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To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals.
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
87pct
106d open
vs 7,393 other HR bills in the 115th — cohort avg 50d
This bill directs the Securities and Exchange Commission to raise the vote percentage amounts below which a company may exclude, from its proxy materials, resubmission of a shareholder proposal that previously failed passage. (Shareholder proposals previously included in the issuer's proxy materials may be excluded by the company from subsequent proxy materials if the proposal received less than a specified percentage of the vote the last time it was included. The percentage varies depending upon the number of times the proposal has been submitted previously.)
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 (15)
Placed on the Union Calendar, Calendar No. 700.
Reported by the Committee on Financial Services. H. Rept. 115-904.
Congress.gov source codes: 5000, H12200
Ordered to be Reported by the Yeas and Nays: 34 - 22.
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
Bills with similar content found using semantic analysis.
Sources: Congress.gov
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
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
GSE Reform Monitoring FHFA/FHLB Membership Corporate Governance SEC Shareholder Proposals legislation (H.R. 5756) Expanding investor participation in GSE credit risk sharing transactions
Client expense: $685,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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 · 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 · third_quarter · Banking
H.R. 1244 Credit Union Access to Supplemental Capital H.R. 1264 Community Financial Institutions Exemption Act H.R. 1426 Federal Savings Association Charter Flexibility Act H.R. 1948 Small Bank Holding Company Relief Act H.R. 1964 Community Mortgage Lender Regulatory Act of 2017 H.R. 2133 CLEAR Relief Act H.R. 2215 SAFE Act of 2017 H.R. 2226 The Portfolio Lending and Mortgage Access Act H.R. 2954 Home Mortgage Disclosure Adjustment Act H.R. 4015 The Corporate Governance Reform and Transparency Act H.R. 4648 Home Mortgage Reporting Relief Act H.R. 4771 Small Bank Holding Company Relief Act of 2018 H.R. 5515 Military Banking Provisions of the FY 2019 Defense Bill H.R. 5534 Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5756 SEC Shareholder Reforms H.R. 5783 Cooperate with Law Enforcement Agencies and Watch Act H.R. 6258 Community bank regulatory relief provisions and the postal banking amendment to the House FY 2019 Financial Services and General Government Appropriations Act H.R. 6743 Consumer Information Notification Act S. 1002 CLEAR Relief Act S. 1152 SAFE Banking Act S. 1284 Small Bank Holding Company Relief Act S. 1310 Home Mortgage Disclosure Adjustment Act S. 1499 A bill to increase from $10B to $50B the threshold figure at which regulated depository institutions are subject to direct examination and reporting requirements of the Bureau of Consumer Financial Protection, and for other purposes. S. 1571 National Flood Insurance Program Reauthorization Act of 2017 S. 2155 Economic Growth Regulatory Relief and Consumer Protection Act S. 2361 Housing Opportunity Mortgage Expansion Act S. 2490 TRID Improvement Act S. 2755 Postal Banking Act S. 2987 2019 National Defense Authorization Act Bank Secrecy Act/Anti-Money Laundering Rules/Legislation, including Beneficial Ownership Issue Bank Secrecy Act Reforms Call Report Streamlining Cannabis Banking Capital Access for Community Banks Capital Rules--Basel III, including treatment of commercial real estate loans, Small Bank Holding Company Policy Statement asset threshold and impact of tax reform on deferred tax assets/regulatory capital CFPB Data Aggregation CFPB Data Collection CFPB Overdraft CFPB Small Business Loan Data Collection Community Reinvestment Act Credit Union Business Lending Powers Credit Union Field of Membership Rules Credit Union Supplemental Capital Customer Due Diligence Rule Data Security and Breaches De Novo Bank Applications Durbin Interchange Amendment Economic Growth, Regulatory Relief and Consumer Protection Act Implementation Faster Payments Flood Insurance Reauthorization Home Mortgage Disclosure Act (HMDA) Regulations Housing Finance Reform Implementation of the Economic Growth, Regulatory Relief and Consumer Protection Act Industrial Loan Corporation Loophole/Exemption from Bank Holding Company Act/Nelnet (ILC) deposit insurance application Innovation Initiative (FinTech) Mortgage Lending Regulations/Reform Mortgage Originator Compensation Rules Mortgage Servicing Regulations Nomination of Michelle Bowman for the Federal Reserve Board of Governors (support) Nomination of Kathleen Kraninger to serve as the director of the Bureau of Consumer Financial Protection (support) Nomination of Kimberly Reed to serve as president of the Export-Import Bank of the United States (support) Postal Banking Public Banking Qualified Mortgages, Ability to Repay Rules Regulatory Burden Relief for Community Banks Regulatory and Tax Relief for Community Banks Small Dollar Lending Virtual Currency
Client expense: $760,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Natl Credit Union Administration (NCUA), Office of the Comptroller of the Currency (OCC), SENATE, Small Business Administration (SBA), Treasury, Dept of
2018 · fourth_quarter · Banking
H.R. 1244 Credit Union Access to Supplemental Capital H.R. 1264 Community Financial Institutions Exemption Act H.R. 2215 SAFE Act of 2017 H.R. 2226 The Portfolio Lending and Mortgage Access Act H.R. 4545 Financial Institutions Examination Fairness and Reform Act H.R. 5515 Military Banking Provisions of the FY 2019 Defense Bill H.R. 5534 Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5756 SEC Shareholder Reforms H.R. 6258 Community bank regulatory relief provisions and the postal banking amendment to the House FY 2019 Financial Services and General Government Appropriations Act H.R. 6743 Consumer Information Notification Act S. 1152 SAFE Banking Act S. 1499 A bill to increase from $10B to $50B the threshold figure at which regulated depository institutions are subject to direct examination and reporting requirements of the Bureau of Consumer Financial Protection, and for other purposes. S. 1571 National Flood Insurance Program Reauthorization Act of 2017 S. 2155 Economic Growth Regulatory Relief and Consumer Protection Act S. 2237 Financial Institutions Examination Fairness and Reform Act S. 2361 Housing Opportunity Mortgage Expansion Act S. 2490 TRID Improvement Act S. 2755 Postal Banking Act Bank Secrecy Act/Anti-Money Laundering Rules/Legislation, including Beneficial Ownership Issue Bank Secrecy Act Reforms Call Report Streamlining Cannabis Banking Capital Access for Community Banks Capital Rules--Basel III, including treatment of commercial real estate loans, Small Bank Holding Company Policy Statement asset threshold and impact of tax reform on deferred tax assets/regulatory capital CFPB Ability to Repay Rules--Treatment of Property Assessed Clean Energy (PACE) Loans CFPB Data Collection CFPB Small Business Loan Data Collection CFPB Wholistic Review of Operations and Regulations, including investigations, adjudication and enforcement; supervision; rulemaking process and adopted and inherited regulations; consumer complaints; and external engagement Community Reinvestment Act Credit Union Business Lending Powers Credit Union Field of Membership Rules Credit Union Supplemental Capital Current Expected Credit Losses (CECL) Customer Due Diligence Rule Data Security and Breaches De Novo Bank Applications Durbin Interchange Amendment Economic Growth, Regulatory Relief and Consumer Protection Act Implementation Faster Payments Flood Insurance Reauthorization Home Mortgage Disclosure Act (HMDA) Regulations Housing Finance Reform Implementation of the Economic Growth, Regulatory Relief and Consumer Protection Act Industrial Loan Corporation Loophole/Exemption from Bank Holding Company Act/Nelnet (ILC) deposit insurance application Innovation Initiative (FinTech) Mortgage Lending Regulations/Reform Mortgage Servicing Regulations Nomination of Michelle Bowman for the Federal Reserve Board of Governors (support) Nomination of Kathleen Kraninger to serve as the director of the Bureau of Consumer Financial Protection (support) Nomination of Justin Muzinich to serve as Deputy secretary of the U.S. Treasury Postal Banking Private Flood Insurance Qualified Mortgages, Ability to Repay Rules Regulatory Burden Relief for Community Banks Regulatory and Tax Relief for Community Banks Small Dollar Lending Virtual Currency
