Loading…
Investment Advisers Modernization Act of 2016
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
81pct
95d open
vs 6,526 other HR bills in the 114th — cohort avg 56d
Investment Advisers Modernization Act of 2016 This bill directs the Securities and Exchange Commission (SEC) to amend specified regulations for investment advisers as they apply to private equity firms and private investment funds. (Sec. 2) The bill revises the disclaimer that, in the case of an investment adviser that is a partnership, an assignment shall not be deemed to result from the death, withdrawal, sale or transfer of minority interests to apply the disclaimer also to minority members, shareholders, for other equity owners of the investment adviser. Qualified clients of an investment adviser may consent to an assignment of the investment adviser contract at the time they enter into an advisory contract. The Investment Advisers Act of 1940 is amended to repeal the requirement that advisers organized as partnerships notify the other party to an investment adviser contract every time there is a change in the composition of the partnership. The SEC shall waive the application of specified antifraud prohibitions to advisers who advertise exclusively to: qualified clients, determined as of the time of the publication, circulation, or distribution of the advertisement rather than immediately before or after entering into the investment advisory contract; knowledgeable employees of any private fund to which the investment adviser acts as an investment adviser; qualified purchasers; or accredited investors (determined as if the investment adviser were the securities issuer and the time of the publication, circulation, or distribution of the advertisement were the sale of such securities). (Sec. 3) The SEC must amend a certain regulation regarding Form PF which registered investment advisers with at least $150 million in private funds assets under management must file with the SEC to report information about the private funds that they manage. This amendment shall state that an investment adviser to a private fund is not required to report any information beyond that which is required by sections 1a and 1b of Form PF unless it is a large hedge fund adviser or a large liquidity fund adviser. The SEC shall also amend the regulation requiring that client funds and securities of which an investment adviser has custody are verified by actual examination periodically by an independent public accountant. The SEC shall amend the proxy voting regulation to waive its application to any voting authority exercised by an investment adviser regarding client securities that are not public securities. (Sec. 4) On the other hand, the SEC may not: amend a specified regulation to extend its requirements and prohibitions concerning investment company sales literature to offerings of securities issued by private funds, or adopt substantially similar rules applicable to such offerings. (Sec. 5) This bill shall not apply to advisory services supplied to an investment company registered under the Investment Company Act of 1940. (Sec. 6) Any regulation referred to in this bill includes any successor regulation.
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 (14)
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: 261 - 145 (Roll no. 495).
HousePassed/agreed to in House: On passage Passed by the Yeas and Nays: 261 - 145 (Roll no. 495).
HouseOn motion to recommit with instructions Failed by the Yeas and Nays: 176 - 232 (Roll no. 494).
HouseConsidered as unfinished business. (consideration: CR H5244-5246)
POSTPONED PROCEEDINGS - At the conclusion of debate on the Torres motion to recommit, the Chair put the question on adoption of the motion and by voice vote, announced the noes had prevailed. Mrs. Torres demanded the yeas and nays and the Chair postponed further proceedings on the motion to recommit until later in the legislative day.
The previous question on the motion to recommit with instructions was ordered without objection. (consideration: CR H5244)
Bills with similar content found using semantic analysis.
