Cybersecurity Disclosure Act of 2019

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 748/ S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3624/S. 1843 Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, Investor Protection and Capital Markets Fairness Act H.R. 4492/S. 733, Consumer Financial Choice and Capital Markets Protection Act of 2019 H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 H.R. 5494, Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2019 H.R. 5929, Shareholder Political Transparency Act of 2020 H.R. 5930, Workforce Investment Disclosure Act of 2020 H.R. 6116, Consumer Financial Protection Commission Act H.R. 6210, Uyghur Forced Labor Prevention Act H.R. 6270, Uyghur Forced Labor Disclosure Act of 2020 H.R. 6371, To amend the Securities Exchange Act of 1934 to require issuers to disclose risks related to global pandemics, and for other purposes H.R. 6375, To amend the Securities Exchange Act of 1934 to require issuers to make disclosures related to supply chain disruption risk, and for other purposes H.R. 6790, Business Borrowers Protection Act H.R. 6934, To amend the CARES Act to require the uniform treatment of nationally recognized statistical rating organizations under certain programs carried out in response to the COVID-19 emergency, and for other purposes H.R. 7000, Holding Foreign Companies Accountable Act H.R. 7617, Defense, Commerce, Justice, Science, Energy and Water Development, Financial Services and General Government, Labor, Health and Human Services, Education, Transportation, Housing, and Urban Development Appropriations Act, 2021 H.R. 7668, Financial Services and General Government Appropriations Act, 2021 S. 452, Fostering Innovation Act of 2019 S. 471, Litigation Funding Transparency Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 S. 3441, Fair Hiring in Banking Act S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act S. 3990, Financial Product Safety Commission Act of 2020 S. 4129, Lifting Our Communities through Advance Liquidity (LOCAL) Infrastructure Act S. 4159, E-SIGN Modernization Act of 2020 Draft legislation titled U.S. Investors and National Security Transparency Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Draft legislation relating to supplementary leverage ratio treatment of client initial margin Draft legislation to amend the Investment Advisers Act to require the SEC to establish a process to follow when it obtains source code or other sensitive information from investment advisers Draft legislation relating to the underwriting of automobile insurance Draft legislation COVID-19 Restitution Assistance Fund for Victims of Securities Violations Act Draft legislation to enhance civil penalties under the Federal securities laws for violations related to an attempt to exploit investors related to the COVID-19 crisis Draft legislation to temporarily prohibit federal financial regulators from adopting rules not directly related to responding to the coronavirus response through the length of the crisis Draft legislation to apply certain terms and conditions on making direct loans under the CARES Act to certain purchases of debt by the Federal Government, and for other purposes Potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934 Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934 Nomination of Mark Calabria to be Director of the Federal Housing Finance Agency 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 advisor regulation (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 12, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (84 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 8, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Proposed rule for amendments to Rule 2-01, qualifications of accountants (85 Fed. Reg. 2,332-2,354, January 15, 2020) Proposed rule amending the accredited investor definition (85 Fed. Reg. 2,574-2,613, January 15, 2020) Proposed rule on disclosure of payments by resource extraction issuers (85 Fed. Reg. 2,522-2,571, January 15, 2020) Electronic consent based Social Security number verification (84 Fed. Reg. 66,704-66,705, December 5, 2019) Proposed rule on permissible interest on loans that are sold, assigned, or otherwise transferred (84 Fed. Reg. 64,229-64,232, November 21, 2019) Proposed rule on remittance transfers under the Electronic Fund Transfer Act (Regulation E) (84 Fed. Reg. 67,132-67,167, December 6, 2019) Request for information regarding the integrated mortgage disclosures under the Real Estate Settlement Procedures Act (Regulation X) and the Truth in Lending Act (Regulation Z) rule assessment (84 Fed. Reg. 64,436-64,441, November 22, 2019) Various issues relating to CFPB regulatory sandbox for disclosures; Potential closing of the financial markets in response to the coronavirus pandemic Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; Public Company Accounting Oversight Board (PCAOB); CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; CFPB policy on no-action letters and compliance assistance sandbox policy; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Practices Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance action plan and incorporating ESG factors into financial services; EU solvency II review; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap; amending the accredited investor definition; amendments to exemptions from the proxy rules for proxy voting advice; disclosure of payments by resource extraction issuers; PCAOB concept release on potential approach to revisions to PCAOB quality control standards; procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8; proposed amendments to Rule 2-01, qualifications of accountants; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; revised draft eCBSV user agreement and related materials; credit risk retention-notice of commencement of review; issues relating to federal interest rate authority; comments on margin requirements for non-centrally cleared swaps margin - impact of COVID-19 on initial margin phase-in; Main Street New Loan Facility and Main Street Expanded Loan Facility; Managements Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information; Securities and Exchange Commission Fixed Income Market Structure Advisory Committee; Federal Deposit Insurance Corporation: Unsafe and Unsound Banking Practices: Brokered Deposits; Furthering Economic Stabilization by Encouraging Financial Institutions to Work Constructively with All Borrowers Affected by COVID-19; Liquidity Programs Coronavirus; PCAOB Request for Comment: Interim Analysis of Critical Audit Matter Requirements; Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation, and Capital Acquisition Broker Rules in Response to Regulation Best Interest; Federal Reserve Board request for public feedback proposal to expand its Main Street Lending Program to provide access to credit for nonprofit organizations; Regulatory Capital Rule: Revised Transition of the Current Expected Credit Losses (CECL) Methodology for Allowances; Request for Further Clarifications and Modifications to Risk-Based Guidance; RFI to Assist the Taskforce on Federal Consumer Financial Law-CFPB; Sec. 171 DFA Collins Amendment; Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles; EU renewed sustainable finance strategy consultation; access to capital for minority owned businesses; CFPB comment on changes to Regulation Z to facilitate the upcoming LIBOR transition; debt collection practices (Regulation F): supplemental notice of proposed rulemaking; European Supervisory Authorities consultation paper on ESG Disclosures; FDIC request for information on standard setting and voluntary certification for models and third-party providers of technology and other services; opposing credit suppression; margin and capital requirements for covered swap entities interim final rule; margin requirements for uncleared swaps for swap dealers and major swap participants; national banks and federal savings associations as lenders; proposed rule on financial factors in selecting plan investments; qualified mortgage definition under the Truth In Lending Act (Regulation Z); response to OCC ANPR on National Bank and Federal Savings Association digital activities; proposed rule reporting threshold for institutional investment managers; Housing and Urban Development implementation of the Fair Housing Acts disparate impact standard; FDIC notice of proposed rulemaking on interest rate restrictions on institutions that are less than well capitalized; federal regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; FDIC, incorporation of existing statement of policy regarding requests for participation in the affairs of an insured depository institution by convicted individuals; SEC: Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation and Capital Acquisition Broker Rules in Response to Regulation Best Interest; SEC: Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; SEC: Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; SEC: Proposed Rule Change on Form 13F Reporting Threshold for Institutional Investment Managers; development of an international insurance capital standard by the International Association of Insurance Supervisors; development of a new program to replace revenue due to business interruption or event cancelation; International Organization of Securities Commissions (IOSCO) consultation on leverage metrics; potential legislation dealing with third party litigation financing and lawsuit lending

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

Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Bureau of Citizenship & Immigration Services (BCIS), Bureau of Industry and Security (BIS), Bureau of Reclamation, 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 Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Energy Regulatory Commission (FERC), Federal Motor Carrier Safety Administration, Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Interior, Dept of (DOI), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), 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), White House Office

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 748/S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 4482, Protecting America's Food and Agriculture Act of 2019 H.R. 4978, Online Privacy Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 H.R. 5680/S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 H.R. 6074, Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 H.R. 6201, Families First Coronavirus Response Act H.R. 6395/S. 4049, National Defense Authorization Act for Fiscal Year 2021 H.R. 7331, National Cyber Director Act H.R. 7669, Department of Homeland Security Appropriations Act, 2021 H.R. 8048, State and Local IT Modernization and Cybersecurity Act S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 S. 3712, Cybersecurity Competitions to Yield Better Efforts to Research the Latest Exceptionally Advanced Problems (Cyber Leap) Act of 2020 S. 3905, Intelligence Authorization Act for Fiscal Year 2021 S. 3928, Continuity of the Economy Act of 2020 S. 3929, National Guard Cyber Interoperability Act Draft legislation on motor vehicles including cybersecurity Draft legislation titled United States Consumer Data Privacy Act of 2019 Draft legislation titled Cyber SAFETY Act Draft legislation titled Data Security and Breach Notification Act of 2020 Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, including sections 889(a)(1)(A) and (a)(1)(B) and Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; Office of the Director of National Intelligence (ODNI)s cyber customer services; Bureau of Industry and Security, temporary general license; cyberspace solarium commission report and recommendations; Department of Commerce proposed rule securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.1.0; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; National Institute of Standards and Technology (NIST) NISTIR 8259, recommendations for IoT device Manufacturers: Foundational Activities and Core Device Cybersecurity Capability Baseline (2nd Draft); National Defense Authorization Act for Fiscal Year 2019 and related regulations (P.L. 115-232); National Security Council (NSC), U.S. international standards engagement; Executive Order 13920, Securing the United States Bulk-Power System; implementation of Defense Production Act of 1950 (P.L. 81-774); security clearance reform legislation; potential privacy legislation, including data security; issues related to coronavirus; Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agencys (CISA) recent Guidance on the Essential Critical Infrastructure Workforce: Ensuring Community and National Resilience in COVID-19 Response; procurement issues; issues related to China; printed circuit boards

