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Helping Angels Lead Our Startups Act
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
79pct
79d open
vs 6,526 other HR bills in the 114th — cohort avg 56d
(This measure has not been amended since it was introduced. The expanded summary of the House reported version is repeated here.) Helping Angels Lead Our Startups Act or the HALOS Act (Sec. 3) This bill directs the Securities and Exchange Commission (SEC) to amend Regulation D (governing the limited offer and sale of securities without registration under the Securities Act of 1933) to make the prohibition against general solicitation or general advertising inapplicable to events with specified kinds of sponsors (including angel investor groups not connected to broker-dealers or investment advisers) where: presentations or communications are made by or on behalf of an issuer, the advertising does not refer to any specific offering of securities by the issuer, the sponsor does not engage in certain activities (such as offering investment recommendations or advice to attendees), the sponsor does not receive compensation for the event which would require registration as a broker or dealer or as an investment advisor, and no specific information regarding a securities offering is communicated (other than that the issuer is in the process of offering or planning to offer securities, including the type and amount of securities being offered). This bill may only be construed as requiring the SEC to amend Regulation D with respect to presentations and communications, and not with respect to purchases or sales.
These links require the bill number to appear in the filing's source-reported specific issue text. Client expenses and lobbying-firm income are separate disclosure fields.
Filing registrants (11)
Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
Motion to reconsider laid on the table Agreed to without objection.
On passage Passed by the Yeas and Nays: 325 - 89 (Roll no. 171). (text: CR H2037-2038)
HousePassed/agreed to in House: On passage Passed by the Yeas and Nays: 325 - 89 (Roll no. 171).(text: CR H2037-2038)
HouseDEBATE - Pursuant to the provisions of H.Res. 701, the House proceeded with 10 minutes of debate on the Waters amendment.
DEBATE - The House proceeded with one hour of debate on H.R. 4498.
Rule provides for consideration of H.R. 4498 with 1 hour of general debate. Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Measure will be considered read. A specified amendment is in order.
Considered under the provisions of rule H. Res. 701. (consideration: CR H2037-2046)
Rule H. Res. 701 passed House.
Bills with similar content found using semantic analysis.
Sources: Congress.gov
2016 · first_quarter · Small Business
H.R. 37 Promoting Job Creation and Reducing Small Business Burdens Act (Support) H.R. 1023 - Small Business Investment Company Capital Act (Support) S. 552 - Small Business Investment Company Capital Act (Support) H.R. 432 - SBIC Advisers Relief Act (Support) S. 1686 - Carried Interest Fairness Act (Oppose) H.R. 2889 - Carried Interest Fairness Act (Oppose) Pro Small business investment tax incentives (support) Business Development Company (BDC) modernization provisions (support) H.R. 2115 To make permanent rules related to investment by nonresident aliens in business development companies (support) H.R. 686 Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act (Support) Financial Services Appropriations bills covering SBA and SEC H.R. 3868 - The Small Business Credit Availability Act H.R. 3784 - The SEC Small Business Advocate Act H.R. 22 - FAST Act, pro SBIC Advisers Relief Act H.R. 2029 - the Protecting Americans from Tax Hikes Act - pro small business tax provisions H.R. 4498, the Helping Our Angels Lead Our Startups Act (HALOS) H.R. 3868 The Small business Credit Availability Act H.R. 3784 Small business Advocate Act Issues dealing with capital gains exclusion for investments in qualified small businesses Issues dealing with increasing investments by banks in Small Business Investment Companies Issues dealing with data, information technology at SBA for SBICs, modernizing regulations for Business Development Companies
Client expense: $110,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of
2016 · fourth_quarter · Small Business
Access to Capital: SBE Council continues to advocate for reforms and solutions to improve capital formation in the U.S. and access to capital for small businesses. Specific bills include: H.R. 6427, Creating Financial Prosperity for Businesses and Investors Act. Supported House passage. H.R. 3784, Securities and Exchange Commission (SEC) Small Business Advocate Act. Supported Senate passage. Regulatory Reform and Modernization: SBE Council continues to voice support for comprehensive reform including streamlining regulations, more openness and transparency in the regulatory process, giving small businesses a meaningful voice in rulemakings, cost-benefit analysis, and looks-backs and sunsetting of regulations. Specific bills include: Regulatory Relief for Small Businesses, Schools, and Nonprofits Act (H.R. 6094): Supported House passage. H.R. 5982, Midnight Rules Relief Act. Supported House passage. H.R. Regulatory Accountability Act. Continued to push for Senate action and making the bill a priority in the 115th Congress. Overtime regulation: Advocated for changes to limit the impact on small businesses by phasing in increases and making other changes to the final Department of Labor regulation. H.R. 4139, Fostering Innovation Act. Urged Senate action on the House-passed bill. H.R. 4168, Small Business Capital Formation Enhancement Act. Urged Senate action on this House-passed bill. H.R. 4498, Helping Angels Lead Our Startups Act (HALOs Act). Urged Senate action on this House-passed bill. H.R. 4596, Small Business Broadband Deployment Act. Urged Senate action on this House-passed bill. Federal Communications Commission rules on Set-Top-Box: Oppose proposed rulemaking and pushed for changes and a more open process. Tax Reform and Relief: SBE Council continues to engage with Congress and the Administration on the need for tax system overhaul, fairness and simplicity for small businesses. Specific bills and actions include: Section 385 regulatory changes by U.S. Treasury: Expressed concern and opposed hasty changes. New Valuation Rules by the U.S. Treasury on estates. Expressed concerns and opposed changes. Protect Family Farms and Businesses Act (H.R. 6100 and S. 3436): Support both bills. International Trade, Competitiveness and Tariff Relief, Intellectual Property: SBE Council continues to voice support for trade agreements and efforts to improve and simplify exporting for small businesses, and strengthening IP protections. Affordable Health Coverage and ACA Reform: SBE Council continues to support multiple efforts to fully reform the Affordable Care Act and replace with market-based alternatives and solutions that produce competition and lower costs for small businesses. Specific bills include: Fixing Health Reimbursement Accounts (HRAs) to make sure small businesses can use the accounts without being unduly punished through harsh financial penalties. The fix was included within the 21st Century Cures Act, and SBE Council supported House and Senate passage of the full act. Original bills were H.R. 5447 and S. 3060. Privacy and Cybersecurity: Improving Small Business Cybersecurity Act (S.3024): Supported Senate bill and passage OTHER: Postal Rates Submitted Comments to the Postal Regulatory Commission opposing the rate hike in first class mail. Good Government H.R. 598, Taxpayers Right-to-Know Act. Urged Senate action of this House-passed bill.
