023; H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; H.R. 8818, the American Privacy Rights Act of 2024.
Client expense: $2,150,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · third_quarter · Labor Issues/Antitrust/Workplace
S.189, Mind Your Own Business Act H.J.Res.30/S.J. Res.8, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights. General discussions on apprenticeships General discussions around congressional action on diversity & inclusion
Client expense: $320,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · third_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (S.4917/H.R.3063-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148-118th Congress). The Catching Up Family Caregivers Act (S.5149-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - IRS - Proposed Rulemaking: Required Minimum Distributions - 89 FR 58644 - [REG-103529-23] (RIN 1545-BQ66).
Client expense: $170,000 · Firm income: Not reported
Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · third_quarter · Labor Issues/Antitrust/Workplace
- Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · third_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division and Federal Trade Commission S. 148 (Stop STALLING Act) S. 142 (Preserve Access to Affordable Generics and Biosimilars Act) S. 150 (Affordable Prescriptions for Patients Act) H.R. 7737 (One Agency Act)
Client expense: Not reported · Firm income: $53,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · third_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division and Federal Trade Commission S. 148 (Stop STALLING Act) S. 142 (Preserve Access to Affordable Generics and Biosimilars Act) S. 150 (Affordable Prescriptions for Patients Act) H.R. 7737 (One Agency Act)
Client expense: Not reported · Firm income: $53,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · second_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. Oppose price controls on credit card late fees. Oppose Federal Reserve rule to tighten price controls on debit card interchange fees.
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE
2024 · second_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014.
Client expense: $170,000 · Firm income: Not reported
Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · second_quarter · Labor Issues/Antitrust/Workplace
S.189, Mind Your Own Business Act H.J.Res.30/S.J. Res.8, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights. General discussions on apprenticeships General discussions around congressional action on diversity & inclusion
Client expense: $390,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · second_quarter · Banking
H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; FASB rulemakings; Monitored S. 2226, National Defense Authorization Act for Fiscal Year 2024, as it relates to outbound investment disclosure provisions.
Client expense: $2,110,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · second_quarter · Financial Institutions/Investments/Securities
Issues related to financial regulatory reform; Issues related to data privacy; H.R. 1165, Data Privacy Act of 2023; H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; H.R. 8818, the American Privacy Rights Act of 2024.
Client expense: $2,110,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · second_quarter · Labor Issues/Antitrust/Workplace
- Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
Client expense: $90,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · second_quarter · Labor Issues/Antitrust/Workplace
Participated in meetings and Joined House and Senate Sponsors Statement in Support upon introduction of H.R. 7664/S. 4120, the Long-Term Care Workforce Support Act. Letter and meetings in Opposition to H.R. 468, Building Americas Health Care Workforce Act. Participated in meetings and joined Sponsors Statement in Support during reintroduction of H.R. 7929, Nursing Home Workforce Support and Expansion Act of 2024. Letter to all House and Senate offices in Opposition to the following list of Congressional Review Act Resolutions (CRAs) which threaten important worker protections: Improvements to the methodology for determining the adverse effect wage rate for agricultural workers (disapproved by H.J. Res. 59 and S.J. Res. 25) Improvements to the administration and enforcement of prevailing wage requirements for construction workers (disapproved by H.J. Res. 103) Improvements to wage and hour law enforcement by ensuring the FLSAs definition of independent contractor is consistent with economic reality, important for workers in industries with rampant misclassification, like construction (disapproved by H.J. Res. 116 and S.J. Res. 63) Improvements to labor standards for H-2A farmworkers (disapproved by H.J. Res. 134 and 135) Protections for workers retirement savings by ensuring unconflicted investment advice from fiduciaries (disapproved by H.J. Res. 142 and S.J. Res. 79) Protection of workers right to designate a walkaround representative for OSHA inspections (disapproved by H.J. Res. 147) Protection of retirement plan fiduciaries ability to properly consider climate change aspects and other costs and bad business practices of potential investments and to exercise their shareholder rights (disapproved by H.J. Res. 30 and S.J. Res. 8) Expansion of workers right to overtime pay, especially important for low-level supervisory employees (disapproved by H.J. Res. 166) Improvements to the standard for determining joint employer status under the NLRA, especially important for workers in the fast food industry (disapproved by H.J. Res. 98 and S.J. Res. 49) Vital improvements in income-driven student loan repayment, which would provide real relief to young workers severely burdened by debt (disapproved by H.J. Res. 88 and S.J. Res. 43) Encouraging the use of project labor agreements, which are a proven way of delivering cost-savings and on-time completion while ensuring stable labor relations, on large-scale federally-owned construction projects (disapproved by H.J. Res. 132) Requirements for crew sizes on trains to minimize safety risks to railroad employees (disapproved by H.J. Res. 130). Advocating for expanded labor rights protections, and on legislative issues that strengthen unions. Advocated against resolutions and bills to weaken organizing or workers' rights. Protecting the Right to Organize Act H.R. 20/S.567 911 Saves Act (HB6319); HR 4897/S.2501, and OSHA Heat Rule; Advocating against several CRA resolutions of disapproval that would overturn agency action on behalf of workers. Advocating for judicial nominees that will uphold civil liberties, respect for the rule of law, and support constitutional rights of workers. N/A - Supported several of Biden Admin judicial nominees with experience working on behalf of workers and unions.
