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Fair Access to Investment Research Act of 2016
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
57pct
18d open
vs 6,526 other HR bills in the 114th — cohort avg 56d
(This measure has not been amended since it was introduced. The summary has been expanded because action occurred on the measure.) Fair Access to Investment Research Act of 2016 (Sec. 2) This bill directs the Securities and Exchange Commission (SEC) to revise a specified regulation to create a safe harbor for certain publications or distributions of research reports by brokers or dealers distributing securities. The revised regulation shall declare that a published or distributed investment fund research report shall not be deemed to constitute an offer for sale or an offer to sell a security that is the subject of the offering pursuant to an effective registration statement, even if the broker or dealer is participating or will participate in the registered offering of the covered investment fund's securities. The covered investment fund research report shall indeed be deemed to satisfy the regulation's requirements as well as those of any self-regulatory organization. The SEC shall not impose specified conditions and requirements when implementing the safe harbor. Until the SEC has adopted such safe harbor revisions, and the Financial Industry Regulatory Authority (FINRA) has revised a related rule, a covered investment fund shall be deemed to be a security listed on a national securities exchange that is not subject to a certain filing requirement of the Investment Company Act of 1940.
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 (5)
2016 · fourth_quarter · Financial Institutions/Investments/Securities
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 motion to suspend the rules and pass the bill Agreed to by the Yeas and Nays: (2/3 required): 411 - 6 (Roll no. 175). (text: CR 4/26/2016 H1950)
HousePassed/agreed to in House: On motion to suspend the rules and pass the bill Agreed to by the Yeas and Nays: (2/3 required): 411 - 6 (Roll no. 175).(text: CR 4/26/2016 H1950)
HouseConsidered as unfinished business. (consideration: CR H2081)
At the conclusion of debate, the Yeas and Nays were demanded and ordered. Pursuant to the provisions of clause 8, rule XX, the Chair announced that further proceedings on the motion would be postponed.
DEBATE - The House proceeded with forty minutes of debate on H.R. 5019.
Considered under suspension of the rules. (consideration: CR H1950-1952)
Mr. Garrett moved to suspend the rules and pass the bill.
Bills with similar content found using semantic analysis.
Sources: Congress.gov
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); 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. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); H.R. 5019 (Fair Access to Investment Research Act of 2016); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); H.R. 5592 (Derivatives Oversight and Taxpayer Protection Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); S. 3092 (Fair Access to Investment Research Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Financial CHOICE Act.
Client expense: $2,560,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
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
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 · Financial Institutions/Investments/Securities
HR 5019, S 3092, Fair Access to Investment Research Act of 2016, issues related to research on exchange-traded funds; HR 4166, Expanding Proven Financing for American Employers Act, issues related to risk retention; HR 1841, Restoring Proven Financing for American Employers Act, issues related to risk retention; HR 4620, Preserving access to CRE Capital Act of 2016, issues related to risk retention; General issues related to MiDF and Dealer research.
Client expense: $980,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · fourth_quarter · Banking
H.R.5019, Fair Access to Investment Research Act of 2016 (All sections of full text) S.3092, Fair Access to Investment Research Act of 2016 (All sections of full text) Monitored H.R.5465, To repeal section 1075 of the Consumer Financial Protection Act of 2010 relating to rules for payment card transactions, and for other purposes.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · third_quarter · Financial Institutions/Investments/Securities
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); H.R. 5019 (Fair Access to Investment Research Act of 2016); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); H.R. 5592 (Derivatives Oversight and Taxpayer Protection Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); S. 3092 (Fair Access to Investment Research Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal securities disclosure regulation; Financial CHOICE Act.
Client expense: $1,620,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
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
2016 · third_quarter · Financial Institutions/Investments/Securities
HR 5170, Social Impact Partnerships to Pay for Results Act, issues related to social impact bonds; HR 5485, Financial Services and General Government Appropriations Act, 2017, issues related to bankruptcy; S 1840, S 1841, Taxpayer Protection and Responsible Resolution Act, issues related to bankruptcy; HR 5019, S 3092, Fair Access to Investment Research Act, issues related to research on exchange-traded funds.
Client expense: $480,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, 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
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
2016 · second_quarter · Financial Institutions/Investments/Securities
HR 5019, S 3092, Fair Access to Investment Research Act, issues related to research on exchange-traded funds; General issues related to European uncleared margins.
Client expense: $380,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
Referred to the House Committee on Financial Services.
Introduced in House
Congress.gov source codes: 1000, Intro-H
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
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
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office