2016 · fourth_quarter · Small Business
Capital Formation Investment Incentives ---Reform of Capital Gains Rules ---Reform of Net Operating Loss Rules ---Reform of Passive Loss Rules ---S. 341: Start-up Jobs and Innovation Act ---S. 537: COMPETE Act ---H.R. 2179: PARTNER Act Capital Market Enhancements ---Financial CHOICE Act (House Discussion Draft) ---H.R. 1675/S. 576: Encouraging Employee Ownership Act ---H.R. 1675: Capital Markets Improvement Act ---H.R. 2187: Fair Investment Opportunities for Professional Experts Act ---H.R. 2354: Streamlining Excessive and Costly Regulations Review Act ---H.R. 2357: Accelerating Access to Capital Act ---H.R. 3784/S.2867: Securities & Exchange Commission Small Business Advocate Act ---H.R. 4168: Small Business Capital Formation Enhancement Act ---H.R. 4638: Main Street Growth Act ---H.R. 6427: Creating Financial Prosperity for Businesses and Investors Act ---PCAOB Audit Cost Increases Legislative Amendments to SEC Rule 12b-2 Filing Status Definitions ---Financial CHOICE Act (House Discussion Draft) ---H.R. 5311: Corporate Governance Reform and Transparency Act ---Impact of Policies on Small Public Companies Proxy Advisory Services ---Financial CHOICE Act (House Discussion Draft) ---H.R. 5311: Corporate Governance Reform and Transparency Act ---Impact of Policies on Small Public Companies Reform of SEC Regulation D ---Financial CHOICE Act (House Discussion Draft) ---H.R. 4498/S. 978: HALOS Act Sarbanes Oxley Section 404 (b) ---Financial CHOICE Act (House Discussion Draft) ---H.R. 4139: Fostering Innovation Act ---PCAOB Audit Cost Increases ---Small Issuer Exemption Short Selling Transparency ---H.R.5485-S.3067: Financial Services and General Government Appropriations Act for FY 2017 Stock Exchange Tick Size XBRL Exemption for Small Public Companies ---Financial CHOICE Act (House Discussion Draft) ---H.R. 1675: Capital Markets Improvement Act ---H.R. 1965: Small Company Disclosure Simplification Act
2016 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 1486, Taking Account of Bureaucrats' Spending (TABS) Act of 2016 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4216/S. 1802, Consumer Financial Choice and Capital Markets Protection Act of 2015 H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498/S. 978, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 H.R. 4852, Private Placement Improvement Act of 2016 H.R. 4854, Supporting America's Innovators Act of 2016 H.R. 4855, Fix Crowdfunding Act H.R. 5019, Fair Access to Investment Research Act of 2016 H.R. 5143, Transparent Insurance Standards Act of 2016 H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 H.R. 5424, Investment Advisers Modernization Act of 2016 H.R. 5429, SEC Regulatory Accountability Act H.R. 5485/S. 3067, Financial Services and General Government Appropriations Act, 2017, including provisions related to House Amendment 1253 H.R. 5982, Midnight Rules Relief Act of 2016 H.R. 5983, Financial CHOICE Act of 2016 H.R. 6392, Systemic Risk Designation Improvement Act of 2016 H.R. 6427, Creating Financial Prosperity for Businesses and Investors Act S. 2867, SEC Small Business Advocate Act of 2016 Final regulation on definition of the term "fiduciary"; conflict of interest rule--retirement investment advice (81 Fed. Reg. 20,946, April 8, 2016) Proposed regulations on arbitration agreements (81 Fed. Reg. 32,830, May 24, 2016) Proposed regulations on amendments relating to disclosure of records and information (81 Fed. Reg. 58,310, August 24, 2016) Proposed regulations on universal proxy (81 Fed. Reg. 79,122, November 10, 2016) Proposed regulations on regulation automated trading (81 Fed. Reg. 85,334, November 25, 2016) Proposed regulations on cross-border application of the registration thresholds and external business conduct standards applicable to swap dealers and major swap participants (81 Fed. Reg. 71,946, October 18, 2016) Proposed rule on regulations Q and Y; risk-based capital and other regulatory requirements for activities of financial holding companies related to physical commodities and risk-based capital requirements for merchant banking investments (81 Fed. Reg. 67,220, September 30, 2016) Notice regarding consumer response company response survey (81 Fed. Reg. 50,484, August 1, 2016) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); Basel III capital standards, bank capital, and liquidity reform; political spending disclosures; systemic risk regulation and capital standards for non-bank financial companies; changes to Credit Repair Organizations Act (CROA) of 1996 (P.L. 90-321, Title IV); Federal Reserve reform; proxy voting system
2016 · fourth_quarter · Small Business
H.R. 3784 & S.2867, SEC Small Business Advocate Act of 2015 H.R. 4498 & S.978, Helping Angels Lead Our Startups Act (HALOS Act) General SBIC program improvements Pro Small Business Investor Tax provisions
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Rules Committee Resolution H. Res. 701 Reported to House. Rule provides for consideration of H.R. 4498 with 1 hour of general debate. Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Measure will be considered read. A specified amendment is in order.
Placed on the Union Calendar, Calendar No. 389.
Reported by the Committee on Financial Services. H. Rept. 114-509.
Congress.gov source codes: 5000, H12200
Ordered to be Reported by the Yeas and Nays: 44 - 13.
Committee Consideration and Mark-up Session Held.
Referred to the House Committee on Financial Services.
Introduced in House
Congress.gov source codes: 1000, Intro-H
Hearings Held by the Subcommittee on Capital Markets and Government Sponsored Enterprises Prior to Introduction and Referral.
| House |
| Referred to |
| February 9, 2016 |
| February 9, 2016 |
| Democratic |
| CO |
| John K. Delaney | Democratic | MD |
| Kyrsten Sinema | Independent | AZ |
| Mark Takai | Democratic | HI |
| Pete Sessions | Republican | TX |
| Randy Hultgren | Republican | IL |
| Robert Hurt | Republican | VA |
| Ryan A. Costello | Republican | PA |
Client expense: $30,000 · Firm income: Not reported
Government targets: Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, Postal Regulatory Commission, SENATE, Treasury, Dept of
Client expense: $2,330,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Centers For Medicare and Medicaid Services (CMS), Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Natl Institutes of Health (NIH), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), SENATE, U.S. Trade Representative (USTR)
Client expense: $18,590,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Bureau of Industry and Security (BIS), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Bureau of Investigation (FBI), Federal Communications Commission (FCC), Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Fish & Wildlife Service (USFWS), U.S. Geological Survey (USGS), U.S. Trade Representative (USTR), White House Office
2016 · fourth_quarter · Small Business
H.R. 37 Promoting Job Creation and Reducing Small Business Burdens Act (Support) H.R. 1023 - Small Business Investment Company Capital Act (Support) S. 552 - Small Business Investment Company Capital Act (Support) H.R. 432 - SBIC Advisers Relief Act (Support) S. 1686 - Carried Interest Fairness Act (Oppose) H.R. 2889 - Carried Interest Fairness Act (Oppose) Pro Small business investment tax incentives (support) Business Development Company (BDC) modernization provisions (support) H.R. 2115 To make permanent rules related to investment by nonresident aliens in business development companies (support) H.R. 686 Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act (Support) Financial Services Appropriations bills covering SBA and SEC H.R. 3868 - The Small Business Credit Availability Act H.R. 3784 - The SEC Small Business Advocate Act H.R. 22 - FAST Act, pro SBIC Advisers Relief Act H.R. 2029 - the Protecting Americans from Tax Hikes Act - pro small business tax provisions H.R. 4498/S 978, the Helping Our Angels Lead Our Startups Act (HALOS) H.R. 3868 The Small business Credit Availability Act H.R. 3784/S 2867 Small business Advocate Act H.R. 5424 Investment Advisers Modernization Issues dealing with capital gains exclusion for investments in qualified small businesses Issues dealing with increasing investments by banks in Small Business Investment Companies Issues dealing with data, information technology at SBA for SBICs, modernizing regulations for Business Development Companies General SBIC Program Improvements Pro-Small Business Investor Tax Provisions HR 5968 the Small Business Investment Opportunity Act HR 5969 Investing in Main Street Act of 2016