Sources: Congress.gov
2017 · first_quarter · Financial Institutions/Investments/Securities
HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015 Commodity End User Relief Act S. 2663, the so-called Reforming CFPB Indirect Auto Financing Guidance Act. Investment Advisors Modernization Act of 2016 the SEC Regulatory Accountability Act. H.R. 4850, the Micro Offering Improvement Act H.R. 4852, the Private Placement Improvement Act H.R. 4854, the Supporting Americas Innovators Act H.R. 4855, the Fix Crowdfunding Act H.R. 5311, the Corporate Governance Reform and Transparency Act H.R. 5421, the National Securities Exchange Regulatory Parity Act H.R. 5424, the Investment Advisers Modernization Act H.R. 5429, the SEC Regulatory Accountability Act HJ Res 88 The Financial CHOICE Act HR 2889 Carried Interest Fairness Act HR 2103 -Stop Subsidizing Multimillion Dollar Corporate Bonuses Act HR 4737 - State and Tribal Government Sovereignty Protection Act of 2016 Non-profit depository institutions HR 5745 Putting Main Street FIRST Act Bank worker issues Postal Banking The Poverty, Opportunity, and Upward Mobility plan Payday Lending Reform CFPB Arbitration Rule/Forced Arbitration Private Equity tax loophole CFPB Defense DoL Fiduciary Rule Title II of the Dodd-Frank Act OCC Chartering of Fintechs H.R. 6392 H.R. 5491 and H.R. 5413 (the CFPB Data Accountability Act) H.R. 5424 H.R. 5063 CFPB status as independent agency Removal protections for CFPB director H.R. 4172 - Credit Access and Inclusion Act PACE Loans Wells Fargo arbitration HR 5982 - Midnight Rules Relief Act S. 838, Protecting Americans from Credit Entanglements Act of 2017 Policies relating to alternative credit data collection and scoring Nomination of Jay Clayton to SEC Nomination of Steve Mnuchin to Treasury Secretary Nomination of Dr. Ben Carson as Secretary of Dept. of Housing and Urban Development Nomination of Alex Acosta as Secretary of Labor HJ Res 73 HJ Res 62 Sen. Res 19 College for All Act Putting Main St FIRST Act
Client expense: $293,446 · Firm income: Not reported
Government targets: Bureau of the Census, Commerce, Dept of (DOC), 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), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Justice, Dept of (DOJ), Labor, Dept of (DOL), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Transportation, Dept of (DOT), Treasury, Dept of
2017 · second_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of financial services; H.R. 5424, The Investment Advisers Modernization Act and issues impacting middle-market private equity.
Client expense: $80,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2017 · second_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of The Investment Adviser Act of 1940.
Client expense: $80,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2017 · first_quarter · Financial Institutions/Investments/Securities
HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015 Commodity End User Relief Act S. 2663, the so-called Reforming CFPB Indirect Auto Financing Guidance Act. Investment Advisors Modernization Act of 2016 the SEC Regulatory Accountability Act. H.R. 4850, the Micro Offering Improvement Act H.R. 4852, the Private Placement Improvement Act H.R. 4854, the Supporting Americas Innovators Act H.R. 4855, the Fix Crowdfunding Act H.R. 5311, the Corporate Governance Reform and Transparency Act H.R. 5421, the National Securities Exchange Regulatory Parity Act H.R. 5424, the Investment Advisers Modernization Act H.R. 5429, the SEC Regulatory Accountability Act HJ Res 88 The Financial CHOICE Act HR 2889 Carried Interest Fairness Act HR 2103 -Stop Subsidizing Multimillion Dollar Corporate Bonuses Act HR 4737 - State and Tribal Government Sovereignty Protection Act of 2016 Non-profit depository institutions HR 5745 Putting Main Street FIRST Act Bank worker issues Postal Banking The Poverty, Opportunity, and Upward Mobility plan Payday Lending Reform CFPB Arbitration Rule/Forced Arbitration Private Equity tax loophole CFPB Defense DoL Fiduciary Rule Title II of the Dodd-Frank Act OCC Chartering of Fintechs H.R. 6392 H.R. 5491 and H.R. 5413 (the CFPB Data Accountability Act) H.R. 5424 H.R. 5063 CFPB status as independent agency Removal protections for CFPB director H.R. 4172 - Credit Access and Inclusion Act PACE Loans Wells Fargo arbitration HR 5982 - Midnight Rules Relief Act S. 838, Protecting Americans from Credit Entanglements Act of 2017 Policies relating to alternative credit data collection and scoring Nomination of Jay Clayton to SEC Nomination of Steve Mnuchin to Treasury Secretary Nomination of Dr. Ben Carson as Secretary of Dept. of Housing and Urban Development Nomination of Alex Acosta as Secretary of Labor HJ Res 73 HJ Res 62 Sen. Res 19 College for All Act Putting Main St FIRST Act
2017 · first_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424 - 114th Congress) and related proposals, all provisions; Dodd-Frank Act, regulations affecting private equity; Regulations affecting private equity firms in the United States and abroad; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Aggregation relief at the Commodity Futures Trading Commission; Financial CHOICE Act of 2016 (H.R. 5983 - 114th Congress) and related proposals, all provisions regarding private equity.