Client expense: $230,000 · Firm income: Not reported
Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Occupational Safety & Health Administration (OSHA), SENATE
2024 · second_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division and Federal Trade Commission S. 148 (Stop STALLING Act) S. 142 (Preserve Access to Affordable Generics and Biosimilars Act) S. 150 (Affordable Prescriptions for Patients Act)
Client expense: Not reported · Firm income: $19,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · first_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · first_quarter · Labor Issues/Antitrust/Workplace
S.189, Mind Your Own Business Act H.J.Res.30/S.J. Res.8, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights. General discussions on apprenticeships General discussions around congressional action on diversity & inclusion
Client expense: $530,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2024 · first_quarter · Retirement
Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Employee Benefits Security - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) - 29 CFR Part 2550 (Z-RIN 1210 ZA07). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Fitness Act (H.R.5779 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions - 26 CFR Part 1 [REG-132210-18] (RIN 1545-BP11). Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23). Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief. Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014.
Client expense: $160,000 · Firm income: Not reported
Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · first_quarter · Banking
H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; FASB rulemakings; Monitored S. 2226, National Defense Authorization Act for Fiscal Year 2024, as it relates to outbound investment disclosure provisions.
Client expense: $3,000,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · first_quarter · Financial Institutions/Investments/Securities
Issues related to financial regulatory reform; Issues related to data privacy; H.R. 1165, Data Privacy Act of 2023; H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights".
Client expense: $3,000,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · first_quarter · Labor Issues/Antitrust/Workplace
- Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
Client expense: $90,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
2024 · first_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division and Federal Trade Commission
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · fourth_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws. Oppose price controls on credit card late fees.
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · fourth_quarter · Labor Issues/Antitrust/Workplace
Support S. 1201/H.R. 2700, the Employee Rights Act, which would modernize our nations labor policies to match the needs of the 21st century worker and workforce by promoting growth and innovation, ensuring that our laws protect workers rather than union bosses, and allowing Americans to take home more of the money they earn. Support S. 991, the National Labor Relations Board Reform Act, which would end the partisanship by the NLRB by increasing the number of Board members from five to six evenly split between republicans and democrats; imposing new term limits for Board members; require four Board members to approve all decisions; restrain the NLRBs General Counsel and encourage quick resolution of cases before the Board. Support H.J. Res. 30/S.J. Res. 8, House and Senate Resolutions Blocking Department of Labor rule on ESG for Retirement Accounts, which would block the U.S. Department of Labor rule greenlighting environmental, social, and governance (ESG) investing in employer-sponsored retirement plans. Support H.R. 1163/S. 1587, the Protecting Taxpayers and Victims of Unemployment Fraud Act, which would address fraud and overpayments of pandemic unemployment insurance benefits, including by providing incentives for states to investigate and recover overpayments of these benefits.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · fourth_quarter · Labor Issues/Antitrust/Workplace
S.189, Mind Your Own Business Act H.J.Res.30/S.J. Res.8, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights. General discussions on apprenticeships General discussions around congressional action on diversity & inclusion
Client expense: $520,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2023 · fourth_quarter · Banking
H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights"; FASB rulemakings; Monitored S. 2226, National Defense Authorization Act for Fiscal Year 2024, as it relates to outbound investment disclosure provisions.
