Mutual Fund Litigation Reform Act

Non-bank SIFI (Systemically Important Financial Institution) designation Constitutional design of the Consumer Financial Protection Bureau Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate before trial abusive law suits. HR 4738, Mutual Fund Litigation Reform Act HR 4566, Alleviating Stress Test Burdens to Help Investors Act HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017 The use of common ownership as a anti-competitive measure

Client expense: Not reported · Firm income: $10,000

H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus) H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017 (Duffy) H.R. 4061 - Financial Stability Oversight Council Improvement Act of 2017 (Ross) H.R. 4738 - Mutual Fund Litigation Reform Act (Emmer) S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomey) S. 2155 - Economic Growth, Regulatory Relief and Consumer Protection Act (Crapo) Expanding Investment in Small Businesses Act (Hultgren) FSOC Procedures for SIFI Designation of Nonbank Financial Companies Electronic Delivery of Mutual Fund Shareholder Reports Stress Testing Requirements for Registered Investment Companies Exchange-Traded Funds SEC Best-Interest Standard for Broker-Dealers

Client expense: $1,268,622 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

Non-bank SIFI (Systemically Important Financial Institution) designation Constitutional design of the Consumer Financial Protection Bureau Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate before trial abusive law suits. HR 4738, Mutual Fund Litigation Reform Act HR 4566, Alleviating Stress Test Burdens to Help Investors Act HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017 The use of common ownership as a anti-competitive measure

Client expense: Not reported · Firm income: $10,000

Non-bank SIFI (Systemically Important Financial Institution) designation Constitutional design of the Consumer Financial Protection Bureau Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate before trial abusive lawsuits. H.R. 4738: Mutual Fund Litigation Reform Act H.R. 4566: Alleviating Stress Test Burdens to Help Investors Act H.R. 2319: Consumer Financial Choice and Capital Markets Protection Act of 2017 The use of common ownership as an anti-competitive measure H.R. 4061: Financial Stability Oversight Council Improvement Act of 2017

Client expense: Not reported · Firm income: $30,000

Government targets: HOUSE OF REPRESENTATIVES

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

Opposed S. 2155, (Crapo), Economic Growth, Regulatory Relief, and Consumer Protection Act. Attended multiple coalition lobby meetings and authored a letter specifically opposing the inclusion of Section 310 in S.2155, which would upend a current review of credit scoring models by FHFA and cause them to restart. Also opposed the following bills aimed to weaken consumer protection: H.R. 4550 (Gonzalez), the Practice of Law Technical Clarification Act; HR 4861 (Hollingsworth), the Ensuring Quality Unbiased Access to Loans Act of 2018 (EQUAL Act); H.R. 4738, the Mutual Fund Litigation Reform Act; HR 3746, the Business of Insurance Regulatory Reform Act of 2017. Provide comments to regulators including Comments in Response to Request for Information Regarding Consumers Experience with Free Access to Credit Scores, Docket No. CFPB�2017�0037; Comments to Federal Housing Finance Administration (FHFA)s Request for Input Regarding Credit Scores. Generally oppose any bill, rider or amendment incorporating any provisions of previously House-passed HR10, (Hensarling) Financial Choice Act, particularly any to weaken the independence of the CFPB. Support any bills to improve Fair Credit Reporting Act, including HR3783, Equal Employment for All Act of 2017 and HR3755 (Waters), Comprehensive Consumer Credit Reporting Reform Act of 2017. Oppose any bills to weaken the Fair Credit Reporting Act, (eg HR 435 (Ellison), The Credit Access and Inclusion Act of 2017) or to override/preempt stronger state data breach or data security laws, including HR ____ (Luetkemeyer/Maloney), the Data Acquisition and Technology Accountability and Security Act.

Client expense: $30,000 · Firm income: Not reported

H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus) H.R. 3758 - Senior Safe Act of 2017 (Sinema) H.R. 3857 - Protecting Advice for Small Savers Act of 2017 (Wagner) H.R. 4061 - Financial Stability Oversight Council Improvement Act of 2017 (Ross) H.R. 4279 - Expanding Investment Opportunities Act (Hollingsworth) H.R. 4566 - Alleviating Stress Test Burdens to Help Investors Act (Poliquin) H.R. 4738 - Mutual Fund Litigation Reform Act (Emmer) S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomey) S. 2155 - Economic Growth, Regulatory Relief and Consumer Protection Act (Crapo) FSOC Procedures for SIFI Designation of Nonbank Financial Companies Financial Stability Board Electronic Delivery of Mutual Fund Shareholder Reports Derivatives (Definition of US Person) Exchange-Traded Funds US Equity and Fixed Income Market Structure Corporate Governance Volcker Rule Cryptocurrencies

Client expense: $1,396,868 · Firm income: Not reported

Non-bank SIFI (Systemically Important Financial Institution) designation Constitutional design of the Consumer Financial Protection Bureau Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate before trial abusive law suits. HR 4738, Mutual Fund Litigation Reform Act HR 4566, Alleviating Stress Test Burdens to Help Investors Act HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017 The use of common ownership as a anti-competitive measure

Client expense: Not reported · Firm income: $10,000

Non-bank SIFI (Systemically Important Financial Institution) designation Constitutional design of the Consumer Financial Protection Bureau Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate before trial abusive law suits. HR 4738, Mutual Fund Litigation Reform Act HR 4566, Alleviating Stress Test Burdens to Help Investors Act HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017 The use of common ownership as a anti-competitive measure H.R. 4061, Financial Stability Oversight Council Improvement Act of 2017

Client expense: Not reported · Firm income: $30,000

Government targets: HOUSE OF REPRESENTATIVES