Client expense: $370,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
DEBATE - The House proceeded with 10 minutes of debate on the Torres motion to recommit with instructions pending a reservation of a point of order. The instructions contained in the motion seek to require the bill to be reported back to the House with an amendment to add at the end of the bill a section pertaining to Report on Emergency Vehicle Response Times of Companies Owned by Private Funds. Subsequently, the reservation was removed.
Mrs. Torres moved to recommit with instructions to the Committee on Financial Services. (consideration: CR H5238-5239, H5244-5245; text: CR H5238-5239)
DEBATE - Pursuant to the provisions of H.Res. 844, the House proceeded with 10 minutes of debate on the Foster amendment.
DEBATE - The House proceeded with one hour of debate on H.R. 5424.
Rule provides for consideration of H.R. 2357 and H.R. 5424.
Considered under the provisions of rule H. Res. 844. (consideration: CR H5230-5239; text of measure as reported in House: CR H5230-5231)
ORDER OF PROCEDURE - Mr. Hurt asked unanimous consent that the question of adopting a motion to recommit on H.R. 5424 may be subject to postponement as though under clause 8 of rule 20.
Rule H. Res. 844 passed House.
Rules Committee Resolution H. Res. 844 Reported to House. Rule provides for consideration of H.R. 2357 and H.R. 5424.
Placed on the Union Calendar, Calendar No. 540.
Reported (Amended) by the Committee on Financial Services. H. Rept. 114-698.
Congress.gov source codes: 5000, H12200
Ordered to be Reported (Amended) by the Yeas and Nays: 47 - 12.
Committee Consideration and Mark-up Session Held.
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 |
| June 9, 2016 |
| June 9, 2016 |
| Republican |
| IL |
| Steve Stivers | Republican | OH |
Client expense: $293,446 · Firm income: Not reported
Government targets: Bureau of the Census, Commerce, Dept of (DOC), 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), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Justice, Dept of (DOJ), Labor, Dept of (DOL), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Transportation, Dept of (DOT), Treasury, Dept of
2017 · first_quarter · Banking
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act of 2016 (H.R. 5424 - 114th Congress) and related proposals, all provisions; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Aggregation relief at the Commodity Futures Trading Commission; Financial CHOICE Act of 2016 (H.R. 5983 - 114th Congress) and related proposals, all provisions regarding private equity.
Client expense: $370,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2017 · first_quarter · Financial Institutions/Investments/Securities
H.R. 5983 The Financial CHOICE Act of 2016 H.R. 5424 Investment Advisers Modernization Act of 2016
Client expense: Not reported · Firm income: $24,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2017 · first_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of The Investment Adviser Act of 1940.
Client expense: $80,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2017 · first_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of financial services; H.R. 5424, The Investment Advisers Modernization Act and issues impacting middle-market private equity.
Client expense: $80,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of financial services;H.R. 5424, the Investment Advisers Modernization Act and issues impacting middle-market private equity
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · fourth_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of the investment adviser act of 1940.