Client expense: $1,050,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Natl Credit Union Administration (NCUA), Office of the Comptroller of the Currency (OCC), SENATE, Small Business Administration (SBA), Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 10, Financial CHOICE Act of 2017 H.R. 21/S. 34, Midnight Rules Relief Act of 2017 H.R. 78, SEC Regulatory Accountability Act H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act H.R. 238, Commodity End-User Relief Act H.R. 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017 H.R. 1116, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 H.R. 1153, Mortgage Choice Act of 2017 H.R. 1219/S. 444, Supporting America's Innovators Act of 2017 H.R. 1257, Securities and Exchange Commission Overpayment Credit Act H.R. 1312/S. 416, Small Business Capital Formation Enhancement Act H.R. 1343, Encouraging Employee Ownership Act of 2017 H.R. 1457, Making Online Banking Initiation Legal and Easy (MOBILE) Act of 2017 H.R. 1585, Fair Investment Opportunities for Professional Experts Act H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017 H.R. 1645/S. 2126, Fostering Innovation Act of 2017 H.R. 1702, Small Business Development Centers Improvement Act of 2018 H.R. 2128, Due Process Restoration Act of 2017 H.R. 2201, Micro Offering Safe Harbor Act H.R. 2226/S. 2013, Portfolio Lending and Mortgage Access Act H.R. 2319, Consumer Financial Choice and Capital Markets Protection Act of 2018 H.R. 2396, Privacy Notification Technical Clarification Act H.R. 2553, Taking Account of Bureaucrats Spending (TABS) Act of 2017 H.R. 2706, Financial Institution Customer Protection Act of 2017 H.R. 3089, Corporate Transparency Act of 2017 H.R. 3093, Investor Clarity and Bank Parity Act H.R. 3179, Transparency and Accountability for Business Standards Act H.R. 3299, Protecting Consumers' Access to Credit Act of 2017 H.R. 3312/S. 1893, Systemic Risk Designation Improvement Act of 2017 H.R. 3746/S. 2702, Business of Insurance Regulatory Reform Act of 2017 H.R. 3762, International Insurance Standards Act of 2017 H.R. 3857, Protecting Advice for Small Savers (PASS) Act of 2017 H.R. 3860, IRS Data Verification Modernization Act of 2017 H.R. 3903/S. 2347, Encouraging Public Offerings Act of 2017 H.R. 3911, Risk-Based Credit Examination Act H.R. 3948, Protection of Source Code Act H.R. 3972, Family Office Technical Correction Act of 2017 H.R. 3973, Market Data Protection Act of 2017 H.R. 3978, TRID Improvement Act of 2017 H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 H.R. 4061, Financial Stability Oversight Council Improvement Act of 2017 H.R. 4248, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals, and for other purposes H.R. 4263, Regulation A+ Improvement Act of 2017 H.R. 4267, Small Business Credit Availability Act H.R. 4279, Expanding Investment Opportunities Act H.R. 4281/S. 2953, Expanding Access to Capital for Rural Job Creators Act H.R. 4289, To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal certain disclosure requirements related to coal and mine safety H.R. 4292, Financial Institution Living Will Improvement Act of 2017 H.R. 4293, Stress Test Improvement Act of 2017 H.R. 4294, Prevention of Private Information Dissemination Act of 2017 H.R. 4296, To place requirements on operational risk capital requirements for banking organizations established by an appropriate Federal banking agency H.R. 4311, Foreign Investment Risk Review Modernization Act of 2017 H.R. 4519, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to resource extraction, and for other purposes H.R. 4529, Accelerating Access to Capital Act of 2017 H.R. 4537, International Insurance Standards Act of 2017 H.R. 4545, Financial Institutions Examination Fairness and Reform Act H.R. 4550, Practice of Law Technical Clarification Act of 2017 H.R. 4566, Alleviating Stress Test Burdens to Help Investors Act H.R. 4607, Comprehensive Regulatory Review Act H.R. 4659, To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives H.R. 4753, Federal Reserve Supervision Testimony Clarification Act H.R. 4771, Small Bank Holding Company Relief Act of 2018 H.R. 4790, Volcker Rule Regulatory Harmonization Act H.R. 4861, Ensuring Quality Unbiased Access to Loans (EQUAL) Act of 2018 H.R. 5036, Financial Technology Protection Act H.R. 5051, Public Company Registration Threshold Act H.R. 5054, Small Company Disclosure Simplification Act of 2018 H.R. 5059, State Insurance Regulation Preservation Act H.R. 5105/S. 2436, Better Utilization of Investments Leading to Development (BUILD) Act of 2018 H.R. 5266, Financial Product Safety Commission Act of 2018 H.R. 5323, Derivatives Fairness Act H.R. 5534, Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5645, Standard Merger and Acquisition Reviews Through Equal Rules Act of 2018 H.R. 5749, Options Markets Stability Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals H.R. 5783, Cooperate with Law Enforcement Agencies and Watch Act of 2018 H.R. 5877, Main Street Growth Act H.R. 5970, Modernizing Disclosures for Investors Act H.R. 5999, Streamlining Communications for Investors Act H.R. 6021, Small Business Audit Correction Act of 2018 H.R. 6035, Streamlining Communications for Investors Act H.R. 6068, Counter Terrorism and Illicit Finance Act H.R. 6130, Helping Startups Continue to Grow Act H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act H.R. 6158, Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018 H.R. 6177, Developing and Empowering our Aspiring Leaders Act of 2018 H.R. 6319, Expanding Investment in Small Businesses Act H.R. 6320, Promoting Transparent Standards for Corporate Insiders Act H.R. 6321, Investment Adviser Regulatory Flexibility Improvement Act H.R. 6322, Enhancing Multi-Class Stock Disclosures Act H.R. 6324, Middle Market IPO Underwriting Cost Act S. 366, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 S. 462, Securities and Exchange Commission Overpayment Credit Act S. 488, Encouraging Employee Ownership Act S. 488, JOBS and Investor Confidence Act of 2018 (House Amendment) S. 536, Cybersecurity Disclosure Act of 2017 S. 1117, Consumer Financial Choice and Capital Markets Protection Act of 2017 S. 1241, Combating Money Laundering, Terrorist Financing, and Counterfeiting Act of 2017 S. 1454, True Incorporation Transparency for Law Enforcement (TITLE) Act S. 1717, Corporate Transparency Act of 2017 S. 1744, Brokaw Act S. 2098, Foreign Investment Risk Review Modernization Act of 2017 S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2499, A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority S. 2756, Fair Investment Opportunities for Professional Experts Act S. 2765, RBIC Advisers Relief Act of 2018 S. 3004, Small Business Audit Correction Act of 2018 S. 3421, Blue Sky Harmonization Act S. 3577, Financial Stability Oversight Council Improvement Act of 2018 S. 3614, Corporate Governance Fairness Act S. J. Res. 57, A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Indirect Auto Lending and Compliance with the Equal Credit Opportunity Act" Draft legislation titled Credit Services Protection Act of 2017 Draft legislation titled Counter Terrorism and Illicit Finance Act Draft legislation titled Data Acquisition and Technology Accountability and Security Act Draft legislation directing the Securities and Exchange Commission to increase and align the smaller reporting company and nonaccelerated filer financial thresholds Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company Draft legislation to require the Securities and Exchange Commission to revise the definition of a qualifying portfolio company to include an emerging growth company, for purposes of the exemption from registration for venture capital fund advisers under the Investment Advisers Act of 1940 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 Potential legislation similar to H.R. 1090, Retail Investor Protection Act (114th Cong.) Potential legislation similar to H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 Proposed regulations on universal proxy (81 Fed. Reg. 79,122-79,186, November 10, 2016) 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) Federal Reserve, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Security Exchange Commission, Commodity Futures Trading Commission: Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds - Docket No. OCC-2018-0010 (OCC); Docket No. R-1608 (Federal Reserve); RIN 3064-AE67 (FDIC); File Number S7- 14-18 (SEC); RIN 3038-AE72 (CFTC) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements. Docket IDs: OCC-2018--0037 RIN 1557-AE56; Docket No. R-1628 RIN 7100-AF21 Nomination of Kathleen Kraninger to serve as Director of the Bureau of Consumer Financial Protection Nomination of Elad Roisman to serve as a Commissioner of the Securities and Exchange Commission Nomination of Dr. Dino Falaschetti to serve as Director of the Office of Financial Research Nomination of Jelena McWilliams to be Chair of the Federal Deposit Insurance Corporation Nomination of Kimberly Reed to serve as President of the Export-Import Bank of the United States (Ex-Im) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); implementation of the Jumpstart Our Business Startups Act (P.L. 112-106); implementation of the Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174); Executive Order 13772, Core Principles for Regulating the United States Financial System; Presidential Memorandum for the Secretary of the Treasury regarding Orderly Liquidation Authority; Basel III capital standards, bank capital, and liquidity reform; 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; political spending disclosures; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; Financial Stability Oversight Council (FSOC) reform; Department of Treasury review of FSOC determination and designation process; Federal Reserve: Enhanced Disclosure of the Models Used in the Federal Reserves Supervisory Stress Test, Docket No. OP-1586; Stress Testing Policy Statement, Docket No. OP-1587; Policy Statement on the Scenario Design Framework for Stress Testing, Docket No. OP-1588; Office of Financial Research transparency and accountability; reform of international standard setting bodies including Financial Stability Board, International Association of Insurance Supervisors and Basel Committee on Banking Supervision; Federal Reserve reform; Federal Reserve proposed guidance on supervisory expectation for boards of directors 2017-16735; proxy voting systems; Security Exchange Commission strategic plan; Security Exchange Commission Rule 701 Form S-8 reforms; Security Exchange Commission conflict mineral rule; Security Exchange Commission pay ratio rule; Security Exchange Commission Advisory Committee on Small and Emerging Companies; Security Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Security Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Security Exchange Commission FAST Act (P.L. 114-94) modernization and simplification of regulations S-K file no. S7-08-17; Security Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Security Exchange Commission auditor independence with respect to certain loans or debtor-creditor relationships file no. S7-10-18; Security 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; Security Exchange Commission proposal on the use of derivatives by registered investment companies and business development companies; Security Exchange Commission capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants and capital requirements for broker-dealers (File No. S7-08-12); Consumer Financial Protection Bureau trial disclosures and no action letter process; Public Company Accounting Oversight Board (PCAOB) draft strategic plan for 2018-2022; Federal Trade Commission competition and consumer protection in the 21st century hearings regarding common ownership; disclosure requirements and materiality; JOBS Act 3.0; Accounting standards developed by the Financial Accounting Standards Board, including the current expected credit loss (CECL) standard; potential legislation to create legal framework for venture exchange; potential legislation on anti-money laundering and Bank Secrecy Act reporting improvements; credit bureau issues; 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; small business lending; impact of prudential regulations on lending to small businesses by depository institutions; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; HUD proposed rulemaking regarding implementation of the Fair Housing Acts Disparate Impact Standard; Federal Trade Commission concerning Common Ownership; SEC proposed amendments to the Commissions Whistleblower Program rules; blockchain and fintech; adoption of the current expected credit loss accounting standard; proxy process, proxy advisory firms, and other related aspects of corporate governance
Client expense: $15,950,000 · 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 the Comptroller of the Currency (OCC), Office of the Vice President of the United States, Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), 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
2018 · fourth_quarter · Banking
H.R.4439, Modernizing Credit Opportunities Act of 2017; Committee on Foreign Investment in the US (CFIUS) reform; S 488, JOBS and Investor Confidence Act; HR 4311/S 2098, Foreign Investment Risk Review Modernization Act; HR 5756, to require SEC to adjust certain resubmission thresholds for shareholder proposals; HR 4015, Corporate Governance Reform & Transparency Act; Issues regarding financial technology
Client expense: $40,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), SENATE, Transportation, Dept of (DOT), Treasury, Dept of, U.S. International Trade Commission (ITC), 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
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: $830,000 · 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
H.R.1595, the Mutual Bank Capital Opportunity Act H.R. 3772, Expanding Proven Financing for American Employers Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals Swap dealer registration Asset Management
Client expense: $2,130,000 · Firm income: Not reported
Government targets: Consumer Financial Protection Bureau (CFPB), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Natl Economic Council (NEC), Office of Management & Budget (OMB), SENATE, Treasury, Dept of
2018 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 5756, re. Proxy Resubmission Thresholds Multiemployer Pension Reform 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 Shareholder Activism
Client expense: $2,840,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Centers For Medicare and Medicaid Services (CMS), Central Intelligence Agency (CIA), Commerce, Dept of (DOC), 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), 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), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Occupational Safety & Health Administration (OSHA), 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), 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), White House Office
2018 · third_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.
Client expense: Not reported · Firm income: $10,000
Government targets: Centers For Medicare and Medicaid Services (CMS), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), 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: $1,600,000 · 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 · third_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: $900,000 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Telecommunications & Information Administration (NTIA), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
GSE Reform Monitoring FHFA/FHLB Membership Housing Opportunity Mortgage Expansion Act (HR 2890, S.2361) Corporate Governance Investment Company Act of 1940, as amended through P.L. 112-90: Extension to mREITs. SEC Shareholder Proposals legislation (H.R. 5756) Expanding investor pariticpation in GSE credit risk sharing transactions Corporate Governance Reform and Transparency Act (H.R. 4015)
Client expense: $821,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of
2018 · third_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 General issues regarding usage of technology in the financial services industry, corporate governance, and thresholds for shareholder proposals.
Client expense: $1,440,000 · 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 · third_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.
Client expense: Not reported · Firm income: $9,000
Government targets: Centers For Medicare and Medicaid Services (CMS), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE
2018 · third_quarter · Financial Institutions/Investments/Securities
H.R. 10, Financial CHOICE Act of 2017 H.R. 21/S. 34, Midnight Rules Relief Act of 2017 H.R. 78, SEC Regulatory Accountability Act H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act H.R. 238, Commodity End-User Relief Act H.R. 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017 H.R. 1116, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 H.R. 1153, Mortgage Choice Act of 2017 H.R. 1219/S. 444, Supporting America's Innovators Act of 2017 H.R. 1257, Securities and Exchange Commission Overpayment Credit Act H.R. 1312/S. 416, Small Business Capital Formation Enhancement Act H.R. 1343, Encouraging Employee Ownership Act of 2017 H.R. 1457, Making Online Banking Initiation Legal and Easy (MOBILE) Act of 2017 H.R. 1585, Fair Investment Opportunities for Professional Experts Act H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017 H.R. 1645/S. 2126, Fostering Innovation Act of 2017 H.R. 1702, Small Business Development Centers Improvement Act of 2018 H.R. 2128, Due Process Restoration Act of 2017 H.R. 2201, Micro Offering Safe Harbor Act H.R. 2226/S. 2013, Portfolio Lending and Mortgage Access Act H.R. 2396, Privacy Notification Technical Clarification Act H.R. 2553, Taking Account of Bureaucrats Spending (TABS) Act of 2017 H.R. 2706, Financial Institution Customer Protection Act of 2017 H.R. 3089, Corporate Transparency Act of 2017 H.R. 3093, Investor Clarity and Bank Parity Act H.R. 3110, Financial Stability Oversight Council Insurance Member Continuity Act H.R. 3179, Transparency and Accountability for Business Standards Act H.R. 3299, Protecting Consumers' Access to Credit Act of 2017 H.R. 3312/S. 1893, Systemic Risk Designation Improvement Act of 2017 H.R. 3746/S. 2702, Business of Insurance Regulatory Reform Act of 2017 H.R. 3762, International Insurance Standards Act of 2017 H.R. 3857, Protecting Advice for Small Savers (PASS) Act of 2017 H.R. 3860, IRS Data Verification Modernization Act of 2017 H.R. 3903/S. 2347, Encouraging Public Offerings Act of 2017 H.R. 3911, Risk-Based Credit Examination Act H.R. 3948, Protection of Source Code Act H.R. 3972, Family Office Technical Correction Act of 2017 H.R. 3973, Market Data Protection Act of 2017 H.R. 3978, TRID Improvement Act of 2017 H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 H.R. 4061, Financial Stability Oversight Council Improvement Act of 2017 H.R. 4248, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals, and for other purposes H.R. 4263, Regulation A+ Improvement Act of 2017 H.R. 4267, Small Business Credit Availability Act H.R. 4279, Expanding Investment Opportunities Act H.R. 4281/S. 2953, Expanding Access to Capital for Rural Job Creators Act H.R. 4289, To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal certain disclosure requirements related to coal and mine safety H.R. 4292, Financial Institution Living Will Improvement Act of 2017 H.R. 4293, Stress Test Improvement Act of 2017 H.R. 4294, Prevention of Private Information Dissemination Act of 2017 H.R. 4296, To place requirements on operational risk capital requirements for banking organizations established by an appropriate Federal banking agency H.R. 4311, Foreign Investment Risk Review Modernization Act of 2017 H.R. 4519, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to resource extraction, and for other purposes H.R. 4529, Accelerating Access to Capital Act of 2017 H.R. 4537, International Insurance Standards Act of 2017 H.R. 4545, Financial Institutions Examination Fairness and Reform Act H.R. 4550, Practice of Law Technical Clarification Act of 2017 H.R. 4566, Alleviating Stress Test Burdens to Help Investors Act H.R. 4607, Comprehensive Regulatory Review Act H.R. 4659, To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives H.R. 4753, Federal Reserve Supervision Testimony Clarification Act H.R. 4771, Small Bank Holding Company Relief Act of 2018 H.R. 4790, Volcker Rule Regulatory Harmonization Act H.R. 4861, Ensuring Quality Unbiased Access to Loans (EQUAL) Act of 2018 H.R. 5036, Financial Technology Protection Act H.R. 5051, Public Company Registration Threshold Act H.R. 5054, Small Company Disclosure Simplification Act of 2018 H.R. 5059, State Insurance Regulation Preservation Act H.R. 5105/S. 2436, Better Utilization of Investments Leading to Development (BUILD) Act of 2018 H.R. 5192/S. 2498, Protecting Children from Identity Theft Act H.R. 5266, Financial Product Safety Commission Act of 2018 H.R. 5323, Derivatives Fairness Act H.R. 5534, Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5645, Standard Merger and Acquisition Reviews Through Equal Rules Act of 2018 H.R. 5749, Options Markets Stability Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals H.R. 5783, Cooperate with Law Enforcement Agencies and Watch Act of 2018 H.R. 5877, Main Street Growth Act H.R. 5970, Simplifying Disclosures for Investors Act H.R. 5999, Streamlining Communications for Investors Act H.R. 6021, Small Business Audit Correction Act of 2018 H.R. 6035, Streamlining Communications for Investors Act H.R. 6068, Counter Terrorism and Illicit Finance Act H.R. 6130, Helping Startups Continue to Grow Act H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act H.R. 6158, Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018 H.R. 6177, Developing and Empowering our Aspiring Leaders Act of 2018 H.R. 6319, Expanding Investment in Small Businesses Act H.R. 6320, Promoting Transparent Standards for Corporate Insiders Act H.R. 6321, Investment Adviser Regulatory Flexibility Improvement Act H.R. 6322, Enhancing Multi-Class Stock Disclosures Act H.R. 6324, Middle Market IPO Underwriting Cost Act S. 366, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 S. 462, Securities and Exchange Commission Overpayment Credit Act S. 488, JOBS and Investor Confidence Act of 2018 S. 536, Cybersecurity Disclosure Act of 2017 S. 1117, Consumer Financial Choice and Capital Markets Protection Act of 2017 S. 1241, Combating Money Laundering, Terrorist Financing, and Counterfeiting Act of 2017 S. 1454, True Incorporation Transparency for Law Enforcement (TITLE) Act S. 1463, Financial Stability Oversight Council Insurance Member Continuity Act S. 1717, Corporate Transparency Act of 2017 S. 1744, Brokaw Act S. 2098, Foreign Investment Risk Review Modernization Act of 2017 S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2499, A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority S. 2756, Fair Investment Opportunities for Professional Experts Act S. 2765, RBIC Advisers Relief Act of 2018 S. 3004, Small Business Audit Correction Act of 2018 S. 3421, Blue Sky Harmonization Act S. J. Res. 57, A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Indirect Auto Lending and Compliance with the Equal Credit Opportunity Act" Draft legislation titled Credit Services Protection Act of 2017 Draft legislation titled Counter Terrorism and Illicit Finance Act Draft legislation titled Data Acquisition and Technology Accountability and Security Act Draft legislation directing the Securities and Exchange Commission to increase and align the smaller reporting company and nonaccelerated filer financial thresholds Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company Draft legislation to require the Securities and Exchange Commission to revise the definition of a qualifying portfolio company to include an emerging growth company, for purposes of the exemption from registration for venture capital fund advisers under the Investment Advisers Act of 1940 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 Potential legislation similar to H.R. 1090, Retail Investor Protection Act (114th Cong.) Potential legislation similar to H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 Proposed regulations on universal proxy (81 Fed. Reg. 79,122-79,186, November 10, 2016) 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) Federal Reserve and the Office of the Comptroller of the Currency; Joint Notice of Proposed Rulemaking: Regulatory Capital Rules: Regulatory Capital, Enhanced Supplementary Leverage Ratio Standards for U.S. Global Systemically Important Bank Holding Companies and Certain of Their Subsidiary Insured Depository Institutions; Total Loss-Absorbing Capacity Requirements for U.S. Global Systemically Important Bank Holding Companies; Federal Reserve System Docket No. R-1604 and OCC Docket ID OCC-2018-0002 Nomination of Kathleen Kraninger to serve as Director of the Bureau of Consumer Financial Protection Nomination of Elad Roisman to serve as a Commissioner of the Securities and Exchange Commission Nomination of Dr. Dino Falaschetti to serve as Director of the Office of Financial Research Nomination of Jelena McWilliams to be Chair of the Federal Deposit Insurance Corporation Nomination of Kimberly Reed to serve as President of the Export-Import Bank of the United States (Ex-Im) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); implementation of the Jumpstart Our Business Startups Act (P.L. 112-106); implementation of the Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174, section 215); Executive Order 13772, Core Principles for Regulating the United States Financial System; Presidential Memorandum for the Secretary of the Treasury regarding Orderly Liquidation Authority; Basel III capital standards, bank capital, and liquidity reform; Consumer Financial Protection Bureau (CFPB) transparency and accountability; CFPB regulatory sandbox for disclosures; CFPB consumer complaint database; CFPB reform; anti-money laundering and Bank Secrecy Act (P.L. 91-508) improvements; political spending disclosures; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; Financial Stability Oversight Council (FSOC) reform; Department of Treasury review of FSOC determination and designation process; Federal Reserve: Enhanced Disclosure of the Models Used in the Federal Reserves Supervisory Stress Test, Docket No. OP-1586; Stress Testing Policy Statement, Docket No. OP-1587; Policy Statement on the Scenario Design Framework for Stress Testing, Docket No. OP-1588; Office of Financial Research transparency and accountability; reform of international standard setting bodies including Financial Stability Board, International Association of Insurance Supervisors and Basel Committee on Banking Supervision; Federal Reserve reform; Federal Reserve proposed guidance on supervisory expectation for boards of directors 2017-16735; proxy voting systems; Security Exchange Commission strategic plan; Security Exchange Commission Rule 701 Form S-8 reforms; Security Exchange Commission conflict mineral rule; Security Exchange Commission pay ratio rule; Security Exchange Commission Advisory Committee on Small and Emerging Companies; Security Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Security Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Security Exchange Commission FAST Act (P.L. 114-94) modernization and simplification of regulations S-K file no. S7-08-17; Security Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Security Exchange Commission auditor independence with respect to certain loans or debtor-creditor relationships file no. S7-10-18; Security 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; Security Exchange Commission proposal on the use of derivatives by registered investment companies and business development companies; Security Exchange Commission standards of conduct for investment advisers and broker-dealers; Public Company Accounting Oversight Board (PCAOB), including draft strategic plan for 2018-2022; Federal Trade Commission competition and consumer protection in the 21st century hearings regarding common ownership; disclosure requirements and materiality; JOBS Act 3.0; potential legislation to create legal framework for venture exchange; credit bureau issues; tailoring bank rules to reduce the burden on small, midsize, and regional banks; 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; small business lending; consolidated asset thresholds related to the Advanced Approaches capital framework, the net stable fund ratio rule, and the liquidity coverage ratio rule; impact of prudential regulations on lending to small businesses by depository institutions; testimony by the Vice Chairman for Supervision, Federal Reserve Board, to the House Committee on Financial Services and the Senate Committee on Banking, Housing, and Urban Affairs; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; HUD proposed rulemaking regarding implementation of the Fair Housing Acts Disparate Impact Standard; Federal Trade Commission concerning Common Ownership; SEC proposed amendments to the Commissions Whistleblower Program rules; blockchain and fintech
Client expense: $17,560,000 · Firm income: Not reported
Government targets: Agency for Toxic Substances & Disease Registry, 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 the Comptroller of the Currency (OCC), Office of the Vice President of the United States, Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), 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. Fish & Wildlife Service (USFWS), U.S. Trade Representative (USTR), White House Office
2018 · third_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, 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: $525,734 · 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 · third_quarter · Banking
H.R.4439, Modernizing Credit Opportunities Act of 2017; Committee on Foreign Investment in the US (CFIUS) reform; S 488, JOBS and Investor Confidence Act; HR 4311/S 2098, Foreign Investment Risk Review Modernization Act; HR 5756, to require SEC to adjust certain resubmission thresholds for shareholder proposals; HR 4015, Corporate Governance Reform & Transparency Act; Issues regarding financial technology
Client expense: $50,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), SENATE, Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
2018 · third_quarter · Financial Institutions/Investments/Securities
Derivatives End-Users Regulatory Compliance Issues H.R. 5756, re. Proxy Resubmission Thresholds Multiemployer Pension Reform 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 Shareholder Activism
Client expense: $2,850,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), 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), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Postal Regulatory Commission, 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
2018 · third_quarter · Financial Institutions/Investments/Securities
H.R.1595, the Mutual Bank Capital Opportunity Act H.R. 3772, Expanding Proven Financing for American Employers Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals Swap dealer registration Asset Management
Client expense: $2,130,000 · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Treasury, Dept of, White House Office
2018 · third_quarter · Banking
H.R. 1244 Credit Union Access to Supplemental Capital H.R. 1264 Community Financial Institutions Exemption Act H.R. 1426 Federal Savings Association Charter Flexibility Act H.R. 1948 Small Bank Holding Company Relief Act H.R. 1964 Community Mortgage Lender Regulatory Act of 2017 H.R. 2133 CLEAR Relief Act H.R. 2215 SAFE Act of 2017 H.R. 2226 The Portfolio Lending and Mortgage Access Act H.R. 2954 Home Mortgage Disclosure Adjustment Act H.R. 4015 The Corporate Governance Reform and Transparency Act H.R. 4648 Home Mortgage Reporting Relief Act H.R. 4771 Small Bank Holding Company Relief Act of 2018 H.R. 5515 Military Banking Provisions of the FY 2019 Defense Bill H.R. 5534 Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5756 SEC Shareholder Reforms H.R. 5783 Cooperate with Law Enforcement Agencies and Watch Act H.R. 6258 Community bank regulatory relief provisions and the postal banking amendment to the House FY 2019 Financial Services and General Government Appropriations Act H.R. 6743 Consumer Information Notification Act S. 1002 CLEAR Relief Act S. 1152 SAFE Banking Act S. 1284 Small Bank Holding Company Relief Act S. 1310 Home Mortgage Disclosure Adjustment Act S. 1499 A bill to increase from $10B to $50B the threshold figure at which regulated depository institutions are subject to direct examination and reporting requirements of the Bureau of Consumer Financial Protection, and for other purposes. S. 1571 National Flood Insurance Program Reauthorization Act of 2017 S. 2155 Economic Growth Regulatory Relief and Consumer Protection Act S. 2361 Housing Opportunity Mortgage Expansion Act S. 2490 TRID Improvement Act S. 2755 Postal Banking Act S. 2987 2019 National Defense Authorization Act Bank Secrecy Act/Anti-Money Laundering Rules/Legislation, including Beneficial Ownership Issue Bank Secrecy Act Reforms Call Report Streamlining Cannabis Banking Capital Access for Community Banks Capital Rules--Basel III, including treatment of commercial real estate loans, Small Bank Holding Company Policy Statement asset threshold and impact of tax reform on deferred tax assets/regulatory capital CFPB Data Aggregation CFPB Data Collection CFPB Overdraft CFPB Small Business Loan Data Collection Community Reinvestment Act Credit Union Business Lending Powers Credit Union Field of Membership Rules Credit Union Supplemental Capital Customer Due Diligence Rule Data Security and Breaches De Novo Bank Applications Durbin Interchange Amendment Economic Growth, Regulatory Relief and Consumer Protection Act Implementation Faster Payments Flood Insurance Reauthorization Home Mortgage Disclosure Act (HMDA) Regulations Housing Finance Reform Implementation of the Economic Growth, Regulatory Relief and Consumer Protection Act Industrial Loan Corporation Loophole/Exemption from Bank Holding Company Act/Nelnet (ILC) deposit insurance application Innovation Initiative (FinTech) Mortgage Lending Regulations/Reform Mortgage Originator Compensation Rules Mortgage Servicing Regulations Nomination of Michelle Bowman for the Federal Reserve Board of Governors (support) Nomination of Kathleen Kraninger to serve as the director of the Bureau of Consumer Financial Protection (support) Nomination of Kimberly Reed to serve as president of the Export-Import Bank of the United States (support) Postal Banking Public Banking Qualified Mortgages, Ability to Repay Rules Regulatory Burden Relief for Community Banks Regulatory and Tax Relief for Community Banks Small Dollar Lending Virtual Currency