Client expense: $110,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of
2016 · fourth_quarter · Financial Institutions/Investments/Securities
Capital formation and capital markets; implementation of the Jobs Act; market structure; XBRL reform; tick size legislation; Sarbanes-Oxley Act, Section 404(b); short selling transparency; H.R. 1675: Encouraging Employee Ownership Act; H.R. 4168: Small Business Capital Formation Enhancement Act; H.R. 3784: Securities & Exchange Commission Small Business Act; H.R. 2354: Streamlining Excessive and Costly Regulations Review Act; H.R. 4638: Main Street Growth Act; H.R. 1675 Capital Markets Improvements Act; H.R. 4498: HALOS Act; H.R. 4139:Fostering Innovation Act.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Small Business
H.R. 37 Promoting Job Creation and Reducing Small Business Burdens Act (Support) H.R. 1023 - Small Business Investment Company Capital Act (Support) S. 552 - Small Business Investment Company Capital Act (Support) H.R. 432 - SBIC Advisers Relief Act (Support) S. 1686 - Carried Interest Fairness Act (Oppose) H.R. 2889 - Carried Interest Fairness Act (Oppose) Pro Small business investment tax incentives (support) Business Development Company (BDC) modernization provisions (support) H.R. 2115 To make permanent rules related to investment by nonresident aliens in business development companies (support) H.R. 686 Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act (Support) Financial Services Appropriations bills covering SBA and SEC H.R. 3868 - The Small Business Credit Availability Act H.R. 3784 - The SEC Small Business Advocate Act H.R. 22 - FAST Act, pro SBIC Advisers Relief Act H.R. 2029 - the Protecting Americans from Tax Hikes Act - pro small business tax provisions H.R. 4498/S 978, the Helping Our Angels Lead Our Startups Act (HALOS) H.R. 3868 The Small business Credit Availability Act H.R. 3784/S 2867 Small business Advocate Act H.R. 5424 Investment Advisers Modernization Issues dealing with capital gains exclusion for investments in qualified small businesses Issues dealing with increasing investments by banks in Small Business Investment Companies Issues dealing with data, information technology at SBA for SBICs, modernizing regulations for Business Development Companies General SBIC Program Improvements Pro-Small Business Investor Tax Provisions HR 5968 the Small Business Investment Opportunity Act HR 5969 Investing in Main Street Act of 2016
Client expense: $110,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of
2016 · third_quarter · Financial Institutions/Investments/Securities
HR 766, Financial Institution Customer Protection Act of 2016 HR 1675, Capital Markets Improvements Act of 2016 HR 1927, Fairness in Class Action Litigation and Furthering Asbestos Claim Transparency Act of 2016 HR 2896, Taking Account of Institutions with Low Operation Risk Act of 2015 HR 4166, Expanding Proven Financing for American Employers Act HR 4498, Helping Angels Lead Our Startups (HALOS) Act HR 4620, Preserving Access to CRE Capital Act of 2016 HR 4638, Main Street Growth Act HR 3798, Due Process Restoration Act of 2015 HR 4894, To Repeal Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act HR 1486, Taking Account of Bureaucrats Spending Act of 2015 H.J. Res. 88, Disapproving the Rules Submitted by the Department of Labor Relating to the Definition of the term Fiduciary HR 2357, Accelerating Access to Capital Acts of 2015 HR 4768, Separation of Powers Restoration Act of 2016 HR 5226, Regulatory Integrity Act of 2016 HR 59833, Financial CHOICE Act HR 5491, Consumer Financial Protection Act of 2010 HR 5413, CFPB Data Accountability Act HR 5063, Stop Settlement Slush Fund Act of 2016 U.S. Territories Investor Protection Act of 2016 HR 2947, Financial Institution Bankruptcy Act Distressed Assets Sales Programs Language access issues Uniform Residential Loan Application Financial Services and General Government Appropriations Retail banking sales quotas National bank chartering Consumer Compliance Ratings Policies related to small-dollar/payday lending Policies related to debt collection practices
Client expense: $391,841 · Firm income: Not reported
Government targets: Bureau of the Census, Consumer Financial Protection Bureau (CFPB), Education, Dept of, Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Transportation, Dept of (DOT), Treasury, Dept of
2016 · third_quarter · Financial Institutions/Investments/Securities
H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 1486, Taking Account of Bureaucrats' Spending (TABS) Act of 2016 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4216/S. 1802, Consumer Financial Choice and Capital Markets Protection Act of 2015 H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498/S. 978, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 H.R. 4852, Private Placement Improvement Act of 2016 H.R. 4854, Supporting America's Innovators Act of 2016 H.R. 4855, Fix Crowdfunding Act H.R. 5019, Fair Access to Investment Research Act of 2016 H.R. 5143, Transparent Insurance Standards Act of 2016 H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 H.R. 5424, Investment Advisers Modernization Act of 2016 H.R. 5429, SEC Regulatory Accountability Act H.R. 5485/S. 3067, Financial Services and General Government Appropriations Act, 2017, including provisions related to House Amendment 1253 H.R. 5982, Midnight Rules Relief Act of 2016 H.R. 5983, Financial CHOICE Act of 2016 S. 2867, SEC Small Business Advocate Act of 2016 Final regulation on definition of the term "fiduciary"; conflict of interest rule--retirement investment advice (81 Fed. Reg. 20,946, April 8, 2016) Proposed regulations on regulation automated trading (80 Fed. Reg. 78,824, December 17, 2015) Proposed regulations on arbitration agreements (81 Fed. Reg. 32,830, May 24, 2016) Proposed regulations on capital requirements for supervised institutions significantly engaged in insurance activities (81 Fed. Reg. 38,631, June 14, 2016) Proposed regulations payday, vehicle title and certain high-cost installment loans (81 Fed. Reg. 47,864, July 22, 2016) Proposed regulations on amendments relating to disclosure of records and information (81 Fed. Reg. 58,310, August 24, 2016) Proposed regulations on enhanced prudential standards for systemically important insurance companies (81 Fed. Reg. 38,610, June 14, 2016) Notice regarding consumer response company response survey (81 Fed. Reg. 50,484, August 1, 2016) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); Basel III capital standards, bank capital, and liquidity reform; political spending disclosures; systemic risk regulation and capital standards for non-bank financial companies; changes to Credit Repair Organizations Act of 1996 (CROA) (P.L. 90-321, Title IV); Securities and Exchange Commission electronic delivery and investment company reporting modernization; Federal Reserve reform; universal ballot; proxy voting system
Client expense: $18,410,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Bureau of Industry and Security (BIS), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Bureau of Investigation (FBI), Federal Communications Commission (FCC), Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Fish & Wildlife Service (USFWS), U.S. Geological Survey (USGS), U.S. Trade Representative (USTR), White House Office
2016 · third_quarter · Financial Institutions/Investments/Securities
Capital formation and capital markets; implementation of the Jobs Act; market structure; XBRL reform; tick size legislation; Sarbanes-Oxley Act, Section 404(b); short selling transparency; H.R. 1675: Encouraging Employee Ownership Act; H.R. 4168: Small Business Capital Formation Enhancement Act; H.R. 3784: Securities & Exchange Commission Small Business Act; H.R. 2354: Streamlining Excessive and Costly Regulations Review Act; H.R. 4638: Main Street Growth Act; H.R. 1675 Capital Markets Improvements Act; H.R. 4498: HALOS Act; H.R. 4139:Fostering Innovation Act.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Small Business
H.R. 3784 & S.2867, SEC Small Business Advocate Act of 2015 H.R. 4498 & S.978, Helping Angels Lead Our Startups Act (HALOS Act) General SBIC program improvements Pro Small Business Investor Tax provisions
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · second_quarter · Small Business
Access to Capital: SBE Council continues to advocate for reforms and solutions to improve capital formation in the U.S. and access to capital for small businesses. Some specific bills include: H.R. 4498: Helping Angels Lead Our Startups (HALOS) Act - SBE Council supported House passage. H.R. 3791: A bill to increase the consolidated asset threshold for small banks - SBE Council supported House passage. H.R. 4139: The Fostering Innovation Act - SBE Council supported House passage. H.R. 4852: The Private Placement Improvement Act of 2016 - SBE Council expressed support and continues to advocate for House passage. H.R. 4855: Fix Crowdfunding Act of 2016 - SBE Council continues to advocate for full House passage. H.R. 4850: Micro Offering Safe Harbor Act - SBE Council supports this legislation. Regulatory Reform and Modernization: SBE Council continues to voice support for comprehensive regulatory reform including streamlining regulations, more openness and transparency in the regulatory process, giving small businesses a meaningful voice in rulemakings, cost-benefit analysis, and looks-backs and sunsetting of regulations. We weighed in on efforts in the House (the Speakers working groups) on both the regulatory reform plan and financial regulatory system overhaul Better Way proposals. Some specific bills include: H.R. 3340: The Financial Stability Council Reform Act - SBE Council supported House passage. S. 2707 and H.R. 4773: Protecting Workplace Advancement and Opportunity Act - SBE Council supports House and Senate bills. H.R. 4768: Separation of Powers Restoration Act - SBE Council supports House passage and action on a similar bill in the Senate. S. 2867: The SEC Small Business Advocate Act of 2016 - SBE Council supports Senate action on the legislation. H.R. 5429: The SEC Regulatory Accountability Act - SBE Council supports this legislation. H.R. 4775: Ozone Standards and Implementation Act of 2016 - SBE Council supports this legislation. H. R. 3880: Stopping EPA Overreach Act - SBE Council supports this legislation. S.J. Res 28: Duplicative Regulation of Catfish - SBE Council is supportive of the resolution. H.R. 5328: The Federal Agency Complete Transparency (FACT) Act - SBE Council supports this legislation. Tax Reform and Relief: SBE Council continues to engage with Congress and the Administration on the need for tax system overhaul, fairness and simplicity for small businesses. We provided feedback to a working group in the House on the Better Way tax reform plan. Federal Government Procurement/Access to Contracts. Specific bills include: H.R. 4284, H.R. 3714, H.R. 4332, H.R. 4325, H.R. 4326 - a package of bills supporting small business government contractors, access to contracts and fair competition. SBE Council supported House passage. Perry Amendment to MilCon/Va Approps: Ensuring Fair and Open Competition for Federal Construction Contracts - SBE Council supported. Government Reform and Accountability/Good Government Bills. Specific bills include: H.R. 5283: Deterring Undue Enforcement by Protecting Rights of Citizens from Excessive Searches and Seizures Act of 2016 (Due Process Act) - SBE Council supports. H.R. 4885: The IRS Oversight While Eliminating Spending (OWES) Act of 2016 - SBE Council supported House passage. H.R. 5053: Preventing IRS Abuse and Protecting Free Speech Act - SBE Council supported. H.R. 4890: Related to IRS Performance and Bonuses - SBE Council supported House passage. H.R. 3724: Ensuring Integrity in the IRS Workforce Act of 2016 - SBE Council supported House passage. Taxpayer Bill of Rights Regarding IRS Examination Process - SBE Council continues to support efforts in the House and Senate to address shortcomings in the system and advance reforms. International Trade, Competitiveness and Tariff Relief, Intellectual Property: SBE Council continues to voice support for trade agreements and efforts to improve and simplify exporting for small businesses. Specific bills include: H.R. 4923: American Manufacturing Competitiveness Act of 2016 - SBE Council supported House passage. Affordable Health Coverage and ACA Reform: SBE Council continues to support multiple efforts to fully reform the Affordable Care Act and replace with market-based alternatives and solutions that produce competition and lower costs for small businesses. Specific bills include: H.R. 5447: Small Business Health Care Relief Act - Legislation to Allow for Health Reimbursement Accounts (HRAs) - SBE Council supported House passage and continues to support S. 3060, the Senate companion bill. Coalition Letter on H.R. 3463: Aligning Childrens Dental Coverage Act of 2015 - SBE Council supports. H.R. 1270: Restoring Access to Medication and Improving Health Savings Act of 2016 - SBE Council supports this legislation. H.R. 5445: The Health Care Security Act of 2016 - SBE Council supports this legislation.
Client expense: $70,000 · Firm income: Not reported
Government targets: Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA), White House Office
2016 · second_quarter · Small Business
Capital Formation Investment Incentives ---H.R. 2179: PARTNER Act ---Reform of Capital Gains Rules ---Reform of Net Operating Loss Rules ---Reform of Passive Loss Rules ---S. 341: Start-up Jobs and Innovation Act ---S. 537: COMPETE Act Capital Market Enhancements ---H.R. 1675/S. 576: Encouraging Employee Ownership Act ---H.R. 1675: Capital Markets Improvement Act ---H.R. 2354: Streamlining Excessive and Costly Regulations Review Act ---H.R. 2357: Accelerating Access to Capital Act ---H.R. 3784/S.2867: Securities & Exchange Commission Small Business Advocate Act ---H.R. 4168: Small Business Capital Formation Enhancement Act ---H.R. 4638: Main Street Growth Act ---H.R. 2187: Fair Investment Opportunities for Professional Experts Act ---Financial CHOICE Act (House Discussion Draft) Small Business Innovation Research (SBIR) Program Proxy Advisory Services ---Impact of Policies on Small Public Companies ---H.R. 5311: The Corporate Governance Reform and Transparency Act of 2016 ---Financial CHOICE Act (House Discussion Draft) Reform of SEC Regulation D ---H.R. 4498/S.978: HALOS Act ---H.R. 4852: Private Placement Improvement Act ---Financial CHOICE Act (House Discussion Draft) Sarbanes Oxley Section 404 (b) ---H.R. 4139: Fostering Innovation Act ---PCAOB Audit Cost Increases ---Small Issuer Exemption ---Financial CHOICE Act (House Discussion Draft) Short Selling Transparency ---H.R.5485/S.3067: Financial Services and General Government Appropriations for FY 2017 XBRL Exemption for Small Public Companies ---H.R. 1675: Capital Markets Improvement Act ---H.R. 1965: Small Company Disclosure Simplification Act ---Financial CHOICE Act (House Discussion Draft) Legislative Amendments to SEC Rule 12b-2 Filing Status Definitions
Client expense: $2,310,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Centers For Medicare and Medicaid Services (CMS), Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Health Resources & Services Administration (HRSA), Natl Institutes of Health (NIH), Natl Security Council (NSC), Office of Science & Technology Policy (OSTP), SENATE, U.S. Trade Representative (USTR), White House Office
2016 · second_quarter · Small Business
H.R. 3784 & S.2867, SEC Small Business Advocate Act of 2015 H.R. 3868, Small Business Credit Availability Act (HR 3868) CHOICE Act H.R. 4498 & S.978, Helping Angels Lead Our Startups Act (HALOS Act) General SBIC program improvements Pro Small Business Investor Tax provisions
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · second_quarter · Small Business
H.R. 37 Promoting Job Creation and Reducing Small Business Burdens Act (Support) H.R. 1023 - Small Business Investment Company Capital Act (Support) S. 552 - Small Business Investment Company Capital Act (Support) H.R. 432 - SBIC Advisers Relief Act (Support) S. 1686 - Carried Interest Fairness Act (Oppose) H.R. 2889 - Carried Interest Fairness Act (Oppose) Pro Small business investment tax incentives (support) Business Development Company (BDC) modernization provisions (support) H.R. 2115 To make permanent rules related to investment by nonresident aliens in business development companies (support) H.R. 686 Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act (Support) Financial Services Appropriations bills covering SBA and SEC H.R. 3868 - The Small Business Credit Availability Act H.R. 3784 - The SEC Small Business Advocate Act H.R. 22 - FAST Act, pro SBIC Advisers Relief Act H.R. 2029 - the Protecting Americans from Tax Hikes Act - pro small business tax provisions H.R. 4498/S 978, the Helping Our Angels Lead Our Startups Act (HALOS) H.R. 3868 The Small business Credit Availability Act H.R. 3784/S 2867 Small business Advocate Act H.R. 5424 Investment Advisers Modernization Issues dealing with capital gains exclusion for investments in qualified small businesses Issues dealing with increasing investments by banks in Small Business Investment Companies Issues dealing with data, information technology at SBA for SBICs, modernizing regulations for Business Development Companies General SBIC Program Improvements Pro-Small Business Investor Tax Provisions
Client expense: $110,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of
2016 · second_quarter · Financial Institutions/Investments/Securities
H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1486, Taking Account of Bureaucrats' Spending (TABS) Act of 2016 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 1675, Capital Markets Improvement Act of 2016 H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2289, Commodity End User Relief Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2901/S. 1679, Flood Insurance Market Parity and Modernization Act H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4216/S. 1802, Consumer Financial Choice and Capital Markets Protection Act of 2015 H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498/S. 978, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 H.R. 4852, Private Placement Improvement Act of 2016 H.R. 4854, Supporting America's Innovators Act of 2016 H.R. 4855, Fix Crowdfunding Act H.R. 5019, Fair Access to Investment Research Act of 2016 H.R. 5143, Transparent Insurance Standards Act of 2016 H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 H.R. 5424, Investment Advisers Modernization Act of 2016 H.R. 5429, SEC Regulatory Accountability Act H.R. 5485, Financial Services and General Government Appropriations Act, 2017 S. 1484, Financial Regulatory Improvement Act of 2015 S. 2867, SEC Small Business Advocate Act of 2016 S. 2917, Commodity End-User Relief Act H.J. Res. 88, Disapproving the rule submitted by the Department of Labor relating to the definition of the term "Fiduciary" S.J. Res. 33, A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to the definition of the term "fiduciary" and the conflict of interest rule with respect to retirement investment advice Draft legislation on conflict minerals disclosures Proposed regulations on the definition of the term fiduciary; Conflict of interest rule-retirement investment advice (80 Fed. Reg. 21,928, April 20, 2015) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203), including sections 953 and 1502; ratification of the Convention on the Assignment of Receivables in International Trade; Basel III capital standards, bank capital, and liquidity reform; Trust Indenture Act (P.L. 76-253); political spending disclosures; systemic risk regulation and capital standards for non-bank financial companies; Consumer Financial Protection Bureau arbitration rule; Consumer Financial Protection Bureau payday and small dollar lending rule; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau auto financing standard; Consumer Financial Protection Bureau no action letters; Federal Reserve reform; universal ballot; proxy voting system
Client expense: $22,770,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Bureau of Industry and Security (BIS), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Bureau of Investigation (FBI), Federal Communications Commission (FCC), Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Fish & Wildlife Service (USFWS), U.S. Geological Survey (USGS), U.S. Trade Representative (USTR), White House Office
2016 · second_quarter · Financial Institutions/Investments/Securities
H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 3868 - Small Business Credit Availability Act (Mulvaney) H.R. 4096 - Investor Clarity and Bank Parity Act (Capuano) H.R. 4216 - Consumer Financial Choice and Capital Markets Protection Act (Moore) H.R. 4498 - Helping Angels Lead our Startups Act (Chabot) H.R. 4854 - Supporting America's Innovators Act of 2016 (McHenry) H.R. 5019 - Fair Access to Investment Research Act of 2016 (Hill) H.R. 5311 - Corporate Governance Reform and Transparency Act of 2016 (Duffy) H.R. 5322 - U.S. Territories Investor Protection Act of 2016 (Velazquez) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act (Toomey) S. 2917 - Commodity End-User Relief Act (Roberts) S. 3092 - Fair Access to Investment Reseach Act of 2016 (Heller) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board Exchange-Traded Funds SEC Proposed Rule on Electroinic Delivery of Mutual Fund Shareholder Reports SEC Proposed Rule on use of Derivatives by Registered Funds SEC Proposed Rule on Liquidity Risk Management National Market System Plans
Client expense: $1,229,071 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office
2016 · second_quarter · Financial Institutions/Investments/Securities
Capital formation and capital markets; implementation of the Jobs Act; market structure; XBRL reform; tick size legislation; Sarbanes-Oxley Act, Section 404(b); short selling transparency; H.R. 1675: Encouraging Employee Ownership Act; H.R. 4168: Small Business Capital Formation Enhancement Act; H.R. 3784: Securities & Exchange Commission Small Business Act; H.R. 2354: Streamlining Excessive and Costly Regulations Review Act; H.R. 4638: Main Street Growth Act; H.R. 1675 Capital Markets Improvements Act; H.R. 4498: HALOS Act; H.R. 4139:Fostering Innovation Act.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · first_quarter · Small Business