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · fourth_quarter · Consumer Issues/Safety/Products
All legislation, including budget views, appropriations bills and riders, concerning authority of CFTC or SEC to enforce or write regulations under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including HR4768, the Separation of Powers Restoration Act; HR4612 and sections of HR4361 concerning the Midnight Rules Relief Act; S2355, the Credit Access and Inclusion Act; HR5424, the Investment Advisors Modernization Act; HR5226, the Regulatory Integrity Act; HR3468, The Review Act; HR5063, the Stop Settlement Funds Act and any similar riders proposed to Appropriations Bills such as HR5485/SB3067, Financial Services and General Government Appropriations Acts for 2017. File comments to CFPB on Docket 2016-0020 on forced arbitration.
Client expense: $20,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Education, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)
2016 · fourth_quarter · Banking
CFPB (The Bureau of Consumer Financial Protection is an arm of Federal Reserve System) all its regulations, activities and practices including payday lending, forced arbitration, credit reporting, debt collection, consumer complaint handling, enforcement, consumer education; Legislation; HR 2896, Taking Account of Institutions with Low Operation Risk Act of 2015; H.R. 766, the Financial Institution Customer Protection Act of 2015; All legislation concerning budget views or appropriations, including concerning riders on independent funding, structure and authority of CFPB (Financial Services and General Government Appropriations (HR5485/S2663); riders on transportation safety and airline fee disclosure. All legislation concerning amendments to Dodd-Frank Wall Street Reform and Consumer Protection Act, including authority of agencies to enforce laws to protect consumers, taxpayers. H.R.4781 - FDIC Accountability Act of 2016; HR 1265, Bureau Advisory Commission Transparency Act; HR 1263, Consumer Financial Protection Safety and Soundness Improvement Act of 2015; HR 1262, Consumer Right to Financial Privacy Act of 2015; HR 1264, CFPB Pay Fairness Act of 2015; HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015; HR 1413/S477, Firearms Manufacturers and Dealers Protection Act of 2015 (FDIC Operation Choke Point); H.R. 766 and S2790, the Financial Institution Customer Protection Act of 2015. HR 5510, to weaken FTC; HR 4768 Separation of Powers Restoration Act; other riders and amendments to weaken independent agency authority to enact regulations. HR4172 Full file credit reporting; HR5282 Fair Credit Reporting Act amendments. Department of Education Gainful Employment rule. including HR4768, the Separation of Powers Restoration Act; HR4612 and sections of HR4361 concerning the Midnight Rules Relief Act; S2355, the Credit Access and Inclusion Act; HR5424, the Investment Advisors Modernization Act; HR5226, the Regulatory Integrity Act; HR3468, The Review Act; HR5063, the Stop Settlement Funds Act and any similar riders proposed to Appropriations Bills such as HR5485/SB3067, Financial Services and General Government Appropriations Acts for 2017. File comments to CFPB on Docket 2016-0020 on forced arbitration; file comment to CFPB on announcement of Debt Collection rulemaking SBREFA process; meet with CFPB on consumer complaint database, payday lending and other matters. File comment to financial and bank regulators on status of completion of rulemaking on Dodd-Frank Section 956, Executive Compensation.
Client expense: $20,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Education, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)
2016 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 5311, Corporate Governance Reform and Transparency Act; 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: issues related to investment, including implementation of P.L. 111-203, The Dodd-Frank Wall Street Reform and Consumer Protection Act, corporate governance matters, corporate board diversity, and appropriations. H.R. 4718, Gender Diversity in Corporate Leadership Act, entire bill. H.R. 5983, Financial Choice Act, entire bill.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
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
H.R. 5424, Investment Advisers Modernization Act of 2015
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · fourth_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of the investment adviser act of 1940.