Client expense: $1,570,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to financial regulatory reform; Issues related to data privacy; H.R. 1165, Data Privacy Act of 2023; H.J.Res. 30. Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights".
Client expense: $1,570,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · fourth_quarter · Financial Institutions/Investments/Securities
DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] (RIN 3235-AL85). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers - 17 CFR Parts 270 and 275 (RIN 3235-AM95). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The ESG Disclosure Simplification Act. (H.R.4759 - 118th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Exploitation Prevention Act (H.R.500 - 118th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The FY 2024 Financial Services and General Government Appropriations Act (S.2302/H.R.4664 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Client expense: $200,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2023 · fourth_quarter · Labor Issues/Antitrust/Workplace
- Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
Client expense: $80,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
2023 · first_quarter · Financial Institutions/Investments/Securities
Financial Technology ("Fintech") digital assets regulation Central Bank Digital Currency Digital assets regulation (stablecoins) Private Markets Transparency and Accountability Act H.R. 1414, the Keep Innovation in America Act. H.R. 1747, the Blockchain Regulatory Certainty Act Keep Your Coins Act "Resolution Expressing Support for Blockchain Technology and Digital Assets." Capital Markets the Reward Work Act Asset manager fiduciary duty legislation Congressional Review Act resolution re: DOL ESG rule - H.J.Res.30 and S.J.Res.8 Sunlight in Workplace Harassment Act Congressional Review Act resolution re: SEC climate rule (prospective) SEC EJ disclosures guidance or regulation (prospective, future) CFTC Carbon offset regulation and use in bank transition plans (RFI) (To be named) Environmental justice financial disclosures bill Fossil Free Finance Act H.R. 1: Lower Energy Costs Act (Under Consideration) Carbon Offsets Legislation H.R. 1165, the Data Privacy Act of 2023 Dodd-Frank 956 rulemaking
Client expense: $160,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2023 · fourth_quarter · Labor Issues/Antitrust/Workplace
Antitrust Consumer welfare standard Federal Trade Commission regulatory excesses, such as antitrust merger reviews and challenges H.J. Res. 30/S.J. Res. 8 (Congressional Review Act disapproval of the ESG investment rule for employee retirement savings benefits, submitted by the Department of Labor relating to "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights) Draft Merger Guidelines for Public Comment (FTC-2023-0043-0001) Notice of Proposed Rulemaking: Premerger Notification; Reporting and Waiting Period Requirements (RIN No. 3084-AB46) Oversight of U.S. Department of Justice Antitrust Division
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2023 · third_quarter · Financial Institutions/Investments/Securities
Financial Technology ("Fintech") digital assets regulation Central Bank Digital Currency Digital Commodities Consumer Protection Act (S. 4760) HR 4766 Clarity for Payment Stablecoin Act HR 4763 The Financial Innovation and Technology for the 21st Century Act Digital assets regulation (stablecoins) General SEC regulatory agenda Private Markets Transparency and Accountability Act H.R. 1414, the Keep Innovation in America Act. H.R. 1747, the Blockchain Regulatory Certainty Act Keep Your Coins Act "Resolution Expressing Support for Blockchain Technology and Digital Assets." Capital Markets the Reward Work Act Executive compensation/procurement executive actions Asset manager fiduciary duty legislation Congressional Review Act resolution re: DOL ESG rule - H.J.Res.30 and S.J.Res.8 Sunlight in Workplace Harassment Act SEC climate disclosure rule Congressional Review Act resolution re: SEC climate rule (prospective) Treasury Net zero principles for Financial Institutions FIO climate data call SEC EJ disclosures guidance or regulation (prospective, future) CFTC Carbon offset regulation and use in bank transition plans (RFI) Climate-related accounting and audit standards (To be named) Environmental justice financial disclosures bill Fossil Free Finance Act H.R. 1: Lower Energy Costs Act (Under Consideration) Carbon Offsets Legislation Insurance fossil fuel disclosures bill (Schiff) Fair Credit for Farmers Act H.R. 1165, the Data Privacy Act of 2023
Client expense: $150,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2023 · third_quarter · Banking
Support H.J. Res. 30 & S.J. Res. 8. to Overturn Biden administration DOL rule encouraging fiduciaries to support woke ESG priorities over financial returns. Support H.R. 1165 Data Privacy Act of 2023 to modernize financial data privacy laws.
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE