National Securities Exchange Regulatory Parity Act

Monitor issues impacting state securities regulation and investor protection; : S. 2155 and HR 4546, national securities exchange parity legislation; HR 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017; HR 2201 Micro Offering Safe Harbor Act; HR 1585 Fair Investment Opportunities for Professionals; HR 5037, Securities Fraud Act of 2018; HR 5877, Main Street Growth Act; S. 488, JOBS and Investor Confidence Act of 2018, and S. 3421, Blue Sky Harmonization Act

Client expense: Not reported · Firm income: $20,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Monitor issues impacting state securities regulation and investor protection; : S. 2155 and HR 4546, national securities exchange parity legislation; HR 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017; HR 2201 Micro Offering Safe Harbor Act; HR 1585 Fair Investment Opportunities for Professionals Act; H.R. 5037 Securities Fraud Act of 2018; HR 5877, Main Street Growth Act.

Client expense: Not reported · Firm income: $20,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Authority of CFPB Bank capital rules Banks stress tests Best interest standard CFPB Office of Fair Lending and Equal Opportunity Dept. of Ed barriers to emergency relief funds Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions Financial Technology ("Fintech") Funding of CFPB H.J. Res. 111, regarding the CFPB rule on Mandatory Arbitration H.R. 10, Financial CHOICE Act H.R. 10, the Financial CHOICE Act H.R. 1116, the "Taking Account of Institutions with Low Operation Risk Act of 2017" H.R. 1144, the Inclusive Prosperity Act H.R. 1153, the "Mortgage Choice Act" H.R. 1585, the "Fair Investment Opportunities for Professional Experts Act" H.R. 1645, the "Fostering Innovation Act of 2017" H.R. 1699, the "Preserving Access to Manufactured Housing Act of 2017" H.R. 2121, the "Pension, Endowment, and Mutual Fund Access to Banking Act" H.R. 2133, the Community Lending Enhancement and Regulatory Relief Act H.R. 2148, "Clarifying Commercial Real Estate Loans" H.R. 2201, the "Micro Offering Safe Harbor Act" H.R. 2295, the Carried Interest Fairness Act of 2017 H.R. 2306, the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act H.R. 2319, The "Consumer Choice and Capital Markets Protection Act" H.R. 2396, the "Privacy Notification Technical Clarification Act" H.R. 2570, the "Mortgage Fairness Act of 2017" H.R. 2585, the 21st Century Glass Steagall Act H.R. 2706, the "Financial Institution Customer Protection Act of 2017" H.R. 2954, the "Home Mortgage Disclosure Adjustment Act" H.R. 3072, the "Bureau of Consumer Financial Protection Examination and Reporting Threshold Act of 2017" H.R. 3179, the "Transparency and Accountability for Business Standards Act" H.R. 3221, the "Securing Access to Affordable Mortgages Act" H.R. 3299, the "Protecting Consumers Access to Credit Act of 2017" H.R. 3312, the "Systemic Risk Designation Improvement Act of 2017" H.R. 3857, the "Protecting Advice for Small Savers Act of 2017" H.R. 3911, the "Risk-Based Credit Examination Act" H.R. 3948, the "Protection of Source Code Act" H.R. 3971, the "Community Institution Mortgage Relief Act of 2017" H.R. 3973, the "Market Data Protection Act of 2017" H.R. 3978, the "TRID Improvement Act" H.R. 399, the Stop Subsidizing Multimillion Dollar Corporate Bonuses Act H.R. 4015, the "Corporate Governance Reform and Transparency Act of 2017" H.R. 4247, the "Restoring Financial Market Freedom Act" H.R. 4263, the "Regulation A+ Improvement Act" H.R. 4267, the "Small Business Credit Availability Act" H.R. 4279, the "Expanding Investment Opportunities Act" H.R. 4292, the "Living Will Improvement Act" H.R. 4293, the "Stress Test Improvement Act" H.R. 4296, "To Place Requirements on Operational Risk Capital Requirements For Banking Organizations" H.R. 4464, the "Common Sense Credit Union Capital Relief Act of 2017" H.R. 4508, the "Promoting Real Opportunity, Success, and Prosperity through Education Reform (PROSPER) Act" H.R. 4529, the "Accelerating Access to Capital Act of 2017" H.R. 4537, the "International Insurance Standards Act of 2017" H.R. 4545, the "Financial Institutions Examination Fairness and Reform Act" H.R. 4546, the "National Securities Exchange Regulatory Parity Act" H.R. 4566, the "Alleviating Stress Test Burdens to Help Investors Act" H.R. 477, the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017″ H.R. 790, the Return to Prudent Banking Act of 2017 H.R. 859, the Financial Services Conflict of Interest Act - HR 1116 -- Taking Account of Institutions with Low Operating Risk (TAILOR) Act of 2017 HR 1153 -- Mortgage Choice Act of 2017 HR 1264 -- Community Financial Institution Exemption Act HR 2226 -- Portfolio Lending and Mortgage Access Act HR 2319 -- Consumer Financial Choice and Capital Markets Protection Act of 2017 HR 3312 HR 3746 -- Business of Insurance Regulatory Reform Act of 2017 HR 3978 -- TRID Improvement Act of 2017 HR 4061 -- Financial Stability Oversight Council Improvement Act of 2017 HR 4263 -- Regulation A+ Improvement Act of 2017 HR 4293 -- Stress Test Improvement Act of 2017 HR 4296 -- To place requirements on operational risk capital requirements for banking organizations established by an appropriate Federal banking agency HR 4545 -- Financial Institutions Examination Fairness and Reform Act HR 4550 -- Practice of Law Technical Clarification Act of 2017 HR 4566 -- Alleviating Stress Test Burdens to Help Investors Act HR 4607 -- Comprehensive Regulatory Review Act HR 4659 -- To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives HR 4738 -- Mutual Fund Litigation Reform Act HR 4771 -- Small Bank Holding Company Relief Act of 2018 HR 4785 -- American Customer Information Protection Act HR 4790 -- Volcker Rule Regulatory Harmonization Act HR 4861 -- Ensuring Quality Unbiased Access to Loans (EQUAL) Act of 2018 HR 5051 -- Public Company Registration Threshold Act HR 5082 -- Practice of Law Technical Clarification Act of 2018 HR 5323 -- Derivatives Fairness Act Legislation affecting Consumer Financial Protection Bureau staffing Nomination of Joseph Otting to be Comptroller of the Currency Nominations for SEC, CFTC, FDIC Protecting Consumers Access to Credit Act of 2017 (H.R. 3299) S. 1020, the Carried Interest Fairness Act S. 1642 S. 2155 -- Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2155, the "Economic Growth, Regulatory Relief, and Consumer Protection Act" S. 2417 -- the Stopping Abuse & Fraud in Electronic (SAFE) Lending Act S.J. Res. 47 SEC fiduciary rule Sen. Brown Amendment No. 2080 Sen. Moran Amendment No. 2140 Substitute Amendment to S. 2155 Treasury department review of financial regulations Volcker Rule *In accordance with her lobbying and communication restrictions, Kristine Lucius has not lobbied or had contact with any covered officials in the Senate on these issues

Client expense: $292,750 · Firm income: Not reported

Government targets: Bureau of the Census, Commodity Futures Trading Commission (CFTC), 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), 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), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of