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of financial services;H.R. 5424, the Investment Advisers Modernization Act and issues impacting middle-market private equity
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · fourth_quarter · Financial Institutions/Investments/Securities
HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015 Commodity End User Relief Act HR 3340 HR 2289, The Commodity End User Relief Act S. 2790, the Financial Institution Customer Protection Act of 2016 S. 2663, the so-called Reforming CFPB Indirect Auto Financing Guidance Act. Investment Advisors Modernization Act of 2016 the SEC Regulatory Accountability Act. HR 5112, Unfair or Deceptive Acts or Practices Uniformity Act HR 4139, the Fostering Innovation Act H.R. 4850, the Micro Offering Improvement Act H.R. 4852, the Private Placement Improvement Act H.R. 4854, the Supporting Americas Innovators Act H.R. 4855, the Fix Crowdfunding Act H.R. 5311, the Corporate Governance Reform and Transparency Act H.R. 5421, the National Securities Exchange Regulatory Parity Act H.R. 5424, the Investment Advisers Modernization Act H.R. 5429, the SEC Regulatory Accountability Act HJ Res 88 HR 5485, The Financial Services and General Government Appropriations Act of 2017 The Financial CHOICE Act H.R. 5211 - CFPB Dual Mandate and Economic Analysis Act HR 2889 Carried Interest Fairness Act HR 2103 -Stop Subsidizing Multimillion Dollar Corporate Bonuses Act HR 4018 - Consumer Protection and Choice Act HR 4737 - State and Tribal Government Sovereignty Protection Act of 2016 S. 1686 Carried Interest Fairness Act Non-profit depository institutions HR 5745 Putting Main Street FIRST Act CEO Bonus Loophole Bank worker issues Postal Banking The Poverty, Opportunity, and Upward Mobility plan Financial Policy Riders Payday Lending Reform CFPB Arbitration Rule/Forced Arbitration Private Equity tax loophole CFPB Defense DoL Fiduciary Rule Title II of the Dodd-Frank Act OCC Chartering of Fintechs H.R. 6392 H.R. 5491 and H.R. 5413 (the CFPB Data Accountability Act) H.R. 5424 H.R. 5063 CFPB status as independent agency Removal protections for CFPB director H.R. 4172 - Credit Access and Inclusion Act PACE Loans Wells Fargo arbitration HR 5982 - Midnight Rules Relief Act
Client expense: $335,275 · 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 · 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 · Banking
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission; Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $370,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Dodd-Frank Act, regulations affecting private equity; Regulations affecting private equity firms in the United States and abroad; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission; Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $370,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 5983 The Financial CHOICE Act of 2016 H.R. 5424. Investment Advisers Modernization Act of 2016
Client expense: Not reported · Firm income: $24,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · fourth_quarter · Financial Institutions/Investments/Securities
Investment Adviser Act of 1940 financial services legislation H.R. 5424
Client expense: $55,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Banking
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission; Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $220,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · third_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Dodd-Frank Act, regulations affecting private equity; Regulations affecting private equity firms in the United States and abroad; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission, Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $220,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · third_quarter · Financial Institutions/Investments/Securities
H.R. 5424, Investment Advisers Modernization Act of 2016, Amend regulations for investment advisers as they apply to private equity funds and private investment funds
Client expense: $160,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
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
H.R. 5311, Corporate Governance Reform and Transparency Act; 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: issues related to investment, including implementation of P.L. 111-203, The Dodd-Frank Wall Street Reform and Consumer Protection Act, corporate governance matters, corporate board diversity, and appropriations. H.R. 4718, Gender Diversity in Corporate Leadership Act, entire bill. H.R. 5983, Financial Choice Act, entire bill.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Financial Institutions/Investments/Securities
H.R. 5983 The Financial CHOICE Act of 2016 H.R. 5424. Investment Advisers Modernization Act of 2016
Client expense: Not reported · Firm income: $24,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
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
Investment Adviser Act of 1940 financial services legislation H.R. 5424
Client expense: $55,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Consumer Issues/Safety/Products
All legislation, including budget views, appropriations bills and riders, concerning authority of CFTC or SEC to enforce or write regulations under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including HR4768, the Separation of Powers Restoration Act; HR4612 and sections of HR4361 concerning the Midnight Rules Relief Act; S2355, the Credit Access and Inclusion Act; HR5424, the Investment Advisors Modernization Act; HR5226, the Regulatory Integrity Act; HR3468, The Review Act; HR5063, the Stop Settlement Funds Act and any similar riders proposed to Appropriations Bills such as HR5485/SB3067, Financial Services and General Government Appropriations Acts for 2017. File comments to CFPB on Docket 2016-0020 on forced arbitration; file comment to CFPB on announcement of Debt Collection rulemaking SBREFA process; meet with CFPB on consumer complaint database, payday lending and other matters. File comment to financial and bank regulators on status of completion of rulemaking on Dodd-Frank Section 956, Executive Compensation.
