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Corporate Governance Reform and Transparency Act of 2017
Legislative Progress
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421d open
vs 7,393 other HR bills in the 115th — cohort avg 50d
Corporate Governance Reform and Transparency Act of 2017 (Sec. 3) This bill amends the Securities Exchange Act of 1934 to: (1) require a proxy advisory firm to register with the Securities and Exchange Commission (SEC); and (2) prohibit an unregistered proxy advisory firm from using interstate commerce to provide proxy-voting research, analysis, or recommendations to any client. With respect to such firms, the bill: (1) establishes procedures for both registration and termination of registration; (2) requires each firm to employ an ombudsman, designate a compliance officer, and file specified documents with the SEC; and (3) prohibits unfair, coercive, or abusive practices. (Sec. 4) The SEC shall report annually on its website regarding registration applications and related matters.
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 (53)
Committee on Banking, Housing, and Urban Affairs. Hearings held.
Committee on Banking, Housing, and Urban Affairs. Hearings held.
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: 238 - 182 (Roll no. 702). (text: CR H10313-10315)
HousePassed/agreed to in House: On passage Passed by the Yeas and Nays: 238 - 182 (Roll no. 702).(text: CR H10313-10315)
HouseOn motion to recommit with instructions Failed by the Yeas and Nays: 189 - 231 (Roll no. 701).
HousePOSTPONED PROCEEDINGS - At the conclusion of debate on the motion to recommit with instructions, the Chair put the question on the motion and by voice vote, announced that the noes had prevailed. Mr. Sarbanes demanded the yeas and nays and the Chair postponed further proceedings on the motion to recommit with instructions until a time to be announced.
Bills with similar content found using semantic analysis.
Sources: Congress.gov
2020 · third_quarter · Insurance
H.R. 7011, Pandemic Risk Insurance Act of 2020 and related issues Issues dealing with liability related to the COVID-19 Pandemic Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act
Client expense: $210,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2020 · first_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act.
Client expense: $310,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2020 · fourth_quarter · Insurance
H.R. 7011, Pandemic Risk Insurance Act of 2020 and related issues Issues dealing with liability related to the COVID-19 Pandemic Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Issues contained in S. 4317, Safe to Work Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act
Client expense: $180,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2020 · third_quarter · Insurance
H.R. 7011, Pandemic Risk Insurance Act of 2020 and related issues Issues dealing with liability related to the COVID-19 Pandemic Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act
Client expense: $170,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2020 · second_quarter · Insurance
H.R. 7011, Pandemic Risk Insurance Act of 2020 and related issues Issues dealing with liability related to the COVID-19 Pandemic Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act
Client expense: $110,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
The previous question on the motion to recommit with instructions was ordered without objection.
DEBATE - The House proceeded with 10 minutes of debate on the motion to recommit with instructions. The instructions contained in the motion seek to require the bill to be reported back to the House with an amendment to exempt proxy voting recommendations on shareholder proposals related to political campaign contributions of a company.
Mr. Sarbanes moved to recommit with instructions to the Committee on Financial Services. (text: CR H10328)
The previous question was ordered pursuant to the rule.
DEBATE - The House proceeded with one hour of debate on H.R. 4015.
Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Rule provides for one hour of general debate for each bill. The amendment in the nature of a substitute printed in H.R. 2396 shall be considered as adopted. The rule also makes in order the amendment printed in the report. An amendment in the nature of a substitute to H.R. 4015 consisting of Rules Committee Print 115-46, shall be considered as adopted.
Considered under the provisions of rule H. Res. 657. (consideration: CR H10313-10330)
Rule H. Res. 657 passed House.
Rules Committee Resolution H. Res. 657 Reported to House. Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Rule provides for one hour of general debate for each bill. The amendment in the nature of a substitute printed in H.R. 2396 shall be considered as adopted. The rule also makes in order the amendment printed in the report. An amendment in the nature of a substitute to H.R. 4015 consisting of Rules Committee Print 115-46, shall be considered as adopted.
Placed on the Union Calendar, Calendar No. 333.