Client expense: $760,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Natl Credit Union Administration (NCUA), Office of the Comptroller of the Currency (OCC), SENATE, Small Business Administration (SBA), Treasury, Dept of
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: $1,590,000 · 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 · Consumer Issues/Safety/Products
Best interest standard CFPB Office of Fair Lending and Equal Opportunity Funding of CFPB H.R. 3299, the "Protecting Consumers Access to Credit Act of 2017" HR 4439 -- Modernizing Credit Opportunities Act Legislation affecting Consumer Financial Protection Bureau staffing S. 2417 -- the Stopping Abuse & Fraud in Electronic (SAFE) Lending Act SEC fiduciary rule S.J. Res. 57, H.J. Res. 132 CRA for CFPB Guidance on Indirect Auto-Lending HR 6096 -- Reward Work Act S. 2605 -- Reward Work Act HR 5756 -- To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals Budd Discussion Draft (SEC R 002) HR 6035 -- Streamlining Communications for Investors Act HR 5970 -- Simplifying Disclosures for Investors Act HR 6130 -- Helping Startups Continue to Grow Act S.J. Res 56/H.J. 122 CRA for CFPB Payday Rule S. 387 -- Consumer Financial Protection Bureau Accountability Act of 2017 HR 1018 -- CFPB Constitutional Reform Act of 2017
Client expense: $80,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2018 · second_quarter · Financial Institutions/Investments/Securities
S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S.J. Res. 57 (Resolution of Disapproval of CFPB auto lending guidance) Community Reinvestment Act reform Bureau of Consumer Financial Protection inherited regulations Bank capital rules Banks stress tests Best interest standard CFPB Office of Fair Lending and Equal Opportunity Financial Technology ("Fintech") Funding of CFPB H.R. 1116, the "Taking Account of Institutions with Low Operation Risk Act of 2017" H.R. 1144, the Inclusive Prosperity Act H.R. 3299, the "Protecting Consumers Access to Credit Act of 2017" H.R. 3948, the "Protection of Source Code Act" H.R. 4293, the "Stress Test Improvement Act" H.R. 4545, the "Financial Institutions Examination Fairness and Reform Act" HR 4061 -- Financial Stability Oversight Council Improvement Act of 2017 HR 4439 -- Modernizing Credit Opportunities Act HR 4790 -- Volcker Rule Regulatory Harmonization Act HR 5749 -- Options Market Stability Act Legislation affecting Consumer Financial Protection Bureau staffing Nominations for SEC, CFTC, FDIC Protecting Consumers Access to Credit Act of 2017 (H.R. 3299) S. 1020, the Carried Interest Fairness Act S. 2155 -- Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2417 -- the Stopping Abuse & Fraud in Electronic (SAFE) Lending Act SEC fiduciary rule Substitute Amendment to S. 2155 S.J. Res. 57, H.J. Res. 132 CRA for CFPB Guidance on Indirect Auto-Lending Volcker Rule HR 6096 -- Reward Work Act S. 2605 -- Reward Work Act Brokaw bill HR 3861 -- Federal Insurance Office Reform Act of 2017 HR 5054 -- Small Company Disclosure Simplification Act of 2018 HR 5756 -- To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals HR 5877 -- Main Street Growth Act Budd Discussion Draft (SEC R 002) HR 6035 -- Streamlining Communications for Investors Act HR 5970 -- Simplifying Disclosures for Investors Act HR 6130 -- Helping Startups Continue to Grow Act Liquidity disclosures for funds Budget - FSGG Appropriations S.J. Res 56/H.J. 122 CRA for CFPB Payday Rule S. 387 -- Consumer Financial Protection Bureau Accountability Act of 2017 HR 1018 -- CFPB Constitutional Reform Act of 2017
Client expense: $521,294 · Firm income: Not reported
Government targets: Bureau of the Census, Commerce, Dept of (DOC), 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 Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Commission on Civil Rights
2018 · second_quarter · Financial Institutions/Investments/Securities
H.R. 10: Financial CHOICE Act of 2017; all provisions related to derivatives and transparency H.R. 4015: Corporate Governance Reform and Transparency Act of 2017; inquiry on content and intent of bill H.R. 4311: Foreign Investment Risk Review Modernization Act of 2017; all provisions H.R. 5040: Export Control Reform Act of 2018; all provisions H.R. 5756: To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals; inquiry on content and intent of bill S. 1983: United States Foreign Investment Review Act of 2017; all provisions S. 2098: Foreign Investment Risk Review Modernization Act of 2017; all provisions General Discussions Related to FIN (no specific Bill #): Proxy Advisory Firms
Client expense: $2,550,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Natl Economic Council (NEC), Natl Security Council (NSC), Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
2018 · second_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 General issues regarding usage of technology in the financial services industry, corporate governance, and thresholds for shareholder proposals.
Client expense: $1,810,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), 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 · second_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.
Client expense: Not reported · Firm income: $9,000
Government targets: Centers For Medicare and Medicaid Services (CMS), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE
2018 · second_quarter · Banking
H.R.4439, Modernizing Credit Opportunities Act of 2017; Committee on Foreign Investment in the US (CFIUS) reform; S 488, JOBS and Investor Confidence Act; HR 4311/S 2098, Foreign Investment Risk Review Modernization Act; HR 5756, to require SEC to adjust certain resubmission thresholds for shareholder proposals; HR 4015, Corporate Governance Reform & Transparency Act
Client expense: $90,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Natl Economic Council (NEC), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), SENATE, Transportation, Dept of (DOT), Treasury, Dept of, 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: $1,590,000 · 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
-S. 2155: Economic Growth, Regulatory Relief and Consumer Protection Act -H.R. 5756: To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals (opposition) -SEC conflict of interest proposed rule -proposed SEC restriction on the use of certain names and titles -H.R. 4061: Financial Stability Oversight Act -H.J. Res. 2: Balance Budget Amendment -H.R. 4293: Stress Test Improvement Act -H.R. 4790: Volker Rule Regulatory Harmonization Act -H.R. 3861: Federal Insurance Office Reform Act of 2017 -H.R. 5054: Small Company Disclosure Simplification Act of 2018 -H.R. 6068: Counter Terrorism and Illicit Finance Act -H.R. 5999: Streamlining Communications for Investors Act -H.R. 5749: Options Markets Stability Act -H.R. 5877: Main Street Growth Act
Client expense: $600,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), U.S. Trade Representative (USTR)
2018 · second_quarter · Financial Institutions/Investments/Securities
H.R.1595, the Mutual Bank Capital Opportunity Act H.R. 3772, Expanding Proven Financing for American Employers Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals Swap dealer registration Asset Management
Client expense: $2,500,000 · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Treasury, Dept of, White House Office
2018 · second_quarter · Banking
H.R. 1116 Tailor Act of 2017 H.R. 1244 Credit Union Access to Supplemental Capital H.R. 1264 Community Financial Institutions Exemption Act H.R. 1426 Federal Savings Association Charter Flexibility Act H.R. 1948 Small Bank Holding Company Relief Act H.R. 1964 Community Mortgage Lender Regulatory Act of 2017 H.R. 2133 CLEAR Relief Act H.R. 2148 Clarifying Commercial Real Estate Loans, treatment of loans under regulatory capital rules H.R. 2215 SAFE Act of 2017 H.R. 2226 The Portfolio Lending and Mortgage Access Act H.R. 2319 Consumer Financial Choice and Capital Markets Protection Act of 2017 H.R. 2570 Mortgage Fairness Act H.R. 2948 To amend the S.A.F.E. Mortgage Licensing Act of 2008 to provide a temporary license for loan originators transitioning between employers, and for other purposes H.R. 2954 Home Mortgage Disclosure Adjustment Act H.R. 3221 Securing Access to Affordable Mortgages Act H.R. 3299 Protecting Consumers Access to Credit Act H.R. 3971 Community Institution Mortgage Relief Act H.R. 3978 TRID Improvement Act H.R. 4545 The Financial Institutions Examination Fairness and Reform Act H.R. 4015 The Corporate Governance Reform and Transparency Act H.R. 4562 Community Bank Access to Capital Act of 2017 H.R. 4607 Comprehensive Regulatory Review Act H.R. 4648 Home Mortgage Reporting Relief Act H.R. 4771 Small Bank Holding Company Relief Act of 2018 H.R. 4790 The Volcker Rule Regulatory Harmonization Act H.R. 5155 John S. McCain National Defense Authorization Act for Fiscal Year 2019 - The Russell Amendment (Military Banking) H.R. 5534 Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5756 SEC Shareholder Reforms H.R. 5783 Cooperate with Law Enforcement Agencies and Watch Act S. 366 Tailor Act of 2017 S. 567 Federal Savings Association Charter Flexibility Act of 2017 S. 1002 CLEAR Relief Act S. 1152 SAFE Banking Act S. 1284 Small Bank Holding Company Relief Act S. 1310 Home Mortgage Disclosure Adjustment Act S. 1315 Relationship Lending Preservation Act of 2017 S. 1499 A bill to increase from $10B to $50B the threshold figure at which regulated depository institutions are subject to direct examination and reporting requirements of the Bureau of Consumer Financial Protection, and for other purposes. S. 1571 National Flood Insurance Program Reauthorization Act of 2017 S. 2155 Economic Growth Regulatory Relief and Consumer Protection Act Administration's Rescission Package--Funding for CDFI Fund Programs (Bank Enterprise Award and Capital Magnet Fund) S. 2361 Housing Opportunity Mortgage Expansion Act S. 2755 Postal Banking Act S. 2987 2019 National Defense Authorization Act S.J. Res 57 A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Indirect Auto Lending and Compliance with the Equal Credit Opportunity Act Bank Secrecy Act/Anti-Money Laundering Rules/Legislation, including Beneficial Ownership Issue Bank Secrecy Act Reforms Call Report Streamlining Cannabis Banking Capital Access for Community Banks Capital Rules--Basel III, including treatment of commercial real estate loans, Small Bank Holding Company Policy Statement asset threshold and impact of tax reform on deferred tax assets/regulatory capital CFPB Data Aggregation CFPB Data Collection CFPB Overdraft CFPB Reforms/Governance Structure CFPB Small Business Loan Data Collection Community Reinvestment Act Credit Union Business Lending Powers Credit Union Field of Membership Rules Credit Union Supplemental Capital Customer Due Diligence Rule Cybersecurity - Information Sharing Data Security and Breaches De Novo Bank Applications Durbin Interchange Amendment Economic Growth, Regulatory Relief and Consumer Protection Act Implementation Equifax Data Breach Faster Payments Flood Insurance Reauthorization Home Mortgage Disclosure Act (HMDA) Regulations Housing Finance Reform Industrial Loan Corporation Loophole/Exemption from Bank Holding Company Act/Square Financial Services Inc (ILC) deposit insurance application Innovation Initiative (FinTech) Interchange Mortgage Lending Regulations/Reform Mortgage Servicing Regulations Postal Banking Public Banking Qualified Mortgages, Ability to Repay Rules Regulatory Burden Relief for Community Banks Regulatory and Tax Relief for Community Banks SBA 7(a) Lending Limit Support for the nomination of Jelena McWilliams for FDIC Chairman Support for the nomination of Michelle Bowman for the Federal Reserve Board of Governors Virtual Currency
Client expense: $1,890,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Natl Credit Union Administration (NCUA), Office of the Comptroller of the Currency (OCC), SENATE, Small Business Administration (SBA), Treasury, Dept of
2018 · second_quarter · Financial Institutions/Investments/Securities
H.R. 5756, re. Proxy Resubmission Thresholds 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
Client expense: $1,790,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Council on Environmental Quality (CEQ), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Export-Import Bank of the United States (EXIM Bank), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Labor, Dept of (DOL), Natl Aeronautics & Space Administration (NASA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of Management & Budget (OMB), Office of the Vice President of the United States, SENATE, Small Business Administration (SBA), State Justice Institute, State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), White House Office
FHFA/FHLB Membership GSE Reform Monitoring Housing Opportunity Mortgage Expansion Act (HR 2890, S.2361) Expanding investor participation in GSE credit risk sharing transactions Dodd-Frank High Volatility CRE loans Corporate Governance Investment Company Act of 1940, as amended through P.L. 112-90: Extension to mREITs. SEC Shareholder Proposals legislation (H.R. 5756) Corporate Governance Reform and Transparency Act (H.R. 4015)
Client expense: $557,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of
2018 · second_quarter · Financial Institutions/Investments/Securities
H.R. 10, Financial CHOICE Act of 2017 H.R. 21/S. 34, Midnight Rules Relief Act of 2017 H.R. 78, SEC Regulatory Accountability Act H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act H.R. 238, Commodity End-User Relief Act H.R. 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017 H.R. 1116, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 H.R. 1153, Mortgage Choice Act of 2017 H.R. 1219/S. 444, Supporting America's Innovators Act of 2017 H.R. 1257, Securities and Exchange Commission Overpayment Credit Act H.R. 1312/S. 416, Small Business Capital Formation Enhancement Act H.R. 1343, Encouraging Employee Ownership Act of 2017 H.R. 1457, Making Online Banking Initiation Legal and Easy (MOBILE) Act of 2017 H.R. 1585, Fair Investment Opportunities for Professional Experts Act H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017 H.R. 1645/S. 2126, Fostering Innovation Act of 2017 H.R. 1702, Small Business Development Centers Improvement Act of 2018 H.R. 2201, Micro Offering Safe Harbor Act H.R. 2226/S. 2013, Portfolio Lending and Mortgage Access Act H.R. 2396, Privacy Notification Technical Clarification Act H.R. 2553, Taking Account of Bureaucrats Spending (TABS) Act of 2017 H.R. 2706, Financial Institution Customer Protection Act of 2017 H.R. 3089, Corporate Transparency Act of 2017 H.R. 3093, Investor Clarity and Bank Parity Act H.R. 3110, Financial Stability Oversight Council Insurance Member Continuity Act H.R. 3179, Transparency and Accountability for Business Standards Act H.R. 3299, Protecting Consumers' Access to Credit Act of 2017 H.R. 3312/S. 1893, Systemic Risk Designation Improvement Act of 2017 H.R. 3746/S. 2702, Business of Insurance Regulatory Reform Act of 2017 H.R. 3762, International Insurance Standards Act of 2017 H.R. 3857, Protecting Advice for Small Savers (PASS) Act of 2017 H.R. 3860, IRS Data Verification Modernization Act of 2017 H.R. 3903/S. 2347, Encouraging Public Offerings Act of 2017 H.R. 3911, Risk-Based Credit Examination Act H.R. 3948, Protection of Source Code Act H.R. 3972, Family Office Technical Correction Act of 2017 H.R. 3973, Market Data Protection Act of 2017 H.R. 3978, TRID Improvement Act of 2017 H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 H.R. 4028/S. 1982, Promoting Responsible Oversight of Transactions and Examinations of Credit Technology (PROTECT) Act of 2017 H.R. 4061, Financial Stability Oversight Council Improvement Act of 2017 H.R. 4248, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals, and for other purposes H.R. 4263, Regulation A+ Improvement Act of 2017 H.R. 4267, Small Business Credit Availability Act H.R. 4279, Expanding Investment Opportunities Act H.R. 4281/S. 2953, Expanding Access to Capital for Rural Job Creators Act H.R. 4289, To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal certain disclosure requirements related to coal and mine safety H.R. 4292, Financial Institution Living Will Improvement Act of 2017 H.R. 4293, Stress Test Improvement Act of 2017 H.R. 4294, Prevention of Private Information Dissemination Act of 2017 H.R. 4296, To place requirements on operational risk capital requirements for banking organizations established by an appropriate Federal banking agency H.R. 4311, Foreign Investment Risk Review Modernization Act of 2017 H.R. 4519, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to resource extraction, and for other purposes H.R. 4529, Accelerating Access to Capital Act of 2017 H.R. 4537, International Insurance Standards Act of 2017 H.R. 4545, Financial Institutions Examination Fairness and Reform Act H.R. 4550, Practice of Law Technical Clarification Act of 2017 H.R. 4566, Alleviating Stress Test Burdens to Help Investors Act H.R. 4607, Comprehensive Regulatory Review Act H.R. 4659, To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives H.R. 4771, Small Bank Holding Company Relief Act of 2018 H.R. 4790, Volcker Rule Regulatory Harmonization Act H.R. 4861, Ensuring Quality Unbiased Access to Loans (EQUAL) Act of 2018 H.R. 5051, Public Company Registration Threshold Act H.R. 5054, Small Company Disclosure Simplification Act of 2018 H.R. 5059, State Insurance Regulation Preservation Act H.R. 5105/S. 2436, Better Utilization of Investments Leading to Development (BUILD) Act of 2018 H.R. 5192/S. 2498, Protecting Children from Identity Theft Act H.R. 5266, Financial Product Safety Commission Act of 2018 H.R. 5323, Derivatives Fairness Act H.R. 5645, Standard Merger and Acquisition Reviews Through Equal Rules Act of 2018 H.R. 5749, Options Markets Stability Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals H.R. 5783, Cooperate with Law Enforcement Agencies and Watch Act of 2018 H.R. 5877, Main Street Growth Act H.R. 5970, Simplifying Disclosures for Investors Act H.R. 5999, Streamlining Communications for Investors Act H.R. 6035, Streamlining Communications for Investors Act H.R. 6068, Counter Terrorism and Illicit Finance Act H.R. 6130, Helping Startups Continue to Grow Act H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act S. 327, Fair Access to Investment Research Act of 2017 S. 366, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 S. 462, Securities and Exchange Commission Overpayment Credit Act S. 488, Encouraging Employee Ownership Act S. 536, Cybersecurity Disclosure Act of 2017 S. 1117, Consumer Financial Choice and Capital Markets Protection Act of 2017 S. 1241, Combating Money Laundering, Terrorist Financing, and Counterfeiting Act of 2017 S. 1284, Community Bank Relief Act S. 1454, True Incorporation Transparency for Law Enforcement (TITLE) Act S. 1463, Financial Stability Oversight Council Insurance Member Continuity Act S. 1717, Corporate Transparency Act of 2017 S. 1744, Brokaw Act S. 2098, Foreign Investment Risk Review Modernization Act of 2017 S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2282, Bankruptcy Venue Reform Act of 2018 S. 2499, A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority S. 2756, Fair Investment Opportunities for Professional Experts Act S. 2765, RBIC Advisers Relief Act of 2018 S. 3004, Small Business Audit Correction Act of 2018 S. J. Res. 57, A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Indirect Auto Lending and Compliance with the Equal Credit Opportunity Act" Draft legislation titled Credit Services Protection Act of 2017 Draft legislation titled Counter Terrorism and Illicit Finance Act Draft legislation titled Data Acquisition and Technology Accountability and Security Act Draft legislation directing the Securities and Exchange Commission to increase and align the smaller reporting company and nonaccelerated filer financial thresholds Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company Draft legislation to require the Securities and Exchange Commission to revise the definition of a qualifying portfolio company to include an emerging growth company, for purposes of the exemption from registration for venture capital fund advisers under the Investment Advisers Act of 1940 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 Potential legislation similar to H.R. 1090, Retail Investor Protection Act (114th Cong.) Potential legislation similar to H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 Final regulation on definition of the term "fiduciary"; conflict of interest rule--retirement investment advice (81 Fed. Reg. 20,945-21,002, April 8, 2016) Proposed regulations on universal proxy (81 Fed. Reg. 79,122-79,186, November 10, 2016) Joint advance notice of proposed rulemaking on enhanced cyber risk management standards (81 Fed. Reg. 74,315-74,326, October 26, 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. 67,220-67,239, September 30, 2016) 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) Request for Information Regarding Bureau Civil Investigative Demands and Associated Processes (83 Fed. Reg. 3,686-3,687, January 26, 2018) Request for Information Regarding Bureau Rules and Practices for Adjudication Proceedings (83 Fed. Reg. 5,055-5,056, February 5, 2018) Request for Information Regarding Bureau Enforcement Processes (83 Fed. Reg. 5,999-6,000, February 12, 2018) Request for Information Regarding Bureau External Engagements (83 Fed. Reg. 8,247-8,249, February 26, 2018) Request for Information Regarding Bureau Public Reporting Practices of Consumer Complaint Information (83 Fed. Reg. 9,499-9,501, March 6, 2018) Request for Information Regarding Bureau Rulemaking Processes (83 Fed. Reg. 10,437-10,440, March 9, 2018) Request for Information Regarding the Bureaus Adopted Regulations and New Rulemaking Authorities (83 Fed. Reg. 12,286-12,289, March 21, 2018) Request for Information Regarding the Bureaus Inherited Regulations and Inherited Rulemaking Authorities (83 Fed. Reg. 12,881-12,883, March 26, 2018) Request for Information Regarding the Bureaus Supervision Program (83 Fed. Reg. 7,166-7,168, February 20, 2018) Federal Reserve and the Office of the Comptroller of the Currency; Joint Notice of Proposed Rulemaking: Regulatory Capital Rules: Regulatory Capital, Enhanced Supplementary Leverage Ratio Standards for U.S. Global Systemically Important Bank Holding Companies and Certain of Their Subsidiary Insured Depository Institutions; Total Loss-Absorbing Capacity Requirements for U.S. Global Systemically Important Bank Holding Companies; Federal Reserve System Docket No. R-1604 and OCC Docket ID OCC-2018-0002 Nomination of Governor Jerome Powell to serve as Chairman of the Board of Governors of the Federal Reserve System Nomination of Jelena McWilliams to be Chair of the Federal Deposit Insurance Corporation Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); implementation of the Jumpstart Our Business Startups Act (P.L. 112-106); Executive Order 13772, Core Principles for Regulating the United States Financial System; Presidential Memorandum for the Secretary of the Treasury regarding Orderly Liquidation Authority; Basel III capital standards, bank capital, and liquidity reform; Consumer Financial Protection Bureau (CFPB) transparency and accountability; CFPB consumer complaint database; CFPB reform; anti-money laundering and Bank Secrecy Act (P.L. 91-508) improvements; Notice of Stakeholder Consultations on Responsible Conflict Mineral Sourcing; Financial Industry Regulatory Authority (FINRA) engagement initiative; political spending disclosures; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; Financial Stability Oversight Council (FSOC) reform; Department of Treasury review of FSOC determination and designation process; Federal Reserve: Enhanced Disclosure of the Models Used in the Federal Reserves Supervisory Stress Test, Docket No. OP-1586; Stress Testing Policy Statement, Docket No. OP-1587; Policy Statement on the Scenario Design Framework for Stress Testing, Docket No. OP-1588; Office of Financial Research transparency and accountability; reform of international standard setting bodies including Financial Stability Board, International Association of Insurance Supervisors and Basel Committee on Banking Supervision; Federal Reserve reform; Federal Reserve proposed guidance on supervisory expectation for boards of directors 2017-16735; proxy voting systems; Security Exchange Commission conflict mineral rule; Security Exchange Commission pay ratio rule; Security Exchange Commission Advisory Committee on Small and Emerging Companies; Security Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Security Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Security Exchange Commission FAST Act (P.L. 114-94) modernization and simplification of regulations S-K file no. S7-08-17; disclosure requirements and materiality; JOBS Act 3.0; potential legislation to create legal framework for venture exchange; credit bureau issues; tailoring bank rules to reduce the burden on small, midsize, and regional banks; 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; small business lending; consolidated asset thresholds related to the Advanced Approaches capital framework, the net stable fund ratio rule, and the liquidity coverage ratio rule; impact of prudential regulations on lending to small businesses by depository institutions; testimony by the Vice Chairman for Supervision, Federal Reserve Board, to the House Committee on Financial Services and the Senate Committee on Banking, Housing, and Urban Affairs; blockchain and fintech
Client expense: $15,190,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), 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), 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 the Comptroller of the Currency (OCC), 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. Trade Representative (USTR), Vice President of the U.S., White House Office
2018 · second_quarter · Banking
Consumer financial protections, oppose S 2155-Economic growth, regulatory reform and consumer protection act, HR 4061-Financial stability Oversight Council Improvement act of 2017, HR 4293-Stress Test Improvement Act of 2017, HR 4790-Volcker rule regulatory Harmonization act, Defense of CFPB, consumer lobby day, HR 4439-Modernizing credit opportunity act, Hr 5749-to require the appropriate Federal banking agencies to increase the risk sensitivity of the capital treatment of certain centrally cleared exchange listed options, derivatives and for other purposes, Hr 5793-Housing choice voucher mobility demonstration act of 2018, HR 3861-Federal insurance office reform act of 2017, HR 5054-Small company disclosure simplification act of 2018, HR 5756-To require the SEC to adjust certain resubmission thresholds for shareholder proposals, HR 5877-Main Street Growth Act, HR 5970- To require the SEC to carry out a cost benefit analysis of the use of form 10-Q and other purposes, HR-6130 Helping startups continue to grow act, Stop the auto lending guidance CRA, Fiduciary rule, SEC nomination, disclosure to investors, Oppose the Crapo Bill-Dodd Frank rollbacks, SEC political disclosure, support progressive SEC nominees,
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)
2018 · second_quarter · Banking
Small company capital formation issues, capital markets reform to encourage more US IPOs; 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, 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: $608,791 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Commodity Futures Trading Commission (CFTC), 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