Client expense: $10,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Education, Dept of, Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)
2016 · third_quarter · Banking
CFPB (The Bureau of Consumer Financial Protection is an arm of Federal Reserve System) all its regulations, activities and practices including payday lending, forced arbitration, credit reporting, debt collection, consumer complaint handling, enforcement, consumer education; Legislation; H.R. 650, the Preserving Access to Manufactured Housing Act; HR 2896, Taking Account of Institutions with Low Operation Risk Act of 2015; H.R. 766, the Financial Institution Customer Protection Act of 2015; All legislation concerning budget views or appropriations, including concerning riders on independent funding, structure and authority of CFPB (Financial Services and General Government Appropriations (HR5485/S2663); riders on transportation safety and airline fee disclosure. All legislation concerning amendments to Dodd-Frank Wall Street Reform and Consumer Protection Act, including authority of agencies to enforce laws to protect consumers, taxpayers. Department of Education rules on student loan borrowers; H.R.4781 - FDIC Accountability Act of 2016; HR 1265, Bureau Advisory Commission Transparency Act; HR 1263, Consumer Financial Protection Safety and Soundness Improvement Act of 2015; HR 1262, Consumer Right to Financial Privacy Act of 2015; HR 1264, CFPB Pay Fairness Act of 2015; HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015; HR 1413/S477, Firearms Manufacturers and Dealers Protection Act of 2015 (FDIC Operation Choke Point); H.R. 766 and S2790, the Financial Institution Customer Protection Act of 2015. HR 5510, to weaken FTC; HR 4768 Separation of Powers Restoration Act; other riders and amendments to weaken independent agency authority to enact regulations. HR4172 Full file credit reporting; HR5282 Fair Credit Reporting Act amendments. Department of Education Gainful Employment rule. including HR4768, the Separation of Powers Restoration Act; HR4612 and sections of HR4361 concerning the Midnight Rules Relief Act; S2355, the Credit Access and Inclusion Act; HR5424, the Investment Advisors Modernization Act; HR5226, the Regulatory Integrity Act; HR3468, The Review Act; HR5063, the Stop Settlement Funds Act and any similar riders proposed to Appropriations Bills such as HR5485/SB3067, Financial Services and General Government Appropriations Acts for 2017. File comments to CFPB on Docket 2016-0020 on forced arbitration; file comment to CFPB on announcement of Debt Collection rulemaking SBREFA process; meet with CFPB on consumer complaint database, payday lending and other matters. File comment to financial and bank regulators on status of completion of rulemaking on Dodd-Frank Section 956, Executive Compensation.