Reported by the Committee on Financial Services. H. Rept. 115-451.
Congress.gov source codes: 5000, H12200
Ordered to be Reported by the Yeas and Nays: 40 - 20.
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
| House |
| Reported by |
| December 7, 2017 |
| Financial Services Committee | House | Markup by | November 15, 2017 |
| Financial Services Committee | House | Referred to | October 11, 2017 |
| October 11, 2017 |
2020 · first_quarter · Small Business
Capital Market Enhancements ---Accredited Investor Definition ---Amended Definition of Smaller Reporting Company Coronavirus (COVID-19) Small Business Loans (Non-Funding) ---H.R.748/S.3548: Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020 ---Affiliation ---Eligibility Funding for Coronavirus (COVID-19) Small Business Loans ---H.R.748/S.3548: Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020 Proxy Advisory Services ---H.R.4015: Corporate Governance Reform and Transparency Act of 2017 ---S.3614: Corporate Governance Fairness Act of 2018 ---Impact of Policies on Small Public Companies Sarbanes Oxley Section 404 (b) ---H.R.3886/S.452: Fostering Innovation Act of 2019 ---Small Issuer Exemption Short Selling Transparency Small Business Innovation Research (SBIR) Program
Client expense: $2,890,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Centers For Medicare and Medicaid Services (CMS), Council of Economic Advisers (CEA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Natl Economic Council (NEC), Natl Institutes of Health (NIH), Office of Management & Budget (OMB), Office of the Vice President of the United States, Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
2020 · first_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Plans for international and US higher capital requirements for financial institutions Issues contained in S. 471, Litigation Funding Transparency Act Tax treatment of Property and Casualty Insurance and Reinsurance, including issues relating to H.R. 748, Coronavirus Aid, Relief, and Economic Security (CARES) Act and Tax Cuts & Jobs Act.
Client expense: $250,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · third_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions Extension and re-authorization of the Terrorism Risk Insurance Act (TRIA) Issues contained in S. 471, Litigation Funding Transparency Act
Client expense: $190,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · second_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions Extension and re-authorization of the Terrorism Risk Insurance Act (TRIA) Issues contained in S. 471, Litigation Funding Transparency Act
Client expense: $170,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · first_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions
Client expense: $320,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · second_quarter · Financial Institutions/Investments/Securities
Beneficial Ownership Corporate Governance Fairness Act Corporate Governance Reform and Transparency Act Executive Compensation H.R. 1994, SECURE Act H.R. 2513, Corporate Transparency Act H.R. 5756, re. Proxy Resubmission Thresholds ILLICIT CASH Act Multiemployer Pension Reform Pension and Budget Integrity Act Pension Nondiscrimination; H.R. 1962, S. 852, Retirement Security Preservation Act Proxy Advisory Firm Oversight Proxy Advisory Firms; H.R. 4015, Corporate Governance Reform and Transparency Act Proxy Advisory Firms; H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 Proxy Advisory Firms; S. 3614, Corporate Governance Fairness Act Proxy Resubmission Thresholds S. 1889, TITLE Act Shareholder Activism
Client expense: $1,900,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Export-Import Bank of the United States (EXIM Bank), Federal Communications Commission (FCC), Federal Energy Regulatory Commission (FERC), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Security Council (NSC), Office of Management & Budget (OMB), Office of the Vice President of the United States, Patent & Trademark Office (PTO), President of the U.S., SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), Vice President of the U.S., White House Office
2019 · fourth_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions Extension and re-authorization of the Terrorism Risk Insurance Act (TRIA) Issues contained in S. 471, Litigation Funding Transparency Act
Client expense: $160,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · third_quarter · Trade (domestic/foreign)
Health Care Issues, Issues Related to Drug Pricing, Issues Related to the FDA H.R. 3 Lower Drug Costs Now Act of 2019 H.R. 4015 The Corporate Governance Reform and Transparency Act S. 2103 Affordable Insulin Approvals Now Act
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2019 · third_quarter · Health Issues
Health Care Issues, Issues Related to Drug Pricing, Issues Related to the FDA H.R. 3 Lower Drug Costs Now Act of 2019 H.R. 4015 The Corporate Governance Reform and Transparency Act S. 2103 Affordable Insulin Approvals Now Act
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2019 · third_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions Extension and re-authorization of the Terrorism Risk Insurance Act (TRIA) Issues contained in S. 471, Litigation Funding Transparency Act
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · second_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions Extension and re-authorization of the Terrorism Risk Insurance Act (TRIA) Issues contained in S. 471, Litigation Funding Transparency Act