H.R. 8 - North American Energy Security and Infrastructure Act of 2015 Legislation seeks to promote energy efficiency inside the federal government and improve the security of energy-related infrastructure primarily by expanding the Department of Energys authorities. NSBA supports H.R. 9 - Innovation Act Reforms the patent system and introduces measures that would make it more difficult for small businesses to defend their patents. NSBA opposes H.R. 25 - The Fair Tax Act To promote freedom, fairness, and economic opportunity by repealing the income tax and other taxes, abolishing the Internal Revenue Service, and enacting a national sales tax to be administered primarily by the states. NSBA supports H.R. 644 - the Trade Facilitation and Trade Enforcement Act The legislation authorizes the U.S. Customs and Border Protection and improves the flow of legitimate trade by modernizing the automated import and export system. NSBA supports H.R. 703 - Renewable Fuel Standard Elimination Act Would remove the renewable fuel standard. NSBA is monitoring H.R. 1105 - Death Tax Repeal Act of 2015 Bill would repeal the estate and generation-skipping transfer taxes, as well as cut the top gift tax rate. NSBA supports H.R. 1155 - Searching for and Cutting Regulations that are Unnecessarily Burdensome (SCRUB) Act of 2015 This bill would create a special commission to review and repeal regulatory requirements which could be removed without significant impact to the regulations overall effectiveness. NSBA supports H.R. 1732 - Regulatory Protection Act of 2015 The legislation would require the EPA to rewrite the waters of the U.S. rule. NSBA supports H.R. 2045 - TROL Act Allows the FTC to go after patent trolls which often target small business patent holders. NSBA supports H.R. 2187 - The Fair Investment Opportunities for Professional Experts Act Requires the Securities and Exchange Commission (SEC) to rewrite the accredited investor definition and would codify the current financial thresholds so that they may not be raised by the SEC except by statute. NSBA supports H.R. 2775 - the Remote Transactions Parity Act of 2015 The bill allows states that meet simplification requirements to require remote sellers to collect taxes due on items purchased by consumers in those states. NSBA is monitoring H.R. 2911 - Small Business Healthcare Relief Act This bill amends the Internal Revenue Code and the Employee Retirement Income Security Act of 1974 (ERISA) to allow an employer with fewer than 50 employees that does not offer group health insurance coverage to establish a health reimbursement arrangement. NSBA supports H.R. 3326 - Defend Trade Secrets Act of 2015 Creates a right of action in federal court for trade secrets violations and creates mechanisms to prevent the release of trade secret information. NSBA supports H.R. 3784 - The SEC Small Business Advocate Act of 2016 This bill would establish an Office of the Small Business Advocate within SEC to advocate on behalf of small businesses and to be a resource for small businesses. NSBA supports H.R. 4168 - Small Business Capital Formation Enhancement Act Will require the Securities and Exchange Commission (SEC) to respond to recommendations made during the annual Government-Business Forum on Small Business Capital Formation. NSBA supports H.R. 4341 - Defending Americas Small Contractors Act of 2016 Introduces a number of reforms to increase transparency and the ability of small businesses to compete in the federal marketplace. NSBA supports H.R. 4377 - American Business Competitiveness Act The bill cuts the corporate income tax to 25 percent; limits the top tax rate on non-corporate business income to 25 percent; allows businesses to deduct investment costs when they occur (full expensing); eliminates most business tax credits and many deductions; and moves to a territorial tax system like most developed nations. NSBA is monitoring H.R. 4498 - Helping Angels Lead our Startups (HALOS) Act The measure is designed to make it easier for businesses to notify potential investors of their offerings as well as provide a statutory definition for angel investor group. NSBA supports H.R. 4612 - Midnight Rule Relief Act of 2016 Would prevent agencies from proposing or finalizing regulations from the day after elections to the day of the next presidential inauguration. NSBA supports H.R. 4638 - Main Street Growth Act The legislation seeks to make small business offerings more attractive to investors by creating venture exchanges which will bring together buyers and sellers for of venture securities. NSBA supports H.R. 4783 - Commercializing on Small Business Innovation Act of 2016 Legislation would reauthorize the SBIR/STTR programs through 2022. NSBA supports H.R. 4831 - S-Corp Bill Would amend the tax code to clarify that shareholders in an S-Corp. who acquired their shares through crowdfunding would not count against the 100 shareholder cap. NSBA supports H.R. 4850 - Micro Offering Safe Harbor Act Would create an exemption from registration requirements under the Securities Act for certain small securities offerings. NSBA supports H.J. Res. 71 - Clean Power Plan - Congressional Review Act This resolution would invoke the Congressional Review Act and roll back the Clean Power Plan regulations promulgated by the EPA to cut carbon emissions. NSBA Supports H.J. Res. 72 - Clean Power Plan - Congressional Review Act This resolution would invoke the Congressional Review Act and roll back the Clean Power Plan regulations promulgated by the EPA to cut carbon emissions. NSBA supports S. 155 - the Fair Tax Act To promote freedom, fairness, and economic opportunity by repealing the income tax and other taxes, abolishing the Internal Revenue Service, and enacting a national sales tax to be administered primarily by the states. NSBA supports S. 632 - STRONG Patent Act Introduces modest patent reforms that would afford small businesses greater protections for their patents. NSBA supports S.698 - Marketplace Fairness Act of 2015 The bill would require eCommerce sellers who gross over $1million in remote (out-of-state) sales per year to collect sales tax from buyers in all 45 states (plus D.C.) that impose a sales tax. NSBA is monitoring S. 1137 - PATENT Act Reforms the patent system and introduces measures that would make it more difficult for small businesses to defend their patents. NSBA opposes S. 1140 - Federal Water Quality Protection Act The legislation would require the EPA to rewrite the waters of the U.S. rule. NSBA supports S. 1584 - Renewable Fuel Standard Repeal Act Would remove the renewable fuel standard. NSBA is monitoring S. 1607 - Independent Agency Regulatory Analysis Act of 2015 Creates a procedure whereby the president can require independent regulatory agencies to comply with the same rulemaking requirements that other agencies do. NSBA supports S. 1683 - Searching for and Cutting Regulations that are Unnecessarily Burdensome (SCRUB) Act of 2015 This bill would create a special commission to review and repeal regulatory requirements which could be removed without significant impact to the regulations overall effectiveness. NSBA supports S. 1697 - Small Business Healthcare Relief Act This bill amends the Internal Revenue Code and the Employee Retirement Income Security Act of 1974 (ERISA) to allow an employer with fewer than 50 employees that does not offer group health insurance coverage to establish a health reimbursement arrangement. NSBA supports S. 1890 - Defend Trade Secrets Act of 2015 Creates a right of action in federal court for trade secrets violations and creates mechanisms to prevent the release of trade secret information. NSBA supports S. 2006 - Regulatory Accountability Act of 2015 Amends the APA to require that regulating agencies do more thorough examinations of the costs and benefits of promulgating regulations. NSBA supports S. 2012 - Energy Policy Modernization Act of 2015 Would make a number of changes impacting the security and the reliability of the energy grid. NSBA supports S. 2582 - Midnight Rule Relief Act of 2016 Would prevent agencies from proposing or finalizing regulations from the day after elections to the day of the next presidential inauguration. NSBA supports S. 2696 - Protect Small Business Jobs Act of 2016 Would create a six month grace period for first time regulations violations by small business which do not place anyone in imminent danger. NSBA supports S. 2733 - Venue Equity and Non-Uniformity Elimination Act of 2016 This legislation will make changes to existing venue requirements in patent infringement litigation. NSBA opposes S.J. Res. 22 - WOTUS Congressional Review Act Resolution This resolution would invoke the Congressional Review Act and roll back the WOTUS rule which EPA finalized in May 2015. NSBA supports S.Con. Res. 25 This expressed the sense of Congress that no deal reached during the Paris climate change conference would have force in the U.S. unless it was approved by Congress. NSBA is monitoring.