Client expense: $10,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Consumer Product Safety Commission (CPSC), Education, Dept of, Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)
2016 · third_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: Fix Crowdfunding Act of 2016 (H.R. 4855): Supported House passage. Investment Advisers Modernization Act of 2016 (H.R. 5424): Supported House passage. Accelerating Access to Capital Act of 2015 (H.R. 2357): Supported House passage. 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. Specific bills include: Regulatory Relief for Small Businesses, Schools, and Nonprofits Act (H.R. 6094): Supported House passage. Overtime Reform and Review Act (S. 3464): Support. The Financial CHOICE Act: Support House bill to reform Dodd-Frank and the financial regulatory system. Require Evaluation Before Implementing Executive Wishlists Act (REVIEW Act) of 2015 (H.R. 3438 and S. 1927): Supported House passage and Senate bill. Stop Settlement Slush Funds Act of 2016 (H.R. 5063 and S. 3050): Supported House passage and Senate bill. Regulatory Integrity Act of 2016 (H.R. 5226): Supported House passage. Federal Communications Commission rules on Set-Top-Box: Oppose proposed rulemaking and pushed for changes and a more open process. Postal Service Reform Act (H.R. 5714): Expressed concern to U.S. House about this bill. Protecting Workplace Advancement and Opportunity Act: Support. Overtime Reform and Enhancement Act (H.R. 5813): Support. EPA and the Clean Air Science Advisory Committee (CASAC): Urged the EPA to add diverse and neutral members of this advisory council. ADA Education and Reform Act of 2016 (H.R. 3765): Support 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. Mobile Workforce State Income Tax and Simplification Act of 2015 (H.R. 2315 and S. 386): Supported House passage and Senate bill. Empowering Employees Through Stock Ownership Act (H.R. 5719 and S. 3152): Supported House passage and Senate bill. U.S. Treasury regulatory changes to Estate, Gift, and Generation-skipping Transfer Taxes: Restrictions on Liquidation of an Interest: Oppose regulatory changes proposed by Treasury. 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: Halt Tax Increases on the Middle Class and Seniors Act (H.R. 3950): Supported House passage. CO-OP Consumer Protection Act of 2016 (H.R. 954): Supported House passage. Small Business Health Care Relief Act (S. 3060): Continue to push for Senate passage. Privacy and Cybersecurity: Improving Small Business Cybersecurity Act (H.R. 5064): Supported House passage Improving Small Business Cybersecurity Act (S. 3024): Support Senate bill. OTHER: Expressed support for Section 806 in S. 2943, the Senate version of the 2017 NDAA. Debt Management and Fiscal Responsibility Act of 2016 (S.3182): Support. Clyde-Hirsch-Sowers RESPECT Act (H.R. 5523): Supported House Passage.
Client expense: $55,000 · Firm income: Not reported
Government targets: Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2016 · third_quarter · Banking
Dodd Frank Section 956, HR 5983-CHOICE Act, To big to jail/non prosecutions, S-1709 21st Century Glass Steagall act of 2015, HR 5424-Investment Advisors Modernization Act of 2016, HR 4852- Private Placement Improvement Act of 2016, HR 4850-Micro offering Safe Harbor Act, HR 2357-Accelerating acces to Capital Act of 2015, SEC political disclosure rule, Getting SEC rider out of the budget, Wells Fargo scandal and opposing Henserling Financial Deregulatory bill, Banning forced arbitration,
Client expense: $60,000 · Firm income: Not reported
Government targets: Director of National Intelligence (ODNI), Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Office of Special Counsel, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · third_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Dodd-Frank Act, regulations affecting private equity; Regulations affecting private equity firms in the United States and abroad; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission, Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $210,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · third_quarter · Banking
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission; Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $210,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · third_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of the investment adviser act of 1940.