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · second_quarter · Financial Institutions/Investments/Securities
Beneficial Ownership Corporate Governance Fairness Act Corporate Governance Reform and Transparency Act Executive Compensation H.R. 1994, SECURE Act H.R. 2513, Corporate Transparency Act H.R. 5756, re. Proxy Resubmission Thresholds ILLICIT CASH Act Multiemployer Pension Reform Pension and Budget Integrity Act Pension Nondiscrimination; H.R. 1962, S. 852, Retirement Security Preservation Act Proxy Advisory Firm Oversight Proxy Advisory Firms; H.R. 4015, Corporate Governance Reform and Transparency Act Proxy Advisory Firms; H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 Proxy Advisory Firms; S. 3614, Corporate Governance Fairness Act Proxy Resubmission Thresholds S. 1889, TITLE Act Shareholder Activism
Client expense: $1,900,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Product Safety Commission (CPSC), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Export-Import Bank of the United States (EXIM Bank), Federal Communications Commission (FCC), Federal Energy Regulatory Commission (FERC), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Security Council (NSC), Office of Management & Budget (OMB), Office of the Vice President of the United States, Patent & Trademark Office (PTO), President of the U.S., SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), Vice President of the U.S., White House Office
2019 · first_quarter · Financial Institutions/Investments/Securities
H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 116, Investing in Main Street Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 H.R. 624/S. 573, Promoting Transparent Standards for Corporate Insiders Act H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act S. 452, Fostering Innovation Act of 2019 S. 536, Encouraging Public Offerings Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 592, Cybersecurity Disclosure Act of 2019 S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 733, Consumer Financial Choice and Capital Markets Protection Act of 2019 Draft legislation to amend the Investment Company Act of 1940 to increase the percentage of voting shares a diversified company may hold in a single issuer; Draft legislation on cryptocurrencies; Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company; Draft legislation on credit bureaus Potential legislation similar to H.R. 1585, Fair Investment Opportunities for Professional Experts Act (115th Congress); Potential legislation similar to H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017; Potential legislation similar to H.R. 3972, Family Office Technical Correction Act of 2017; Potential legislation similar to H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; Potential legislation similar to H.R. 6319, Expanding Investment in Small Businesses Act (115th Congress); Potential legislation similar to H.R. 6322, Enhancing Multi-Class Stock Disclosures Act (115th Congress); Potential legislation similar to H.R. 6324, Middle Market IPO Underwriting Cost Act (115th Congress); Potential legislation similar to H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act (115th Congress); Potential legislation similar to S. 1744, Brokaw Act(115th Congress); Potential legislation similar to H.R. 5970, Modernizing Disclosures for Investors Act Simplifying Disclosures for Investors Act(115th Congress); Potential legislation similar to H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act (115th Congress); Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018); Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018); Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018); Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018); Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018); Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Final rule on loan guaranty: revisions to VA guaranteed or insured cash-out home refinance loans (83 Fed. Reg. 64,459-64,470, December 17, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA) Various issues relating to implementation of the Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174); Consumer Financial Protection Bureau (CFPB) transparency and accountability; CFPB regulatory sandbox for disclosures; CFPB reform; anti-money laundering and Bank Secrecy Act (P.L. 91-508) improvements; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; proxy voting systems; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Securities Exchange Commission request for comment on quarterly reporting; Securities Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Securities Exchange Commission Staff Legal Bulletin 20 Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms; Consumer Financial Protection Bureau trial disclosures and no action letter process; Consumer Financial Protection Bureau lacking jurisdiction over the business or insurance; Public Company Accounting Oversight Board (PCAOB); Federal Trade Commission competition and consumer protection in the 21st century hearings regarding common ownership; Accounting standards developed by the Financial Accounting Standards Board, including the current expected credit loss (CECL) standard; potential legislation related to Commodity Exchange Act reauthorization; potential legislation regarding the previous IRS Data Verification Modernization Act; potential legislation related