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 748/ S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3624/S. 1843 Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, Investor Protection and Capital Markets Fairness Act H.R. 4492/S. 733, Consumer Financial Choice and Capital Markets Protection Act of 2019 H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 H.R. 5494, Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2019 H.R. 5929, Shareholder Political Transparency Act of 2020 H.R. 5930, Workforce Investment Disclosure Act of 2020 H.R. 6116, Consumer Financial Protection Commission Act H.R. 6210, Uyghur Forced Labor Prevention Act H.R. 6270, Uyghur Forced Labor Disclosure Act of 2020 H.R. 6371, To amend the Securities Exchange Act of 1934 to require issuers to disclose risks related to global pandemics, and for other purposes H.R. 6375, To amend the Securities Exchange Act of 1934 to require issuers to make disclosures related to supply chain disruption risk, and for other purposes H.R. 6790, Business Borrowers Protection Act H.R. 6934, To amend the CARES Act to require the uniform treatment of nationally recognized statistical rating organizations under certain programs carried out in response to the COVID-19 emergency, and for other purposes H.R. 7000, Holding Foreign Companies Accountable Act H.R. 7617, Defense, Commerce, Justice, Science, Energy and Water Development, Financial Services and General Government, Labor, Health and Human Services, Education, Transportation, Housing, and Urban Development Appropriations Act, 2021 H.R. 7668, Financial Services and General Government Appropriations Act, 2021 S. 452, Fostering Innovation Act of 2019 S. 471, Litigation Funding Transparency Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 S. 3441, Fair Hiring in Banking Act S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act S. 3990, Financial Product Safety Commission Act of 2020 S. 4129, Lifting Our Communities through Advance Liquidity (LOCAL) Infrastructure Act S. 4159, E-SIGN Modernization Act of 2020 Draft legislation titled U.S. Investors and National Security Transparency Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Draft legislation relating to supplementary leverage ratio treatment of client initial margin Draft legislation to amend the Investment Advisers Act to require the SEC to establish a process to follow when it obtains source code or other sensitive information from investment advisers Draft legislation relating to the underwriting of automobile insurance Draft legislation COVID-19 Restitution Assistance Fund for Victims of Securities Violations Act Draft legislation to enhance civil penalties under the Federal securities laws for violations related to an attempt to exploit investors related to the COVID-19 crisis Draft legislation to temporarily prohibit federal financial regulators from adopting rules not directly related to responding to the coronavirus response through the length of the crisis Draft legislation to apply certain terms and conditions on making direct loans under the CARES Act to certain purchases of debt by the Federal Government, and for other purposes Potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934 Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934 Nomination of Mark Calabria to be Director of the Federal Housing Finance Agency 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 advisor regulation (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 12, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (84 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 8, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Proposed rule for amendments to Rule 2-01, qualifications of accountants (85 Fed. Reg. 2,332-2,354, January 15, 2020) Proposed rule amending the accredited investor definition (85 Fed. Reg. 2,574-2,613, January 15, 2020) Proposed rule on disclosure of payments by resource extraction issuers (85 Fed. Reg. 2,522-2,571, January 15, 2020) Electronic consent based Social Security number verification (84 Fed. Reg. 66,704-66,705, December 5, 2019) Proposed rule on permissible interest on loans that are sold, assigned, or otherwise transferred (84 Fed. Reg. 64,229-64,232, November 21, 2019) Proposed rule on remittance transfers under the Electronic Fund Transfer Act (Regulation E) (84 Fed. Reg. 67,132-67,167, December 6, 2019) Request for information regarding the integrated mortgage disclosures under the Real Estate Settlement Procedures Act (Regulation X) and the Truth in Lending Act (Regulation Z) rule assessment (84 Fed. Reg. 64,436-64,441, November 22, 2019) Various issues relating to CFPB regulatory sandbox for disclosures; Potential closing of the financial markets in response to the coronavirus pandemic Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; Public Company Accounting Oversight Board (PCAOB); CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; CFPB policy on no-action letters and compliance assistance sandbox policy; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Practices Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance action plan and incorporating ESG factors into financial services; EU solvency II review; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap; amending the accredited investor definition; amendments to exemptions from the proxy rules for proxy voting advice; disclosure of payments by resource extraction issuers; PCAOB concept release on potential approach to revisions to PCAOB quality control standards; procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8; proposed amendments to Rule 2-01, qualifications of accountants; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; revised draft eCBSV user agreement and related materials; credit risk retention-notice of commencement of review; issues relating to federal interest rate authority; comments on margin requirements for non-centrally cleared swaps margin - impact of COVID-19 on initial margin phase-in; Main Street New Loan Facility and Main Street Expanded Loan Facility; Managements Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information; Securities and Exchange Commission Fixed Income Market Structure Advisory Committee; Federal Deposit Insurance Corporation: Unsafe and Unsound Banking Practices: Brokered Deposits; Furthering Economic Stabilization by Encouraging Financial Institutions to Work Constructively with All Borrowers Affected by COVID-19; Liquidity Programs Coronavirus; PCAOB Request for Comment: Interim Analysis of Critical Audit Matter Requirements; Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation, and Capital Acquisition Broker Rules in Response to Regulation Best Interest; Federal Reserve Board request for public feedback proposal to expand its Main Street Lending Program to provide access to credit for nonprofit organizations; Regulatory Capital Rule: Revised Transition of the Current Expected Credit Losses (CECL) Methodology for Allowances; Request for Further Clarifications and Modifications to Risk-Based Guidance; RFI to Assist the Taskforce on Federal Consumer Financial Law-CFPB; Sec. 171 DFA Collins Amendment; Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles; EU renewed sustainable finance strategy consultation; access to capital for minority owned businesses; CFPB comment on changes to Regulation Z to facilitate the upcoming LIBOR transition; debt collection practices (Regulation F): supplemental notice of proposed rulemaking; European Supervisory Authorities consultation paper on ESG Disclosures; FDIC request for information on standard setting and voluntary certification for models and third-party providers of technology and other services; opposing credit suppression; margin and capital requirements for covered swap entities interim final rule; margin requirements for uncleared swaps for swap dealers and major swap participants; national banks and federal savings associations as lenders; proposed rule on financial factors in selecting plan investments; qualified mortgage definition under the Truth In Lending Act (Regulation Z); response to OCC ANPR on National Bank and Federal Savings Association digital activities; proposed rule reporting threshold for institutional investment managers; Housing and Urban Development implementation of the Fair Housing Acts disparate impact standard; FDIC notice of proposed rulemaking on interest rate restrictions on institutions that are less than well capitalized; federal regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; FDIC, incorporation of existing statement of policy regarding requests for participation in the affairs of an insured depository institution by convicted individuals; SEC: Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation and Capital Acquisition Broker Rules in Response to Regulation Best Interest; SEC: Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; SEC: Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; SEC: Proposed Rule Change on Form 13F Reporting Threshold for Institutional Investment Managers; development of an international insurance capital standard by the International Association of Insurance Supervisors; development of a new program to replace revenue due to business interruption or event cancelation; International Organization of Securities Commissions (IOSCO) consultation on leverage metrics; potential legislation dealing with third party litigation financing and lawsuit lending

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 748/S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 4482, Protecting America's Food and Agriculture Act of 2019 H.R. 4978, Online Privacy Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 H.R. 5680/S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 H.R. 6074, Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 H.R. 6201, Families First Coronavirus Response Act H.R. 6395/S. 4049, National Defense Authorization Act for Fiscal Year 2021 H.R. 7331, National Cyber Director Act H.R. 7669, Department of Homeland Security Appropriations Act, 2021 H.R. 8048, State and Local IT Modernization and Cybersecurity Act S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 S. 3712, Cybersecurity Competitions to Yield Better Efforts to Research the Latest Exceptionally Advanced Problems (Cyber Leap) Act of 2020 S. 3905, Intelligence Authorization Act for Fiscal Year 2021 S. 3928, Continuity of the Economy Act of 2020 S. 3929, National Guard Cyber Interoperability Act Draft legislation on motor vehicles including cybersecurity Draft legislation titled United States Consumer Data Privacy Act of 2019 Draft legislation titled Cyber SAFETY Act Draft legislation titled Data Security and Breach Notification Act of 2020 Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, including sections 889(a)(1)(A) and (a)(1)(B) and Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; Office of the Director of National Intelligence (ODNI)s cyber customer services; Bureau of Industry and Security, temporary general license; cyberspace solarium commission report and recommendations; Department of Commerce proposed rule securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.1.0; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; National Institute of Standards and Technology (NIST) NISTIR 8259, recommendations for IoT device Manufacturers: Foundational Activities and Core Device Cybersecurity Capability Baseline (2nd Draft); National Defense Authorization Act for Fiscal Year 2019 and related regulations (P.L. 115-232); National Security Council (NSC), U.S. international standards engagement; Executive Order 13920, Securing the United States Bulk-Power System; implementation of Defense Production Act of 1950 (P.L. 81-774); security clearance reform legislation; potential privacy legislation, including data security; issues related to coronavirus; Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agencys (CISA) recent Guidance on the Essential Critical Infrastructure Workforce: Ensuring Community and National Resilience in COVID-19 Response; procurement issues; issues related to China; printed circuit boards

-HR 43 - Cyber Vulnerability Disclosure Reporting Act - all provisions related to cable. -HR 502 - Fight Illicit Networks and Detect Trafficking Act - all provisions related to cable. -HR 602 - Telecommunications Denial Order Enforcement Act - all provisions related to cable. -HR 704 - Fair Trade with China Enforcement Act - all provisions related to cable. -HR 1668 - IoT Cybersecurity Improvement Act of 2019 - all provisions related to cable. -HR 1731 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -HR 2545 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -HR 3532 - China Technology Transfer Control Act of 2019 - all provisions related to cable. -HR 4461 - Network Security Information Sharing Act of 2019 - all provisions related to cable. -HR 4782 - National Commission on Online Platforms and Homeland Security Act - all provisions related to cable. -HR 4792 - Cyber Shield Act of 2019 - all provisions related to cable. -HR 4973 - Trusting Commercial Communications Networks Act of 2019 - all provisions related to cable. -HR 5394 - Strengthening State and Local Cybersecurity Defenses Act - all provisions related to cable. -HR 5573 - Preventing Real Online Threats Endangering Children Today (PROTECT) Kids Act - all provisions related to cable. -HR 5698 - Promoting Secure 5G Act of 2020 - all provisions related to cable. -HR 6624 - Utilizing Strategic Allied Telecommunications Act of 2020 - all provisions related to cable. -HR 6677 - Application Privacy, Protection, and Security Act of 2020 - all provisions related to cable. -HR 6969 - Telling Everyone the Location of data Leaving the U.S. Act - all provisions related to cable. -HR 7530 - Protecting Students from Cybercrimes Act - all provisions related to cable. -HR 7891 - Lawful Access to Encrypted Data Act - all provisions related to cable. -HR 7915 - Protecting America through Information Sharing Act - all provisions related to cable. -HR 7998 - NIST COVID-19 Cybersecurity Act - all provisions related to cable. -HR 8000 - Ensuring Network Security Act - all provisions related to cable. -HR 8223 - Cyber Essentials Act - all provisions related to cable. -S 2 - Fair Trade with China Enforcement Act - all provisions related to cable. -S 29 - To establish the Office of Critical Technologies and Security, and for other purposes - all provisions related to cable. -S 335 - ZTE Enforcement Review and Oversight Act - all provisions related to cable. -S 429 - Cyber Security Exchange Act - all provisions related to cable. -S 592 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -S 734 - Internet of Things Cybersecurity Improvement Act of 2019 - all provisions related to cable. -S 1065 - State Cyber Resiliency Act - all provisions related to cable. -S 1092 - Sanction Entities in China for Undermining Rules, Exploiting Intellectual Property Act of 2019 - all provisions related to cable. -S 1366 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -S 2117 - Huawei Prohibition Act of 2019 - all provisions related to cable. -S 2318 - Advancing Cybersecurity Diagnostics and Mitigation Act - all provisions related to cable. -S 2607 - Drone Integration and Zoning Act - all provisions related to cable. -S 2664 - Cyber Shield Act of 2019 - all provisions related to cable. -S 2889 - National Security and Personal Data Protection Act of 2019 - all provisions related to cable. -S 2904 - Identifying Outputs of Generative Adversarial Networks Act - all provisions related to cable. -S 3153 - A bill to prohibit the sharing of United States intelligence with countries that permit the operation of Huawei fifth generation telecommunications technology within their borders - all provisions related to cable. -S 3242 - Safeguarding Americans' Private Records Act of 2020 - all provisions related to cable. -S 3394 - Network Security Trade Act of 2020 - all provisions related to cable. -S 3717 - Spectrum IT Modernization Act of 2020 - all provisions related to cable. -S 3820 - Open Technology Fund Authorization Act - all provisions related to cable. -S 3836 - Securing Our Skies Against Chinese Technology Act of 2020 - all provisions related to cable. -S 3850 - Equitable Data Collection and Disclosure on COVID-19 Act - all provisions related to cable. -S 3861 - A bill to establish privacy requirements for operators of infectious disease exposure notification services - all provisions related to cable. -S 4049 - National Defense Authorization Act for Fiscal Year 2021- all provisions related to cable. -S 4051 - A bill to improve the ability of law enforcement agencies to access encrypted data, and for other purposes - all provisions related to cable. -S 4499 - COVID-19 Misinformation and Disinformation Task Force Act of 2020 - all provisions related to cable. -S 4732 - A bill to conduct a study on the spread of COVID-19-related disinformation and misinformation on the internet and social media platforms, and for other purposes - all provisions related to cable.

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 748/S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 4482, Protecting America's Food and Agriculture Act of 2019 H.R. 4978, Online Privacy Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 H.R. 5680/S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 H.R. 6074, Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 H.R. 6201, Families First Coronavirus Response Act H.R. 6395/S. 4049, National Defense Authorization Act for Fiscal Year 2021 H.R. 7331, National Cyber Director Act H.R. 7669, Department of Homeland Security Appropriations Act, 2021 H.R. 8048, State and Local IT Modernization and Cybersecurity Act S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 S. 3712, Cybersecurity Competitions to Yield Better Efforts to Research the Latest Exceptionally Advanced Problems (Cyber Leap) Act of 2020 S. 3905, Intelligence Authorization Act for Fiscal Year 2021 S. 3928, Continuity of the Economy Act of 2020 S. 3929, National Guard Cyber Interoperability Act Draft legislation on motor vehicles including cybersecurity Draft legislation titled United States Consumer Data Privacy Act of 2019 Draft legislation titled Cyber SAFETY Act Draft legislation titled Data Security and Breach Notification Act of 2020 Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, including sections 889(a)(1)(A) and (a)(1)(B) and Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; Office of the Director of National Intelligence (ODNI)s cyber customer services; Bureau of Industry and Security, temporary general license; cyberspace solarium commission report and recommendations; Department of Commerce proposed rule securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.1.0; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; National Institute of Standards and Technology (NIST) NISTIR 8259, recommendations for IoT device Manufacturers: Foundational Activities and Core Device Cybersecurity Capability Baseline (2nd Draft); National Defense Authorization Act for Fiscal Year 2019 and related regulations (P.L. 115-232); National Security Council (NSC), U.S. international standards engagement; Executive Order 13920, Securing the United States Bulk-Power System; implementation of Defense Production Act of 1950 (P.L. 81-774); security clearance reform legislation; potential privacy legislation, including data security; issues related to coronavirus; Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agencys (CISA) recent Guidance on the Essential Critical Infrastructure Workforce: Ensuring Community and National Resilience in COVID-19 Response; procurement issues; issues related to China; printed circuit boards

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 748/ S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3624/S. 1843 Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, Investor Protection and Capital Markets Fairness Act H.R. 4492/S. 733, Consumer Financial Choice and Capital Markets Protection Act of 2019 H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 H.R. 5494, Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2019 H.R. 5929, Shareholder Political Transparency Act of 2020 H.R. 5930, Workforce Investment Disclosure Act of 2020 H.R. 6116, Consumer Financial Protection Commission Act H.R. 6210, Uyghur Forced Labor Prevention Act H.R. 6270, Uyghur Forced Labor Disclosure Act of 2020 H.R. 6371, To amend the Securities Exchange Act of 1934 to require issuers to disclose risks related to global pandemics, and for other purposes H.R. 6375, To amend the Securities Exchange Act of 1934 to require issuers to make disclosures related to supply chain disruption risk, and for other purposes H.R. 6790, Business Borrowers Protection Act H.R. 6934, To amend the CARES Act to require the uniform treatment of nationally recognized statistical rating organizations under certain programs carried out in response to the COVID-19 emergency, and for other purposes H.R. 7000, Holding Foreign Companies Accountable Act H.R. 7617, Defense, Commerce, Justice, Science, Energy and Water Development, Financial Services and General Government, Labor, Health and Human Services, Education, Transportation, Housing, and Urban Development Appropriations Act, 2021 H.R. 7668, Financial Services and General Government Appropriations Act, 2021 S. 452, Fostering Innovation Act of 2019 S. 471, Litigation Funding Transparency Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 S. 3441, Fair Hiring in Banking Act S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act S. 3990, Financial Product Safety Commission Act of 2020 S. 4129, Lifting Our Communities through Advance Liquidity (LOCAL) Infrastructure Act S. 4159, E-SIGN Modernization Act of 2020 Draft legislation titled U.S. Investors and National Security Transparency Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Draft legislation relating to supplementary leverage ratio treatment of client initial margin Draft legislation to amend the Investment Advisers Act to require the SEC to establish a process to follow when it obtains source code or other sensitive information from investment advisers Draft legislation relating to the underwriting of automobile insurance Draft legislation COVID-19 Restitution Assistance Fund for Victims of Securities Violations Act Draft legislation to enhance civil penalties under the Federal securities laws for violations related to an attempt to exploit investors related to the COVID-19 crisis Draft legislation to temporarily prohibit federal financial regulators from adopting rules not directly related to responding to the coronavirus response through the length of the crisis Draft legislation to apply certain terms and conditions on making direct loans under the CARES Act to certain purchases of debt by the Federal Government, and for other purposes Potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934 Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934 Nomination of Mark Calabria to be Director of the Federal Housing Finance Agency 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 advisor regulation (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 12, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (84 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 8, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Proposed rule for amendments to Rule 2-01, qualifications of accountants (85 Fed. Reg. 2,332-2,354, January 15, 2020) Proposed rule amending the accredited investor definition (85 Fed. Reg. 2,574-2,613, January 15, 2020) Proposed rule on disclosure of payments by resource extraction issuers (85 Fed. Reg. 2,522-2,571, January 15, 2020) Electronic consent based Social Security number verification (84 Fed. Reg. 66,704-66,705, December 5, 2019) Proposed rule on permissible interest on loans that are sold, assigned, or otherwise transferred (84 Fed. Reg. 64,229-64,232, November 21, 2019) Proposed rule on remittance transfers under the Electronic Fund Transfer Act (Regulation E) (84 Fed. Reg. 67,132-67,167, December 6, 2019) Request for information regarding the integrated mortgage disclosures under the Real Estate Settlement Procedures Act (Regulation X) and the Truth in Lending Act (Regulation Z) rule assessment (84 Fed. Reg. 64,436-64,441, November 22, 2019) Various issues relating to CFPB regulatory sandbox for disclosures; Potential closing of the financial markets in response to the coronavirus pandemic Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; Public Company Accounting Oversight Board (PCAOB); CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; CFPB policy on no-action letters and compliance assistance sandbox policy; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Practices Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance action plan and incorporating ESG factors into financial services; EU solvency II review; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap; amending the accredited investor definition; amendments to exemptions from the proxy rules for proxy voting advice; disclosure of payments by resource extraction issuers; PCAOB concept release on potential approach to revisions to PCAOB quality control standards; procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8; proposed amendments to Rule 2-01, qualifications of accountants; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; revised draft eCBSV user agreement and related materials; credit risk retention-notice of commencement of review; issues relating to federal interest rate authority; comments on margin requirements for non-centrally cleared swaps margin - impact of COVID-19 on initial margin phase-in; Main Street New Loan Facility and Main Street Expanded Loan Facility; Managements Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information; Securities and Exchange Commission Fixed Income Market Structure Advisory Committee; Federal Deposit Insurance Corporation: Unsafe and Unsound Banking Practices: Brokered Deposits; Furthering Economic Stabilization by Encouraging Financial Institutions to Work Constructively with All Borrowers Affected by COVID-19; Liquidity Programs Coronavirus; PCAOB Request for Comment: Interim Analysis of Critical Audit Matter Requirements; Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation, and Capital Acquisition Broker Rules in Response to Regulation Best Interest; Federal Reserve Board request for public feedback proposal to expand its Main Street Lending Program to provide access to credit for nonprofit organizations; Regulatory Capital Rule: Revised Transition of the Current Expected Credit Losses (CECL) Methodology for Allowances; Request for Further Clarifications and Modifications to Risk-Based Guidance; RFI to Assist the Taskforce on Federal Consumer Financial Law-CFPB; Sec. 171 DFA Collins Amendment; Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles; EU renewed sustainable finance strategy consultation; access to capital for minority owned businesses; CFPB comment on changes to Regulation Z to facilitate the upcoming LIBOR transition; debt collection practices (Regulation F): supplemental notice of proposed rulemaking; European Supervisory Authorities consultation paper on ESG Disclosures; FDIC request for information on standard setting and voluntary certification for models and third-party providers of technology and other services; opposing credit suppression; margin and capital requirements for covered swap entities interim final rule; margin requirements for uncleared swaps for swap dealers and major swap participants; national banks and federal savings associations as lenders; proposed rule on financial factors in selecting plan investments; qualified mortgage definition under the Truth In Lending Act (Regulation Z); response to OCC ANPR on National Bank and Federal Savings Association digital activities; proposed rule reporting threshold for institutional investment managers; Housing and Urban Development implementation of the Fair Housing Acts disparate impact standard; FDIC notice of proposed rulemaking on interest rate restrictions on institutions that are less than well capitalized; federal regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; FDIC, incorporation of existing statement of policy regarding requests for participation in the affairs of an insured depository institution by convicted individuals; SEC: Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation and Capital Acquisition Broker Rules in Response to Regulation Best Interest; SEC: Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; SEC: Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; SEC: Proposed Rule Change on Form 13F Reporting Threshold for Institutional Investment Managers; development of an international insurance capital standard by the International Association of Insurance Supervisors; development of a new program to replace revenue due to business interruption or event cancelation; International Organization of Securities Commissions (IOSCO) consultation on leverage metrics; potential legislation dealing with third party litigation financing and lawsuit lending

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019 -H.R. 8215 - Improving Digital Identity act of 2020 (Foster)

Client expense: $600,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Treasury, Dept of

H.R. 2, Investing in a New Vision for the Environment and Surface Transportation in America (INVEST) in America Act H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 748/S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 2968/S. 2474, Department of Defense Appropriations Act, 2020, including provisions relating to operational cybersecurity H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 4217, State and Local Cybersecurity Improvement Act H.R. 4482, Protecting America's Food and Agriculture Act of 2019 H.R. 4978, Online Privacy Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 H.R. 5273, Securing America's Ports Act H.R. 5680/S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 H.R. 5823, State and Local Cybersecurity Improvement Act H.R. 6074, Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 H.R. 6201, Families First Coronavirus Response Act H.R. 6395/S. 4049, National Defense Authorization Act for Fiscal Year 2021 H.R. 6800, Health and Economic Recovery Omnibus Emergency Solutions (HEROES) Act H.R. 7331, National Cyber Director Act S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 1846, State and Local Government Cybersecurity Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 2775, Harvesting American Cybersecurity Knowledge through Education (HACKED) Act of 2019 S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 S. 3712, Cybersecurity Competitions to Yield Better Efforts to Research the Latest Exceptionally Advanced Problems (Cyber Leap) Act of 2020 S. 3928, Continuity of the Economy Act of 2020 S. 3929, National Guard Cyber Interoperability Act Draft legislation on motor vehicles including cybersecurity Draft legislation on cybersecurity tax credit Draft legislation titled Cyber Collaborative Operations (Cyber Co-op) Act Draft legislation titled United States Consumer Data Privacy Act of 2019 Draft legislation titled Cyber SAFETY Act Proposed rule regarding remote identification of unmanned aircraft systems (84 Fed. Reg. 72,438-72,524, December 31, 2019) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, including sections 889(a)(1)(A) and (a)(1)(B) and Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Security; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; Office of the Director of National Intelligence (ODNI)s cyber customer services; Bureau of Industry and Security final rule, addition of entities to the entity list; Bureau of Industry and Security, temporary general license, extension of validity; Bureau of Industry and Security, future extension of temporary general license (TGL); Commerce, Justice, Science appropriations; cyberspace solarium commission report and recommendations; coronavirus and COVID-19 issues including critical workforce; Department of Commerce proposed rule securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.1.0; Department of Homeland Security report on combating trafficking in counterfeit and pirated goods; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; Executive Order 13904 ensuring safe & lawful e-commerce for US consumers, businesses, government supply chains, and intellectual property rights; Federal Trade Commission (FTC), Fair and Accurate Credit Transactions Act of 2003 (P.L. 108-159), regulatory flexibility National Institute of Standards and Technology (NIST) NISTIR 8259, recommendations for IoT device Manufacturers: Foundational Activities and Core Device Cybersecurity Capability Baseline (2nd Draft); inquiries to various federal agencies on supply chain disruptions due to COVID-19; National Defense Authorization Act for Fiscal Year 2019 and related regulations (P.L. 115-232); National Defense Authorization Act for Fiscal Year 2020 (P.L. 116-92); National Security Council (NSC), U.S. international standards engagement; National Telecommunications and Information Administration (NTIA), software component transparency; legislation related to section 889 of the National Defense Authorization Act for Fiscal Year 2019 (P.L. 115-232); proposed rulemakings on Modernization of the Customs Brokers Regulations and Elimination of Customs Broker District Permit Fee; Fiscal Year 2021 Transportation, Housing and Urban Development, and Related Agencies Appropriations; Executive Order 13920, Securing the United States Bulk-Power System; Defense Production Act of 1950 (P.L. 81-774); security clearance reform legislation; potential privacy legislation, including data security; issues related to coronavirus; Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agencys (CISA) recent Guidance on the Essential Critical Infrastructure Workforce: Ensuring Community and National Resilience in COVID-19 Response; procurement issues; issues related to China

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3351, Financial Services and General Government Appropriations Act, 2020 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3623/ S. 2075, Climate Risk Disclosure Act of 2019 H.R. 3624 Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, To amend the Securities Exchange Act of 1934 to allow the Securities and Exchange Commission to seek and Federal courts to grant disgorgement of unjust enrichment, and for other purposes H.R. 4492/S733, Consumer Financial Choice and Capital Markets Protection Act of 2019 H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 H.R. 5494, Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2019 H.R. 5929, Shareholder Political Transparency Act of 2020 H.R. 5930, Workforce Investment Disclosure Act of 2020 H.R. 6116, Consumer Financial Protection Commission Act H.R. 6371, To amend the Securities Exchange Act of 1934 to require issuers to disclose risks related to global pandemics, and for other purposes H.R. 6375, To amend the Securities Exchange Act of 1934 to require issuers to make disclosures related to supply chain disruption risk, and for other purposes H.R. 6551, CARES Act Section 4014 Technical Corrections Act H.R. 6790, Business Borrowers Protection Act H.R. 6934, To amend the CARES Act to require the uniform treatment of nationally recognized statistical rating organizations under certain programs carried out in response to the COVID-19 emergency, and for other purposes H.R. 7000, Holding Foreign Companies Accountable Act S. 452, Fostering Innovation Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 S. 2563, Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH) Act S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act S. 3990, A bill to amend the Consumer Financial Protection Act of 2010 to make the Bureau of Consumer Financial Protection an independent Financial Product Safety Commission, and for other purposes Draft legislation titled Primary Market Corporate Credit Facility Draft legislation titled Rulemaking Suspension Draft legislation titled Increase Penalties for COVID-related Securities Law Violations Draft legislation titled COVID-19 Restitution Assistance Fund for Victims of Securities Violations Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Draft legislation relating to supplementary leverage ratio treatment of client initial margin Draft legislation to amend the Investment Advisers Act to require the SEC to establish a process to follow when it obtains source code or other sensitive information from investment advisers Draft legislation relating to the underwriting of automobile insurance Draft legislation COVID-19 Restitution Assistance Fund for Victims of Securities Violations Act Draft legislation to enhance civil penalties under the Federal securities laws for violations related to an attempt to exploit investors related to the COVID-19 crisis Draft legislation to temporarily prohibit federal financial regulators from adopting rules not directly related to responding to the coronavirus response through the length of the crisis Draft legislation to apply certain terms and conditions on making direct loans under the CARES Act to certain purchases of debt by the Federal Government, and for other purposes Potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934 Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934 Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 23, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Proposed rule for amendments to Rule 2-01, qualifications of accountants (85 Fed. Reg. 2,332-2,354, January 15, 2020) Proposed rule amending the accredited investor definition (85 Fed. Reg. 2,574-2,613, January 15, 2020) Proposed rule on disclosure of payments by resource extraction issuers (85 Fed. Reg. 2,522-2,571, January 15, 2020) Electronic consent based Social Security number verification (84 Fed. Reg. 66,704-66,705, December 5, 2019) Proposed rule on permissible interest on loans that are sold, assigned, or otherwise transferred (84 Fed. Reg. 64,229-64,232, November 21, 2019) Proposed rule on remittance transfers under the Electronic Fund Transfer Act (Regulation E) (84 Fed. Reg. 67,132-67,167, December 6, 2019) Request for information regarding the integrated mortgage disclosures under the Real Estate Settlement Procedures Act (Regulation X) and the Truth in Lending Act (Regulation Z) rule assessment (84 Fed. Reg. 64,436-64,441, November 22, 2019) Various issues relating CFPB regulatory sandbox for disclosures; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Public Company Accounting Oversight Board (PCAOB); potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); CFPB policy on no-action letters and compliance assistance sandbox policy; qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance and incorporating ESG factors into financial services; EU solvency II review; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap; amending the accredited investor definition; amendments to exemptions from the proxy rules for proxy voting advice; disclosure of payments by resource extraction issuers; PCAOB concept release on potential approach to revisions to PCAOB quality control standards; procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8; proposed amendments to Rule 2-01, qualifications of accountants; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; revised draft eCBSV user agreement and related materials; credit risk retention-notice of commencement of review; issues relating to federal interest rate authority; comments on margin requirements for non-centrally cleared swaps margin - impact of COVID-19 on initial margin phase-in; issues relating to potential closing of the financial markets in response to the coronavirus pandemic; Main Street New Loan Facility and Main Street Expanded Loan Facility; Managements Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information; Securities and Exchange Commission Fixed Income Market Structure Advisory Committee; Federal Deposit Insurance Corporation: Unsafe and Unsound Banking Practices: Brokered Deposits; Furthering Economic Stabilization by Encouraging Financial Institutions to Work Constructively with All Borrowers Affected by COVID-19; Liquidity Programs Coronavirus; PCAOB Request for Comment: Interim Analysis of Critical Audit Matter Requirements; Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation, and Capital Acquisition Broker Rules in Response to Regulation Best Interest; Federal Reserve Board request for public feedback proposal to expand its Main Street Lending Program to provide access to credit for nonprofit organizations; Regulatory Capital Rule: Revised Transition of the Current Expected Credit Losses (CECL) Methodology for Allowances; Request for Further Clarifications and Modifications to Risk-Based Guidance; RFI to Assist the Taskforce on Federal Consumer Financial Law-CFPB; Sec. 171 DFA Collins Amendment; Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles; Federal Reserve and Treasury to Establish a Short Term Receivable Facility (Fed 13(3) Facility Accounts Receivable); Housing and Urban Development implementation of the Fair Housing Acts disparate impact standard; FDIC notice of proposed rulemaking on interest rate restrictions on institutions that are less than well capitalized; federal regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; FDIC, incorporation of existing statement of policy regarding requests for participation in the affairs of an insured depository institution by convicted individuals; SEC: Proposed Rule Change to FINRAs Suitability, Non-Cash Compensation and Capital Acquisition Broker Rules in Response to Regulation Best Interest; SEC: Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit; SEC: Proposed Rule Change to Align Certain MSRB Rules to Securities and Exchange Act Rule 15l-1, Regulation Best Interest; development of an insurance capital standard by the International Association of Insurance Supervisors; International Organization of Securities Commissions (IOSCO) consultation on leverage metrics; utility liquidity issues resulting from the pandemic

-HR 43 - Cyber Vulnerability Disclosure Reporting Act - all provisions related to cable. -HR 502 - Fight Illicit Networks and Detect Trafficking Act - all provisions related to cable. -HR 602 - Telecommunications Denial Order Enforcement Act - all provisions related to cable. -HR 704 - Fair Trade with China Enforcement Act - all provisions related to cable. -HR 1668 - IoT Cybersecurity Improvement Act of 2019 - all provisions related to cable. -HR 1731 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -HR 2545 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -HR 3532 - China Technology Transfer Control Act of 2019 - all provisions related to cable. -HR 3737 - Foreign Manufacturers Legal Accountability Act of 2019 - all provisions related to cable. -HR 4461 - Network Security Information Sharing Act of 2019 - all provisions related to cable. -HR 4782 - National Commission on Online Platforms and Homeland Security Act - all provisions related to cable. -HR 4792 - Cyber Shield Act of 2019 - all provisions related to cable. -HR 4973 - Trusting Commercial Communications Networks Act of 2019 - all provisions related to cable. -HR 5394 - Strengthening State and Local Cybersecurity Defenses Act - all provisions related to cable. -HR 5573 - Preventing Real Online Threats Endangering Children Today (PROTECT) Kids Act - all provisions related to cable. -HR 5698 - Promoting Secure 5G Act of 2020 - all provisions related to cable. -HR 6624 - Utilizing Strategic Allied Telecommunications Act of 2020 - all provisions related to cable. -HR 6677 - Application Privacy, Protection, and Security Act of 2020 - all provisions related to cable. -HR 6938 - Advancing Blockchain Act - all provisions related to cable. -HR 6943 - Advancing Unmanned Delivery Services Act - all provisions related to cable. -HR 6969 - Telling Everyone the Location of data Leaving the U.S. Act - all provisions related to cable. -S 2 - Fair Trade with China Enforcement Act - all provisions related to cable. -S 29 - To establish the Office of Critical Technologies and Security, and for other purposes - all provisions related to cable. -S 335 - ZTE Enforcement Review and Oversight Act - all provisions related to cable. -S 429 - Cyber Security Exchange Act - all provisions related to cable. -S 592 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -S 732 - AMBER Alert Nationwide Act of 2019 - all provisions related to cable. -S 734 - Internet of Things Cybersecurity Improvement Act of 2019 - all provisions related to cable. -S 1065 - State Cyber Resiliency Act - all provisions related to cable. -S 1092 - Sanction Entities in China for Undermining Rules, Exploiting Intellectual Property Act of 2019 - all provisions related to cable. -S 1366 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -S 2117 - Huawei Prohibition Act of 2019 - all provisions related to cable. -S 2318 - Advancing Cybersecurity Diagnostics and Mitigation Act - all provisions related to cable. -S 2607 - Drone Integration and Zoning Act - all provisions related to cable. -S 2664 - Cyber Shield Act of 2019 - all provisions related to cable. -S 2730 - Drone Advisory Committee for the 21st Century Act - all provisions related to cable. -S 2889 - National Security and Personal Data Protection Act of 2019 - all provisions related to cable. -S 2904 - Identifying Outputs of Generative Adversarial Networks Act - all provisions related to cable. -S 3153 - A bill to prohibit the sharing of United States intelligence with countries that permit the operation of Huawei fifth generation telecommunications technology within their borders - all provisions related to cable. -S 3242 - Safeguarding Americans' Private Records Act of 2020 - all provisions related to cable. -S 3394 - Network Security Trade Act of 2020 - all provisions related to cable. -S 3717 - Spectrum IT Modernization Act of 2020 - all provisions related to cable. -S 3820 - Open Technology Fund Authorization Act - all provisions related to cable. -S 3836 - Securing Our Skies Against Chinese Technology Act of 2020 - all provisions related to cable. -S 3850 - Equitable Data Collection and Disclosure on COVID-19 Act - all provisions related to cable. -S 3861 - A bill to establish privacy requirements for operators of infectious disease exposure notification services - all provisions related to cable. -S 3862 - A bill to increase the penalties applicable under the Federal Trade Commission Act during the COVID-19 emergency, and for other purposes - all provisions related to cable. -S 4049 - National Defense Authorization Act for Fiscal Year 2021 - all provisions related to cable. -S 4051 - A bill to improve the ability of law enforcement agencies to access encrypted data, and for other purposes - all provisions related to cable. -SConRes 10 - A concurrent resolution recognizing that Chinese telecommunications companies such as Huawei and ZTE pose serious threats to the national security of the United States and its allies - all provisions related to cable.

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $430,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Treasury, Dept of

H.R. 1018 - Improving Corporate Governance Through Diversity Act of 2019; entire bill H.R. 1423 - the Forced Arbitration Injustice Repeal Act; entire bill H.R. 1595 - Secure and Fair Enforcement Banking Act of 2019 or the SAFE Banking Act of 2019; provisions relating to provision of services to legitimate state-approved businesses H.R. 1731 - Cybersecurity Disclosure Act of 2019; entire bill H.R. 1815 - SEC Disclosure Effectiveness Testing Act; entire bill H.R. 1876 - Senior Security Act of 2019; entire bill H.R. 2513 - Corporate Transparency Act of 2019; entire bill H.R. 2534 - Insider Trading Prohibition Act; entire bill H.R. 3623 - Climate Risk Disclosure Act of 2019; entire bill H.R. 4242 - Greater Accountability in Pay Act of 2019; entire bill H.R. 4329 - ESG Disclosure Simplification Act of 2019; entire bill H.R. 4335 - 8-K Trading Gap Act of 2019; entire bill H.R. 4344 - the Investor Protection and Capital Markets Fairness Act; entire bill H.R. 4476 - Financial Transparency Act; entire bill H.R. 5050 - Protecting Consumers Access to Credit Act; entire bill H.R. 5084 - Improving Corporate Governance Through Diversity Act; entire bill H.R. 5322 - Ensuring Diversity in Community Banking Act of 2019 H.R. 5336 - Investor Choice Act of 2019; entire bill H.R. 5929 - Shareholder Political Transparency Act of 2020; entire bill H.R. 5930 - Workforce Investment Disclosure Act; entire bill S. 603 - Financial Stability Oversight Council Improvement Act of 2019; entire bill S. 1200 - Secure and Fair Enforcement Banking Act of 2019 or the SAFE Banking Act of 2019; provisions relating to provision of services to a legitimate marijuana-related business S. 2391 - Stock Buyback Reform and Worker Dividend Act of 2019; provisions relating to stock buyback S. 2563 - The ILLICIT CASH Act; provisions relating to money laundering and beneficial ownership S. 3456 - Consumer Data Privacy and Security Act of 2020; entire bill Not Yet Introduced: Wyden Proposal to Fix Broken Tax Code, Equalize Treatment of Wages and Wealth, Protect Social Security Not Yet Introduced: Bipartisan Privacy bill sponsored by Reps. Cathy McMorris-Rodgers & Rep. Jan Schakowsky Not Yet Introduced: Diverse Investment Advisors Act Not Yet Introduced: Consumer Data Privacy Act sponsored by Senator Roger Wicker; provisions including those relating to data collection, privacy and protection of data, algorithms, definitions, control, enforcement and preemption Not Yet Introduced: CFTC Reauthorization; provisions relating to investment advisor commodity pool operator registration

-HR 43 - Cyber Vulnerability Disclosure Reporting Act - all provisions related to cable. -HR 502 - Fight Illicit Networks and Detect Trafficking Act (FIND Trafficking) - all provisions related to cable. -HR 602 - Telecommunications Denial Order Enforcement Act - all provisions related to cable. -HR 704 - Fair Trade with China Enforcement Act - all provisions related to cable. -HR 1668 - IoT Cybersecurity Improvement Act of 2019 - all provisions related to cable. -HR 1731 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -HR 2130 - State Cyber Resiliency Act - all provisions related to cable. -HR 2545 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -HR 2830 - Drone Backlog Reduction Act - all provisions related to cable. -HR 3270 - Active Cyber Defense Certainty Act (ACDC) - all provisions related to cable. -HR 3484 - DHS Rotational Cybersecurity Program Act of 2019 - all provisions related to cable. -HR 3532 - China Technology Transfer Control Act of 2019- all provisions related to cable. -HR 3737 - Foreign Manufacturers Legal Accountability Act of 2019 - all provisions related to cable. -HR 4189 - Homeland and Cyber Threat Act - all provisions related to cable. -HR 4461 - Network Security Information Sharing Act of 2019 - all provisions related to cable. -HR 4782 - National Commission on Online Platforms and Homeland Security Act - all provisions related to cable. -HR 4792 - Cyber Shield Act of 2019 - all provisions related to cable. -HR 4880 - Improving Helicopter Safety Act of 2019 - all provisions related to cable. -HR 4973 - Trusting Commercial Communications Networks Act of 2019 - all provisions related to cable. -HR 4998 - Secure and Trusted Communications Networks Act of 2019 - all provisions related to cable. -HR 5394 - Strengthening State and Local Cybersecurity Defenses Act - all provisions related to cable. -HR 5573 - Preventing Real Online Threats Endangering Children Today (PROTECT) Kids Act - all provisions related to cable. -HR 5675 - Safeguarding Americans' Private Records Act of 2020 - all provisions related to cable. -HR 5685 - Securing American Leadership in Science and Technology Act of 2020 - all provisions related to cable. -HR 5698 - Promoting Secure 5G Act of 2020 - all provisions related to cable. -HRes 875 - Expressing the sense of the House of Representatives that domain name registration information, referred to as WHOIS information, is critical to the protection of the United States national and economic security, intellectual property rights - all provisions related to cable. -S 2 - Fair Trade with China Enforcement Act - all provisions related to cable. -S 29 - To establish the Office of Critical Technologies and Security, and for other purposes - all provisions related to cable. -S 335 - ZTE Enforcement Review and Oversight Act- all provisions related to cable. -S 429 - Cyber Security Exchange Act- all provisions related to cable. -S 592 - Cybersecurity Disclosure Act of 2019 - all provisions related to cable. -S 732 - AMBER Alert Nationwide Act of 2019 - all provisions related to cable. -S 734 - Internet of Things Cybersecurity Improvement Act of 2019 - all provisions related to cable. -S 1065 - State Cyber Resiliency Act - all provisions related to cable. -S 1092 - Sanction Entities in China for Undermining Rules, Exploiting Intellectual Property Act of 2019 - all provisions related to cable. -S 1366 - Data Breach Prevention and Compensation Act of 2019 - all provisions related to cable. -S 2117 - Huawei Prohibition Act of 2019 - all provisions related to cable. -S 2318 - Advancing Cybersecurity Diagnostics and Mitigation Act - all provisions related to cable. -S 2607 - Drone Integration and Zoning Act - all provisions related to cable. -S 2664 - Cyber Shield Act of 2019 - all provisions related to cable. -S 2730 - Drone Advisory Committee for the 21st Century Act - all provisions related to cable. -S 2889 - National Security and Personal Data Protection Act of 2019 - all provisions related to cable. -S 2904 - Identifying Outputs of Generative Adversarial Networks (IOGAN) Act - all provisions related to cable. -S 3153 - A bill to prohibit the sharing of United States intelligence with countries that permit the operation of Huawei fifth generation telecommunications technology within their borders - all provisions related to cable. -S 3207 - Cybersecurity State Coordinator Act of 2020 - all provisions related to cable. -S 3242 - Safeguarding Americans' Private Records Act of 2020 - all provisions related to cable. -S 3394 - Network Security Trade Act of 2020 - all provisions related to cable. -SRes 345 - A resolution supporting the goals and ideals of National Cybersecurity Awareness Month to raise awareness about, and enhance the state of, cybersecurity in the United States - all provisions related to cable. -SConRes 10 - A concurrent resolution recognizing that Chinese telecommunications companies such as Huawei and ZTE pose serious threats to the national security of the United States and its allies - all provisions related to cable.

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 748/S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 2968/S. 2474, Department of Defense Appropriations Act, 2020, including provisions relating to operational cybersecurity H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 4482, Protecting America's Food and Agriculture Act of 2019 H.R. 4978, Online Privacy Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 H.R. 5273, Securing America's Ports Act H.R. 5680/S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 H.R. 6074, Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 H.R. 6201, Families First Coronavirus Response Act S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 2775, Harvesting American Cybersecurity Knowledge through Education (HACKED) Act of 2019 Draft legislation on motor vehicles including cybersecurity Draft legislation titled Cyber Collaborative Operations (Cyber Co-op) Act Draft legislation titled United States Consumer Data Privacy Act of 2019 Draft legislation titled Cybersecurity Leap Act of 2020 Draft legislation titled Cyber SAFETY Act Proposed rule regarding remote identification of unmanned aircraft systems (84 Fed. Reg. 72,438-72,524, December 31, 2019) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure cybersecurity; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; apprenticeships; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; core capability baselines; Office of the Director of National Intelligence (ODNI)s cyber customer services; Bureau of Industry and Security final rule, addition of entities to the entity list; Bureau of Industry and Security final rule, temporary general license, extension of validity; Bureau of Industry and Security request for comments on future extensions of temporary general licenses (TGL); Cybersecurity Infrastructure Security Administration critical infrastructure during COVID-19; cyberspace solarium commission report; coronavirus and COVID-19 issues including critical workforce; Department of Commerce proposed rule securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.1.0; Department of Homeland Security report on combating trafficking in counterfeit and pirated goods; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; Executive Order 13904 ensuring safe & lawful e-commerce for US consumers, businesses, government supply chains, and intellectual property rights; Federal Trade Commission (FTC), Fair and Accurate Credit Transactions Act of 2003 (P.L. 108-159), regulatory flexibility National Institute of Standards and Technology (NIST) NISTIR 8259, recommendations for IoT device Manufacturers: Foundational Activities and Core Device Cybersecurity Capability Baseline (2nd Draft); inquiries to various federal agencies on supply chain disruptions due to COVID-19; National Defense Authorization Act for Fiscal Year 2019 and related regulations (P.L. 115-232); National Defense Authorization Act for Fiscal Year 2020 (P.L. 116-92); FY2021 National Defense Authorization Act; National Security Council (NSC), U.S. international standards engagement; National Telecommunications and Information Administration (NTIA), software component transparency; Defense Production Act of 1950 (P.L. 81-774); security clearance reform legislation; potential privacy legislation, including data security; issues related to coronavirus; Department of Homeland Security (DHS) Cybersecurity and Infrastructure Security Agencys (CISA) recent Guidance on the Essential Critical Infrastructure Workforce: Ensuring Community and National Resilience in COVID-19 Response

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3351, Financial Services and General Government Appropriations Act, 2020 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3623/ S. 2075, Climate Risk Disclosure Act of 2019 H.R. 3624/S. 1843, Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, To amend the Securities Exchange Act of 1934 to allow the Securities and Exchange Commission to seek and Federal courts to grant disgorgement of unjust enrichment, and for other purposes H.R. 4492/S733, Consumer Financial Choice and Capital Markets Protection Act of 2019 H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 H.R. 5494, Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2019 H.R. 5929, Shareholder Political Transparency Act of 2020 H.R. 5930, Workforce Investment Disclosure Act of 2020 H.R. 6116, Consumer Financial Protection Commission Act S. 452, Fostering Innovation Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 945, Holding Foreign Companies Accountable Act S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 S. 3548, Coronavirus Aid, Relief, and Economic Security (CARES) Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Draft legislation to amend the Investment Advisers Act to require the SEC to establish a process to follow when it obtains source code or other sensitive information from investment advisers Draft legislation relating to the underwriting of automobile insurance Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 23, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Proposed rule for amendments to Rule 2-01, qualifications of accountants (85 Fed. Reg. 2,332-2,354, January 15, 2020) Proposed rule amending the accredited investor definition (85 Fed. Reg. 2,574-2,613, January 15, 2020) Proposed rule on disclosure of payments by resource extraction issuers (85 Fed. Reg. 2,522-2,571, January 15, 2020) Electronic consent based Social Security number verification (84 Fed. Reg. 66,704-66,705, December 5, 2019) Proposed rule on permissible interest on loans that are sold, assigned, or otherwise transferred (84 Fed. Reg. 64,229-64,232, November 21, 2019) Proposed rule on remittance transfers under the Electronic Fund Transfer Act (Regulation E) (84 Fed. Reg. 67,132-67,167, December 6, 2019) Request for information regarding the integrated mortgage disclosures under the Real Estate Settlement Procedures Act (Regulation X) and the Truth in Lending Act (Regulation Z) rule assessment (84 Fed. Reg. 64,436-64,441, November 22, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA) Various issues relating CFPB regulatory sandbox for disclosures; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Public Company Accounting Oversight Board (PCAOB); supplementary leverage ratios treatment of client initial margin; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934; Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); CFPB policy on no-action letters and compliance assistance sandbox policy; qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance and incorporating ESG factors into financial services; EU solvency II review; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap; amending the accredited investor definition; amendments to exemptions from the proxy rules for proxy voting advice; disclosure of payments by resource extraction issuers; PCAOB concept release on potential approach to revisions to PCAOB quality control standards; procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8; proposed amendments to Rule 2-01, qualifications of accountants; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; revised draft eCBSV user agreement and related materials; credit risk retention-notice of commencement of review; issues relating to federal interest rate authority; comments on margin requirements for non-centrally cleared swaps margin - impact of COVID-19 on initial margin phase-in; issues relating to potential closing of the financial markets in response to the coronavirus pandemic; Housing and Urban Development implementation of the Fair Housing Acts disparate impact standard; FDIC notice of proposed rulemaking on interest rate restrictions on institutions that are less than well capitalized; federal regulatory capital rules: risk-based capital requirements for depository institution holding companies significantly engaged in insurance activities; proposed revisions to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds; FDIC, incorporation of existing statement of policy regarding requests for participation in the affairs of an insured depository institution by convicted individuals; development of an insurance capital standard by the International Association of Insurance Supervisors; International Organization of Securities Commissions (IOSCO) consultation on leverage metrics