Client expense: $37,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Centers For Medicare and Medicaid Services (CMS), Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Export-Import Bank of the United States (EXIM Bank), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Labor, Dept of (DOL), Natl Labor Relations Board (NLRB), Office of Personnel Management (OPM), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
2016 · first_quarter · Small Business
Sarbanes Oxley Section 404 (b) --PCAOB Audit Cost Increases --H.R. 4139: Fostering Innovation Act XBRL Exemption for Small Public Companies --H.R. 1965: Small Company Disclosure Simplification Act --H.R. 1675: Capital Markets Improvement Act Capital Market Enhancements --H.R. 1675: Encouraging Employee Ownership Act --H.R. 4168: Small Business Capital Formation Enhancement Act --H.R. 3784: Securities & Exchange Commission Small Business Advocate Act --H.R. 1675: Capital Markets Improvement Act --H.R. 2354: Streamlining Excessive and Costly Regulations Review Act --H.R. 4638: Main Street Growth Act Proxy Advisory Services --Impact of Policies on Small Public Companies --Proxy Advisory Firm Reform Act (Discussion Draft) Reform of SEC Regulation D --S. 978/H.R. 4498: HALOS Act Short Selling Transparency Capital Formation Investment Incentives --H.R. 2179: PARTNER Act --Reform of Capital Gains Rules --Reform of Net Operating Loss Rules --Reform of Passive Loss Rules --S. 341: Start-up Jobs and Innovation Act --S. 537: COMPETE Act
Client expense: $2,260,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Centers For Medicare and Medicaid Services (CMS), Commerce, Dept of (DOC), Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Medicare Payment Advisory Commission (MedPAC), Natl Institutes of Health (NIH), Office of Science & Technology Policy (OSTP), Patent & Trademark Office (PTO), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)
2016 · first_quarter · Financial Institutions/Investments/Securities
H.R. 766, the Financial Institution Customer Protection Act of 2015 H.R. 1675, the Encouraging Employee Ownership Act of 2015 S. 1841, "Taxpayer Protection and Responsible Resolution Act" Whistleblower Augmented Reward and Nonretaliation (WARN) Act of 2016 H.R. 2896, Taking Account of Institutions with Low Operation Risk Act of 2015 H.R. 3798, the Due Process Restoration Act of 2015 H.R. 4166, the Expanding Proven Financing for American Employers Act H.R. 4139, the Fostering Innovation Act H.R. 4498 , the HALOS Act H.R. 4620, the Preserving Access to CRE Capital Act H.R. 4638, the Main Street Growth Act H.R. 4096, the Investor Clarity and Bank Parity Act The Brokaw Act H.R. 4018, "Consumer Protection and Choice Act" Department of Education Complaint System Corinthian College Student Loan Relief CFTC Funding CFPB Auto Lending Reform Wage Garnishment Payday Lending Reform DoL Fiduciary Rule CFPB Oversight
Client expense: $304,446 · Firm income: Not reported
Government targets: Bureau of the Census, Consumer Financial Protection Bureau (CFPB), Education, Dept of, Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Housing Finance Agency (FHFA), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Office of Management & Budget (OMB), SENATE, Transportation, Dept of (DOT), Treasury, Dept of
2016 · first_quarter · Small Business
H.R. 37 Promoting Job Creation and Reducing Small Business Burdens Act (Support) H.R. 1023 - Small Business Investment Company Capital Act (Support) S. 552 - Small Business Investment Company Capital Act (Support) H.R. 432 - SBIC Advisers Relief Act (Support) S. 1686 - Carried Interest Fairness Act (Oppose) H.R. 2889 - Carried Interest Fairness Act (Oppose) Pro Small business investment tax incentives (support) Business Development Company (BDC) modernization provisions (support) H.R. 2115 To make permanent rules related to investment by nonresident aliens in business development companies (support) H.R. 686 Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act (Support) Financial Services Appropriations bills covering SBA and SEC H.R. 3868 - The Small Business Credit Availability Act H.R. 3784 - The SEC Small Business Advocate Act H.R. 22 - FAST Act, pro SBIC Advisers Relief Act H.R. 2029 - the Protecting Americans from Tax Hikes Act - pro small business tax provisions H.R. 4498, the Helping Our Angels Lead Our Startups Act (HALOS) H.R. 3868 The Small business Credit Availability Act H.R. 3784 Small business Advocate Act Issues dealing with capital gains exclusion for investments in qualified small businesses Issues dealing with increasing investments by banks in Small Business Investment Companies Issues dealing with data, information technology at SBA for SBICs, modernizing regulations for Business Development Companies
Client expense: $110,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of
2016 · first_quarter · Banking
H.R. 2896 - Taking Account of Institutions with Low Operation Risk Act of 2015 H.R. 3789 - Due Process Restoration Act H.R. 4139 - Fostering Innovation Act H.R. 4166 - Expanding Proven Financing for American Employers Act H.R. 4498 - Helping Angels Lead Our Startups Act H.R. 4620 - Preserving Access to CRE Capital Act H.R. 4638 - Main Street Growth Act
Client expense: $5,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES
2016 · first_quarter · Small Business
Access to Capital and Capital Formation: H.R. 4168, Small Business Access to Capital Enhancement Act: Supported House passage, voiced support for legislation in Senate. H.R. 1675, Capital Markets Improvements Act: Supported House passage. H.R. 4498, Helping Angels Lead Our Startups Act (HALOS Act): Advocated for and supported committee passage on legislation. H.R. 4638, Main Street Growth Act: Advocated for and supported committee passage. Tax Reform and Relief: Tax Reform: Advocated for broad-based tax reform focused on lowering rates for small business/individual and corporate taxpayers, full expensing, closing loopholes, and simplifying the tax system. Death Tax Repeal: Advocated for the Senate to act on House-passed repeal legislation (H.R. 1105). Trade and Trans-Pacific Partnership Agreement: Trade Facilitation and Enforcement Act of 2015 Conference Report (H.R. 644): Supported Senate passage of the legislation, which included the Internet Tax Freedom Forever Act. Trans-Pacific Partnership (TPP) Agreement: Educated members of Congress and policymakers about TPPs content, specifically its small business provisions and responded to general myths about the agreement. Regulation and Regulatory Reform: Regulatory Reform: Continued to support action for broad-based regulatory reform and activity related to advancing such, including the formation of the Senate Regulations Caucus, support for the National Regulatory Budget Act of 2014, the Regulations from the Executive in Need of Scrutiny (REINS Act), a Regulatory Cost Budget and legislation as detailed below: Regulatory Improvement Act of 2015 (H.R. 1407, S. 708): Support this bill to develop a commission to identify outdated and duplicative regulations. Independent Agency Regulatory Analysis Act (S. 1607): Support this bill to require agencies to publish cost-benefit analysis, private sector impact of rules and more information on regulations they intend to publish. H.R. 712, Sunshine and Regulatory Decrees and Settlement Act: Supported House passage. H.R. 2017, Common Sense Nutrition Disclosure Act: Supported House passage. H.R. 4612, S.2582, Midnight Rule Relief Act: Voiced support for legislation and committee passage in the House. H.R. 4596, Small Business Broadband Deployment Act: Supported House passage. Resolution of Disapproval on EPA's Waters Rule: Supported House passage. H.R. 1155: Searching for and Cutting Regulations that are Unnecessarily Burdensome Act (SCRUB Act): Supported House passage. Specific Regulations and Comments Renewable Fuel Standard (RFS): Advocated for keeping the standard as is, rather than increasing due to the economic and environmental damage caused by the ethanol mandate. Also support RFS repeal. EPAs New Ozone Standard: Voiced concern about the new standard, and continue to educate the public and policymakers about its impact on small businesses, local economies, workers and various sectors, especially as it relates to implementation and the complexity of "background ozone." Submitted Comments to EPA on "background ozone" DOLs Proposed Fiduciary Regulation: Continue to educate Congress about the harm the proposed rule would have for small businesses trying to provide retirement accounts for their employees. Met with OMB to discuss concerns about final DOL proposal. DOLs Proposed Overtime Regulations: Continue to educate Congress about the harm the proposed rule would have for the workplace, employees and small businesses. Joint Employer Standard: Continued to support legislation (H.R. 3459 and S. 2015) that would modify the NLRBs decision on the standard, which disproportionately harms small businesses and franchises. Legal Reform: H.R. 1927, Fairness in Class Action Litigation Act: Supported House passage. Healthcare Reform: Small Business Healthcare Relief Act (H.R. 2911, S.1698): Continue to support House and Senate passage of this bill to fix Health Reimbursement Account contributions that have been made illegal in the Affordable Care Act. S.2499 and H.R. 4469, Health Savings Act of 2016: Voiced support for the bills in House and Senate. Government Procurement: H.R. 1671, Voiced support for Government Neutrality in Contracting Act Government Accountability and Reform: H.R. 598, Taxpayers Right-to-Know Act: Supported House passage. H.R. 653, FOIA Oversight and Implementation Act: Supported House passage. S.2232, Federal Reserve Transparency Act: Voiced support for legislation. H.R. 3442, Debt Management and Fiscal Responsibility Act: Supported House passage. Affordable Energy and Reform: Energy Policy Modernization Act: Voiced support of the bill in U.S. Senate. H.R. 3797, Satisfying Energy Needs and Saving the Environment Act (SENSE Act): Supported House passage. DOE Comments on LNG: Supported the department's findings on the economic impact of liquified natural gas (LNG) exports. Oil Tax in President's Budget: Expressed concerns about the $10 per barrel proposed tax. Intellectual Property: S.1890 Defend Trade Secrets Act: Voiced support for legislation and Senate passage. H.R. 1283, Songwriters Equity Act: Voiced support for the legislation.