to the supplementary leverage ratios treatment of client cleared derivatives; credit bureau issues; potential legislation related to crowdfunding amendments act; potential legislation related to compensation for cheated investors act; financial technology issues; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); application of Customer Identification Program requirements under anti-money laundering rules to bank-affiliated premium finance companies; application of the May 2016 Customer Due Diligence Rule to routine cash refunds issued by bank-affiliated premium finance companies; proposals to audit the Board of Governors of the Federal Reserve System; Securities Exchange Commission; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; small business lending; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; blockchain and fintech; adoption of the current expected credit loss accounting standard; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; role of credit reporting agencies (CRAs) in the U.S. economy; comments on earnings releases and quarterly reports; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; potential housing finance reform legislation; valid when made legal doctrine
Client expense: $16,460,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), 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 Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), 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 Labor Relations Board (NLRB), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), Office of the Comptroller of the Currency (OCC), Office of the Vice President of the United States, Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Social Security Administration (SSA), 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. Trade Representative (USTR), White House Office
2019 · first_quarter · Insurance
Issues contained in P.L. 115-97 (formerly H.R. 1, the Tax Cuts and Jobs Act) Issues dealing with corporate governance (formerly H.R. 4015, Corporate Governance and Transparency Act of 2017) Issues relating to the Federal Insurance Office Plans for international and US higher capital requirements for financial institutions
Client expense: $290,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
2019 · first_quarter · Financial Institutions/Investments/Securities
Corporate Governance Fairness Act Corporate Governance Reform and Transparency Act Executive Compensation H.R. 1994, SECURE Act H.R. 5756, re. Proxy Resubmission Thresholds Multiemployer Pension Reform Pension and Budget Integrity Act Pension Nondiscrimination; H.R. 1962, S. 852, Retirement Security Preservation Act Proxy Advisory Firm Oversight Proxy Advisory Firms; H.R. 4015, Corporate Governance Reform and Transparency Act Proxy Advisory Firms; H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 Proxy Advisory Firms; S. 3614, Corporate Governance Fairness Act Proxy Resubmission Thresholds Shareholder Activism
Client expense: $2,300,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Consumer Product Safety Commission (CPSC), Council of Economic Advisers (CEA), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Export-Import Bank of the United States (EXIM Bank), Federal Communications Commission (FCC), Federal Energy Regulatory Commission (FERC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Oceanic & Atmospheric Administration (NOAA), Natl Security Council (NSC), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Office of Personnel Management (OPM), Office of Science & Technology Policy (OSTP), Office of the Vice President of the United States, Patent & Trademark Office (PTO), President of the U.S., SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Customs & Border Protection, U.S. International Trade Commission (ITC), U.S. Trade Representative (USTR), Vice President of the U.S., White House Office
2019 · first_quarter · Financial Institutions/Investments/Securities
H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017; Corporate Governance Fairness Act; Issues related to regulation of proxy advisory firms.
Client expense: Not reported · Firm income: Not reported
Government targets: SENATE
2018 · fourth_quarter · Banking
CFPB Amicus Brief Encouraging Senators to sign on toan Amicus Brief suporting Mick Mulvaney as the correct Acting Director of the CFPB H.J.RES.122 CRA CFPB's "Payday, Vehicle Title, and Certain High-Cost Installment Loans S.2155 Economic Growth, Rgulatory Felief and Consumer Protection Act H.R. 4015: Corporate Governance Reform & Tranparency Act
Client expense: $100,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.J.RES.122 CRA CFPB's "Payday, Vehicle Title, and Certain High-Cost Installment Loans S.2155 Economic Growth, Rgulatory Felief and Consumer Protection Act H.R. 4015: Corporate Governance Reform & Transparency Act H.R. 6743 - Consumer Information Notification Requirement Act H.R. 5381 - GRATER Act Issues Related to Data Localization
Client expense: $100,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2018 · second_quarter · Retirement
HR 4015 (Corporate Governance Reform and Transparency Act of 2017)
Client expense: $128,962 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2018 · second_quarter · Financial Institutions/Investments/Securities
Legislative & Regulatory Issues Related to Financial Services: H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; H.R.5756, to require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals.
Client expense: $2,078,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, Employment & Training Administration, Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Patent & Trademark Office (PTO), SENATE, Treasury, Dept of, U.S. Immigration & Customs Enforcement (ICE), U.S. Trade Representative (USTR), White House Office
2018 · second_quarter · Financial Institutions/Investments/Securities
Legislative & Regulatory Issues Related to Financial Services: H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; H.R.5756, to require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals.
Client expense: $1,620,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, Employment & Training Administration, Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Patent & Trademark Office (PTO), SENATE, Treasury, Dept of, U.S. Immigration & Customs Enforcement (ICE), U.S. Trade Representative (USTR), White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Issues relating to proxy advisory firms, including support for H.R. 4015, Corporate Governance Reform and Transparency Act of 2017.
Client expense: $1,160,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Intl Trade Administration (ITA), Office of Management & Budget (OMB), SENATE, Surface Transportation Board (STB), Treasury, Dept of, U.S. Coast Guard (USCG), U.S. International Trade Commission (ITC), U.S. Trade Representative (USTR), White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Implementation of Dodd-Frank; access to the proxy; corporate governance issues; executive compensation; public pension plan accounting and disclosure; investor (trustee) education; SEC state settlements re: bond disclosures; state of municipal securities markets; municipal adviser registration; H.R. 10, the Financial Choice Act; H.R. 4015, The Corporate Governance Reform and Transparency Act of 2017, relating to proxy advisory services; Section 5001 of H.R. 1, tax reform legislation as passed by the House of Representatives, applying the Unrelated Business Income Tax (UBIT) to the investment earnings of state and local governments retirement systems; infrastructure financing.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · third_quarter · Financial Institutions/Investments/Securities
Implementation of Dodd-Frank; access to the proxy; corporate governance issues; executive compensation; public pension plan accounting and disclosure; investor (trustee) education; SEC state settlements re: bond disclosures; state of municipal securities markets; municipal adviser registration; H.R. 10, the Financial Choice Act; H.R. 4015, The Corporate Governance Reform and Transparency Act of 2017, relating to proxy advisory services; Section 5001 of H.R. 1, tax reform legislation as passed by the House of Representatives, applying the Unrelated Business Income Tax (UBIT) to the investment earnings of state and local governments retirement systems; infrastructure financing.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · second_quarter · Financial Institutions/Investments/Securities
Implementation of Dodd-Frank; access to the proxy; corporate governance issues; executive compensation; public pension plan accounting and disclosure; investor (trustee) education; SEC state settlements re: bond disclosures; state of municipal securities markets; municipal adviser registration; H.R. 10, the Financial Choice Act; H.R. 4015, The Corporate Governance Reform and Transparency Act of 2017, relating to proxy advisory services; Section 5001 of H.R. 1, tax reform legislation as passed by the House of Representatives, applying the Unrelated Business Income Tax (UBIT) to the investmnt earnings of state and local governments retirement systems.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · first_quarter · Financial Institutions/Investments/Securities
Implementation of Dodd-Frank; access to the proxy; corporate governance issues; executive compensation; public pension plan accounting and disclosure; investor (trustee) education; SEC state settlements re: bond disclosures; state of municipal securities markets; municipal adviser registration; H.R. 10, the Financial Choice Act; H.R. 4015, The Corporate Governance Reform and Transparency Act of 2017, relating to proxy advisory services; Section 5001 of H.R. 1, tax reform legislation as passed by the House of Representatives, applying the Unrelated Business Income Tax (UBIT) to the investmnt earnings of state and local governments retirement systems.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Legislative & Regulatory Issues Related to Financial Services: H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; H.R.5756, to require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals.