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · third_quarter · Financial Institutions/Investments/Securities
Sept. 22, 2016CII letter to SEC on 'Disclosure Update and Simplification' proposal Sept. 20, 2016CII letter to Capital Markets Subcommittee on corporate governance hearing (Subcommittee Hearing on Corporate Governance: Fostering a System that Promotes Capital Formation and Maximizes Shareholder Value) Sept. 12, 2016CII letter to Chair and Ranking Member of the Committee on Financial Services regarding the CHOICE Act of 2016 Sept. 7, 2016CII letter to Speaker of House and Minority Leader opposing H.R. 5424, Investment Advisers Modernization Act of 2016 Sept. 6, 2016Co-signed CII letter to Senate Banking Committee on proposed legislation relating to proxy advisory firms (H.R. 5311, the Corporate Governance Reform and Transparency Act of 2016) Aug. 30, 2016CII/CAQ letter to SEC on Smaller Reporting Company Definitions July 15, 2016CII letter to six agencies on incentive-based pay at certain financial institutions July 8, 2016CII letter to SEC on Regulation S-K Concept Release
Client expense: Not reported · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Credit Union Administration (NCUA), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2016 · third_quarter · Financial Institutions/Investments/Securities
H.R. 5424, Investment Advisers Modernization Act of 2015
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · second_quarter · Financial Institutions/Investments/Securities
H.R. 5311, Corporate Governance Reform and Transparency Act; 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: issues related to investment, including implementation of P.L. 111-203, The Dodd-Frank Wall Street Reform and Consumer Protection Act, corporate governance matters and appropriations.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2016 · second_quarter · Financial Institutions/Investments/Securities
H.R. 3868, Small Business Credit Availability Act H.R. 5424, Investment Advisers Modernization Act of 2015
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2016 · second_quarter · Financial Institutions/Investments/Securities
Investment Adviser Act of 1940 financial services legislation H.R. 5424
Client expense: $40,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
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 · Banking
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission; SEC Proposed Derivatives Rule, Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $200,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · second_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Investment Advisers Modernization Act (H.R. 5424) and related proposals, all provisions; Dodd-Frank Act, regulations affecting private equity; Regulations affecting private equity firms in the United States and abroad; Jumpstart Our Business Startups Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; House Resolution 464 - affirming that private equity plays an important role in growing and strengthening United States businesses throughout all sectors of the economy and in every State and congressional district and that it has fostered significant investment in the United States economy; Volcker Rule, proposed modifications thereto; Proposed aggregation relief at the Commodity Futures Trading Commission, SEC Proposed Derivatives Rule, Financial Choice Act and related proposals, all provisions regarding private equity.
Client expense: $200,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2016 · second_quarter · Financial Institutions/Investments/Securities
HR 1261, Bureau of Consumer Financial Protection Accountability Act of 2015 Commodity End User Relief Act HR 3340 HR 2289, The Commodity End User Relief Act S. 2790, the Financial Institution Customer Protection Act of 2016 S. 2663, the so-called Reforming CFPB Indirect Auto Financing Guidance Act. Investment Advisors Modernization Act of 2016 the SEC Regulatory Accountability Act. HR 5112, Unfair or Deceptive Acts or Practices Uniformity Act HR 4139, the Fostering Innovation Act H.R. 4850, the Micro Offering Improvement Act H.R. 4852, the Private Placement Improvement Act H.R. 4854, the Supporting Americas Innovators Act H.R. 4855, the Fix Crowdfunding Act H.R. 5311, the Corporate Governance Reform and Transparency Act H.R. 5421, the National Securities Exchange Regulatory Parity Act H.R. 5424, the Investment Advisers Modernization Act H.R. 5429, the SEC Regulatory Accountability Act HJ Res 88 HR 5485, The Financial Services and General Government Appropriations Act of 2017 The Financial CHOICE Act H.R. 5211 - CFPB Dual Mandate and Economic Analysis Act HR 2889 Carried Interest Fairness Act HR 2103 -Stop Subsidizing Multimillion Dollar Corporate Bonuses Act HR 4018 - Consumer Protection and Choice Act HR 4737 - State and Tribal Government Sovereignty Protection Act of 2016 S. 1686 Carried Interest Fairness Act Non-profit depository institutions Financial Transaction Tax CEO Bonus Loophole Bank worker issues Wage garnishment Postal Banking The Poverty, Opportunity, and Upward Mobility plan Financial Policy Riders Payday Lending Reform CFPB Arbitration Rule/Forced Arbitration Private Equity tax loophole CFPB Defense DoL Fiduciary Rule Title II of the Dodd-Frank Act
Client expense: $310,376 · 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 · second_quarter · Banking
H.R. 5424, The Investment Advisers Modernization Act and issues related to regulation impacting middle-market private equity; modernizing provisions of the investment adviser act of 1940.
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)