Client expense: $80,000 · Firm income: Not reported
Government targets: Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Small Business Administration (SBA), White House Office
2016 · first_quarter · Financial Institutions/Investments/Securities
H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act H.R. 414, Burdensome Data Collection Relief Act H.R. 432/S. 1978, SBIC Advisers Relief Act of 2015 H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 686/S. 1010, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015 H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 957/S. 510, Bureau of Consumer Financial Protection-Inspector General Reform (CFPB-IG) Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1210, Portfolio Lending and Mortgage Access Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1266, Financial Product Safety Commission Act of 2015 H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 1317, To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes H.R. 1334, Holding Company Registration Threshold Equalization Act of 2015 H.R. 1525, Disclosure Modernization and Simplification Act of 2015 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 1553, Small Bank Exam Cycle Reform Act of 2015 H.R. 1659, Improving Access to Capital for Emerging Growth Companies Act H.R. 1675, Capital Markets Improvement Act of 2016 H.R. 1723, Small Company Simple Registration Act of 2015 H.R. 1737, Reforming CFPB Indirect Auto Financing Guidance Act H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act of 2015 H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2015 H.R. 1941, Financial Institutions Examination Fairness and Reform Act H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act H.R. 2187, Fair Investment Opportunities for Professional Experts Act H.R. 2287 /S. 924, National Credit Union Administration Budget Transparency Act H.R. 2289, Commodity End User Relief Act H.R. 2354, Streamlining Excessive and Costly Regulations Review Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2769, Risk-Based Capital Study Act of 2015 H.R. 2789, Capital Access for Small Business Banks Act H.R. 3192, Homebuyers Assistance Act H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3857, To require the Board of Governors of the Federal Reserve System and the Financial Stability Oversight Council to carry out certain requirements under the Financial Stability Act of 2010 before making any new determination under section 113 of such Act, and for other purposes H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 S. 576, Encouraging Employee Ownership Act S. 876, A bill to amend the Commodity Exchange Act to specify how clearing requirements apply to certain affiliate transactions S. 1484, Financial Regulatory Improvement Act of 2015 S. 1963, Bureau of Consumer Financial Protection Advisory Board Enhancement Act S. 2232, Federal Reserve Transparency Act of 2015 Draft legislation on conflict minerals disclosures Various issues relating to the implementation of the Dodd- Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); Basel III capital standards; Trust Indenture Act (P.L. 76-253); oversight of proxy advisory firms; political spending disclosures; Department of Labor definition of fiduciary duty rules; conflict of interest rule, retirement investment advice; international capital standards for non-banks and insurance companies; systemic risk regulations for non-bank financial companies; Consumer Financial Protection Bureau arbitration study; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau auto financing standard; Consumer Financial Protection Bureau no action letters; Federal Reserve reform; universal ballot; proxy voting system; impact of international regulatory standards on the competitiveness of U.S. insurers; case law arising under Section 316 of the Trust Indenture Act of 1939 (P.L. 76-253)
Client expense: $15,750,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Bureau of Industry and Security (BIS), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Bureau of Investigation (FBI), Federal Communications Commission (FCC), Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Fish & Wildlife Service (USFWS), U.S. Geological Survey (USGS), U.S. Trade Representative (USTR), White House Office
2016 · first_quarter · Financial Institutions/Investments/Securities
H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 1675 - Capital Markets Improvement Act of 2016 (Hultgren) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 3610 - Puerto Rico Investor Protection Act of 2015 (Velazquez) H.R. 4248 - FSOC Designation Review Act (Westmoreland) H.R. 4498 - Helping Angels Lead our Startups Act (Chabot) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act (Toomey) S. 2497 - Retail Investor Protection Act of 2016 (Blunt) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board CFTC Rule 4.5 Exchange-Traded Funds Proxy Advisory Services SEC Proposed Rule on Website Delivery of Fund Shareholder Reports SEC Proposed Rule on use of Derivatives by Registered Funds SEC Proposed Rule on Liquidity Risk Management National Market System Plans
Client expense: $1,230,417 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
2016 · first_quarter · Financial Institutions/Investments/Securities
Capital formation and capital markets; implementation of the Jobs Act; market structure; XBRL reform; tick size legislation; Sarbanes-Oxley Act, Section 404(b); short selling transparency; H.R. 1675: Encouraging Employee Ownership Act; H.R. 4168: Small Business Capital Formation Enhancement Act; H.R. 3784: Securities & Exchange Commission Small Business Act; H.R. 2354: Streamlining Excessive and Costly Regulations Review Act; H.R. 4638: Main Street Growth Act; H.R. 1675 Capital Markets Improvements Act; H.R. 4498: HALOS Act; H.R. 4139:Fostering Innovation Act; H.R. 2179: PARTNER Act.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · first_quarter · Banking
HR 2896-Tailor Act of 2015, HR 3798-Due Process Restoration Act of 2015, HR 4096-Investor clarity & bank Parity Act, HR 4166-Expanding Proven financing for American Employers Act, HR 686-Small Business Mergers, Acquisitions, Sales & Brokerage independent Act of 2015, HR 1675-Capital Markets Improvement Act of 2016, HR 1965-Small company disclosure simplification act, HR 4139-Fostering innovation act of 2015, Position limits, Dodd-Frank Section 956, SEC Political Disclosure rule, Budget and SEC rulemaking discussion, Dodd-Frank implementation, HR 2356-Fair Access to Investment research act of 2015, HR 2354-Streamlining Excessive & costly regulations review act, HR 4498-HALOS Act, HR 4638-Main Street Growth Act.
Client expense: $60,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Product Safety Commission (CPSC), Education, Dept of, Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of