Client expense: $840,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, Equal Employment Opportunity Commission (EEOC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Intl Trade Administration (ITA), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
S. 2155, the Economic Growth, Regulatory Relief, and Consumer Protection Act. HR 5756, the bill introduced on May 10, by Rep. Sean Duffy (R-WI), requires the SEC to adjust the resubmission thresholds for shareholder proposals. H.R. 4015, known as the Corporate Governance Reform bill. H.R. 6290, also called, PEPTA, was reintroduced by Rep. Devin Nunes (R-CA) on June 28. The bill would amend the Internal Revenue Code of 1986 to provide for reporting and disclosure by State and local public employee retirement pension plans. S. 3614, the Corporate Governance Fairness Act, that would require the SEC to directly regulate proxy advisory firms, including Glass, Lewis & Co and Institutional Shareholder Services (ISS), which provide investors with research on corporate proxy issues for boards of directors, executive pay and shareholder proposals.
Client expense: Not reported · Firm income: $9,999
Government targets: Centers For Medicare and Medicaid Services (CMS), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
S. 2155, Economic Growth, Regulatory Relief and Consumer Protection H.R. 4015, Corporate Governance Reform and Transparency Act
Client expense: Not reported · Firm income: $20,000
Government targets: HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · fourth_quarter · Banking
CFPB Amicus Brief Encouraging Senators to sign on toan Amicus Brief suporting Mick Mulvaney as the correct Acting Director of the CFPB H.J.RES.122 CRA CFPB's "Payday, Vehicle Title, and Certain High-Cost Installment Loans S.2155 Economic Growth, Rgulatory Felief and Consumer Protection Act H.R. 4015: Corporate Governance Reform & Tranparency Act
Client expense: $100,000 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.J.RES.122 CRA CFPB's "Payday, Vehicle Title, and Certain High-Cost Installment Loans S.2155 Economic Growth, Rgulatory Felief and Consumer Protection Act H.R. 4015: Corporate Governance Reform & Transparency Act H.R. 6743 - Consumer Information Notification Requirement Act H.R. 5381 - GRATER Act Issues Related to Data Localization
Client expense: $100,000 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
HR 4015: Corporate Governance Reform and Transparency Act of 2017; provisions related to corporate governance HR 4311: Foreign Investment Risk Review Modernization Act of 2017; provisions related to international trade Discussions related to corporate governance
Client expense: $3,090,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Natl Economic Council (NEC), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade & Development Agency (USTDA), White House Office
2018 · fourth_quarter · Government Issues
HR 4015: Corporate Governance Reform and Transparency Act of 2017; provisions related to corporate governance HR: 4311: Foreign Investment Risk Review Modernization Act of 2017; provisions related to international trade HR 5576: Cyber Deterrence and Response Act of 2018; provisions related to cybersecurity S. 140: Frank LoBiondo Coast Guard Reauthorization Act of 2018; provisions related to project authorization S. 2444: Energy Cybersecurity Act of 2018; provisions related to cybersecurity S. 3019: Accurate Labels Act; provisions related to chemicals S. 3094: Transportation Worker Identification Credential Accountability Act of 2018; provisions related to implementation Discussions related to nominations for Consumer Product Safety Commission and various agencies
Client expense: $3,090,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Natl Economic Council (NEC), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade & Development Agency (USTDA), White House Office
2018 · fourth_quarter · Banking
Corporate Governance, Proxy Advisory Issues, H.R. 4015- Corporate Governance Reform and Transparency Act of 2017
Client expense: Not reported · Firm income: $60,000
Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, SENATE
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Met with House to discuss ideas for housing finance reform Met with House and Senate to discuss issues related to data security and payments system integrity Met with House and Senate on FinTech Met with House and Senate on large bank issues Met with House and Senate staff on capital leverage matters Met with House and Senate staff on flood insurance issues Met with Senate staff to discuss draft financial institution bankruptcy reform legislation Met with House and Senate issues related to data security and payments system integrity Met with House and Senate on reauthorization of the Commodities Exchange Act and derivatives regulation Met with House and Senate on bond market issues Draft House Bill - the Main Street Growth Act - all provisions Met with House on draft legislation to amend the Regulation NMS governance structure Met with House and Senate to discuss anti-money laundering laws and draft reform legislation Met with House and Senate to discuss the Volcker Rule Met with House and Senate to discuss data privacy issues. Met with House and Senate to discuss CCAR process General issues relating to the implementation of Dodd-Frank (P.L. 111-203, the Wall Street Reform and Consumer Protection Act). Discussion draft - the Data Acquisition and Technology Accountability and Security Act - all provisions H.R.238 - Commodity End-User Relief Act - all provisions H.R.1624 - Municipal Finance Support Act of 2017 - all provisions H.R.3089, the Corporate Transparency Act of 2017 - all provisions H.R.3280, a bill making appropriations for financial services and general government for the fiscal year ending September 30, 2018, and for other purposes - provisions related to inter-affiliate transactions and the Volker Rule H.R.3439, the Financial Institution Security Act - all provisions H.R.3555, the Exchange Regulatory Improvement Act - all provisions H.R.4015, the Corporate Governance Reform and Transparency Act of 2017 - all provisions H.R.5961, a bill making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agency programs for the fiscal year ending September 30, 2019, and for other purposes - provisions related to inter-affiliate transactions H.R.5534, the GUIDE Compliance Act - all provisions H.R.6068, the Counter Terrorism and Illicit Finance Act - all provisions H.R.6743, the Consumer Information Notification Requirement Act - all provisions S.488 - the JOBS and INvestor Confidence ACt of 2018 - all proivisions S.828 - A bill to amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes -- all provisions S.881 - 21st Century Glass-Steagall Act of 2017 - all provisions S.2155 - the Economic Growth, Regulatory Relief, and Consumer Protection Act - all provisions S.2098 - the Foreign Investment Risk Review Modernization Act - all provisions S.2499 - legislation to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of arbitration awards issued against brokerage firms or brokers regulated by the Authority - all provisions S.3614 - Corporate Governance Fairness Act - all provisions H.R. 4790 - the Volcker Rule Regulatory Harmonization Act H.R. 4292 - the Financial Institution Living Will Improvement Act of 2017 - all provisions H.R. 4293 - the Stress Test Improvement Act of 2017 - all provisions H.R.5841 - the Foreign Investment Risk Review Modernization Act of 2018 - all provisions
Client expense: $1,090,000 · Firm income: Not reported
Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 4015 Corporate Governance Reform and Transparency Act of 2017 and oversight of proxy advisory firms
Client expense: $520,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Natl Economic Council (NEC), Office of Management & Budget (OMB), SENATE, White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Corporate Governance Reform and Transparency Act - H.R. 4015
Client expense: $910,000 · Firm income: Not reported
Government targets: Army, Dept of (Corps of Engineers), Commerce, Dept of (DOC), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Natl Highway Traffic Safety Administration (NHTSA), Natl Security Council (NSC), Office of Management & Budget (OMB), SENATE, Small Business Administration (SBA), Transportation, Dept of (DOT), U.S. Fish & Wildlife Service (USFWS), U.S. Forest Service, White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to regulation of proxy advisory firms H.R. 10, Financial CHOICE Act H.R.4015, Corporate Governance Reform and Transparency Act of 2017 S.3614, Corporate Governance Fairness Act S. 488, JOBS and Investor Confidence Act of 2018
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2018 · fourth_quarter · Small Business
Proxy Advisory Services ---Impact of Policies on Small Public Companies ---H.R. 4015: Corporate Governance Reform and Transparency Act of 2017 ---H.R. 10: Financial Choice Act ---S.3614: Corporate Governance Fairness Act Sarbanes Oxley Section 404 (b) ---H.R. 1645/S. 2126: Fostering Innovation Act ---Small Issuer Exemption ---H.R. 10: Financial Choice Act ---H.R. 3978: TRID Improvement Act ---S.488: JOBS and Investor Confidence Act Short Selling Transparency Small Business IP Training ---H.R. 2655/S.791: Small Business Innovation Protection Act of 2017
Client expense: $2,500,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Centers For Medicare and Medicaid Services (CMS), Commerce, Dept of (DOC), Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Natl Economic Council (NEC), Natl Institutes of Health (NIH), Natl Security Council (NSC), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to proxy shareholder voting, including H.R.4015 - the Corporate Governance Reform and Transparency Act of 2017.
Client expense: Not reported · Firm income: $20,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 4015, Corporate Governance Reform and Transparency Act of 2017, all provisions S. 3614, Corporate Governance Fairness Act; all provisions Issues relating to Securities and Exchange Commission Roundtable on the proxy process Issues relating to Securities and Exchange Commissions regulation of shareholder proposals, and materiality and disclosure effectiveness
Client expense: $5,730,000 · Firm income: Not reported
Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)
2018 · fourth_quarter · Banking
Small company capital formation issues, capital markets reform to encourage more US IPOs, JOBS and Investor Confidence Act, H.R. 5054 the Small Company Disclosure Simplification Act, H.R. 5756 to require the SEC to adjust resubmission thresholds for shareholder proposals, H.R. 5970 Modernizing Disclosures for Investors Act, H.R. 6130 Helping Startups Continue to Grow Act, H.R. 6139 Improving Investment Research for Small and Emerging Issuers Act, Proposals to expand the definition of smaller reporting company (SRC),Disclosure of material short positions, Dodd-Frank regulatory issues, Volcker Rule, Registered Investment Advisor rules, the Developing and Empowering our Aspiring Leaders (DEAL) Act H.R. 6177/S. 3575, Tick Size Pilot, venture exchanges, HALOs Act, Fostering Innovation Act H.R. 4139/S. 1645, Corporate Governance Reform and Transparency Act H.R. 4015, beneficial ownership disclosure rules/Counterterrorism & Illicit Finance Act, Foreign Investment Risk Review Modernization Act S. 2098/H.R. 4311, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2155, cryptocurrency regulation, and House Innovation Initiative.
Client expense: $803,877 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Commodity Futures Trading Commission (CFTC), Defense, Dept of (DOD), Federal Communications Commission (FCC), Federal Reserve System, Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Office of Science & Technology Policy (OSTP), Office of the Comptroller of the Currency (OCC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office
2018 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to investment including implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act and corporate governance matters; issues related to financial regulatory reform. H.R. 10, The Financial CHOICE Act of 2017 - entire bill. S. 536, Cybersecurity Disclosure Act of 2017 - entire bill. H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017 - entire bill. P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act - issues related to implementation. H.R. 1312 - Small Business Capital Formation Enhancement Act - entire bill. S. 488 - JOBS and Investor Confidence Act of 2018 - entire bill.
Client expense: Not reported · Firm income: $90,000
Government targets: Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2018 · fourth_quarter · Banking
H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017, entire bill H.R. 5756 - To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals, entire bill S. 3614 - Corporate Governance Fairness Act General issues regarding usage of technology in the financial services industry, corporate governance, and thresholds for shareholder proposals.
Client expense: $1,900,000 · Firm income: Not reported
Government targets: Air Force, Dept of, Commerce, Dept of (DOC), Defense, Dept of (DOD), Director of National Intelligence (ODNI), Executive Office of the President (EOP), Federal Bureau of Investigation (FBI), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Justice, Dept of (DOJ), Natl Economic Council (NEC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), Patent & Trademark Office (PTO), SENATE, Treasury, Dept of, U.S. Secret Service, U.S. Trade Representative (USTR)
2018 · fourth_quarter · Banking
Issues related to shareholder proxy reform; Corporate Governance Reform and Transparency Act of 2017, H.R.4015.
Client expense: Not reported · Firm income: $30,000
Government targets: SENATE