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $920,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Treasury, Dept of

H.R. 1018 - Improving Corporate Governance Through Diversity Act of 2019; entire bill H.R. 1423 - the Forced Arbitration Injustice Repeal Act; entire bill H.R. 1595 - Secure and Fair Enforcement Banking Act of 2019 or the SAFE Banking Act of 2019; provisions relating to provision of services to a legitimate marijuana-related business H.R. 1731 - Cybersecurity Disclosure Act of 2019; entire bill H.R. 1815 - SEC Disclosure Effectiveness Testing Act; entire bill H.R. 1865 - Further Consolidated Appropriations Act, 2020; Provisions relating to the SECURE Act, health insurance sales tax, and employer-provided health insurance plans excise tax H.R. 1876 - Senior Security Act of 2019; entire bill H.R. 2513 - Corporate Transparency Act of 2019; entire bill H.R. 2534 - Insider Trading Prohibition Act; entire bill H.R. 3351 - FY 20 Financial Services and General Government Appropriations; provisions relating to SEC funding H.R. 3623 - Climate Risk Disclosure Act of 2019; entire bill H.R. 4242 - Greater Accountability in Pay Act of 2019; entire bill H.R. 4329 - ESG Disclosure Simplification Act of 2019; entire bill H.R. 4335 - 8-K Trading Gap Act of 2019; entire bill H.R. 4344 - the Investor Protection and Capital Markets Fairness Act; entire bill H.R. 4476 - Financial Transparency Act; entire bill H.R. 5050 - Protecting Consumers Access to Credit Act; entire bill H.R. 5322 - Ensuring Diversity in Community Banking Act of 2019 H.R. 5336 - Investor Choice Act of 2019; entire bill S. 603 - Financial Stability Oversight Council Improvement Act of 2019; entire bill S. 1200 - Secure and Fair Enforcement Banking Act of 2019 or the SAFE Banking Act of 2019; provisions relating to provision of services to a legitimate marijuana-related business S. 2391 - Stock Buyback Reform and Worker Dividend Act of 2019; provisions relating to stock buyback S. 2563 - The ILLICIT CASH Act; provisions relating to money laundering and beneficial ownership Not Yet Introduced: Wyden Proposal to Fix Broken Tax Code, Equalize Treatment of Wages and Wealth, Protect Social Security Not Yet Introduced: Bipartisan Privacy bill sponsored by Reps. Cathy McMorris-Rodgers & Rep. Jan Schakowsky Not Yet Introduced: Diverse Asset Manager Act

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $600,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 269/S. 1379, Pandemic and All-Hazards Preparedness and Advancing Innovation Act of 2019 H.R. 739, Cyber Diplomacy Act of 2019 H.R. 1158, Consolidated Appropriations Act, 2020 H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 2500/S. 1790, National Defense Authorization Act for Fiscal Year 2020 H.R. 2968/S. 2474, Department of Defense Appropriations Act, 2020, including provisions relating to operational cybersecurity H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 3270, Active Cyber Defense Certainty Act H.R. 3320, Securing the Homeland Security Supply Chain Act of 2019 H.R. 3710, Cybersecurity Vulnerability Remediation Act H.R. 3719, CTPAT Reauthorization Act of 2019 H.R. 4998, Secure and Trusted Communications Networks Act of 2019 S. 602, Cyber Deterrence and Response Act of 2019 S. 893, Secure 5G and Beyond Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2664, Cyber Shield Act of 2019 S. 2775, Harvesting American Cybersecurity Knowledge through Education (HACKED) Act of 2019 S. 3045, Cybersecurity Vulnerability Identification and Notification Act of 2019 Draft legislation titled Cyber SAFETY Act Draft legislation titled SECURE Small Business Act Draft legislation titled Cyber Collaborative operations Act Nomination of William Evanina to lead the National Counterintelligence and Security Center (NCSC) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; apprenticeships; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; core capability baselines; Office of the Director of National Intelligence (ODNI)s cyber customer services; 21st century customs framework initiative; Bureau of Industry and Security final rule, addition of entities to the entity list; Bureau of Industry and Security final rule, temporary general license; Department of Commerce proposed rule, securing the information and communications technology and services supply chain; Department of Defense Cybersecurity Maturity Model Certification (CMMC) v.06/v.07; Department of Defense, General Services Administration, and NASA interim rule, Federal Acquisition Regulation: Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment; proposed rulemaking for customs broker verification and importers identification; FY2020 Appropriations funding for Department of Homeland Security/U.S. Customs and Border Protection; hours of service and meal and rest break rules for commercial drivers; interim final rule amendments to OFACs reporting procedures and penalties regulations; draft Executive Order combatting counterfeits and opioids; security clearance reform legislation; Executive Order 13873, Securing the Information and Communications Technology and Services Supply Chain; potential privacy legislation, including data security; draft National Institute of Standards and Technology Interagency Report (NISTIR) 8259, Core Cybersecurity Feature Baseline for Securable IoT Devices: A Starting Point of IoT Device Manufacturers; draft National Institute of Standards and Technology (NIST) special publication 1800-23, Energy Sector Asset Management for Electric Utilities, Oil & Gas Industry

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3088/S. 1630, Shareholder Protection Act of 2019 H.R. 3164/S. 2522, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020, including potential provisions relating to relief for inter-affiliate derivatives transactions H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3351, Financial Services and General Government Appropriations Act, 2020 H.R. 3355, Reward Work Act H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3623/ S. 2075, Climate Risk Disclosure Act of 2019 H.R. 3624/S. 1843, Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3848/S. 2155, Stop Wall Street Looting Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, To amend the Securities Exchange Act of 1934 to allow the Securities and Exchange Commission to seek and Federal courts to grant disgorgement of unjust enrichment, and for other purposes H.R. 4726, Certainty for End-Users Act H.R. 4805, Access Business Credit Act of 2019 H.R. 4918, Helping Startups Continue to Grow Act H.R. 5013, Small Business Fair Debt Collection Protection Act H.R. 5084, Improving Corporate Governance Through Diversity Act of 2019 H.R. 5332, Protecting Your Credit Score Act of 2019 S. 452, Fostering Innovation Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 945, Holding Foreign Companies Accountable Act S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation, a bill to amend the Securities Exchange Act of 1934 to require issuers to disclose information about human capital management in annual reports Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Draft legislation to provide certain financial end-users with relief from clearing and margin requirements Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule to exemptions from the proxy rules for proxy voting advice (84 Fed. Reg. 66,518-66,559, December 4, 2019) Proposed rule on procedural requirements and resubmission thresholds under Exchange Act Rule 14a-8 (84 Fed. Reg. 66,458-66,515, December 4, 2019) Proposed rule on modernization of Regulation S-K Items 101, 103, and 105 (84 Fed. Reg. 44,358-44,390, August 23, 2019) Proposed rule on regarding margin and capital requirements for covered swap entities (84 Fed. Reg. 59,970-59,989, November 7, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA) Various issues relating CFPB regulatory sandbox for disclosures; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Public Company Accounting Oversight Board (PCAOB); supplementary leverage ratios treatment of client initial margin; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934; Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; interest rate restrictions; margin and capital requirements for covered swap entities; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; debt collection practices (regulation F) under the Fair Debt Collection Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); CFPB policy on no-action letters and compliance assistance sandbox policy; qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; amendments to the accelerated filer and large accelerated filer definitions; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; comments on modernization of regulation S-K Items 101, 103 and 105 17 CFR Parts 229, 239 and 240; comments on bond reference data proposal; comment period extension request for regulatory capital rules: risk based capital requirements for depository institution holding companies significantly engaged in insurance activities; comments on proposed rule change to introduce a liquidity provider protection on Cboe EDGA; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance and incorporating ESG factors into financial services; upcoming IOSCO proposal on funds use of leverage; EU review of prudential regime for investment firms; Brexit risks; SEC concept release on harmonization of securities offering exemptions; SEC digital assets; transition from London Interbank Offered Rate (LIBOR) to Secured Overnight Financing Rate (SOFR); Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), valid when made doctrine; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; potential repeal of the State and Local Tax (SALT) cap

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2154, Digital Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, Whistleblower Protection Reform Act of 2019 H.R. 2534, Insider Trading Prohibition Act H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act H.R. 3050, Expanding Investment in Small Businesses Act of 2019 H.R. 3088/S. 1630, Shareholder Protection Act of 2019 H.R. 3164/S. 2522, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020, including potential provisions relating to relief for inter-affiliate derivatives transactions H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3351, Financial Services and General Government Appropriations Act, 2020 H.R. 3614, Restricting Credit Checks for Employment Decisions Act H.R. 3618, Free Credit Scores for Consumers Act of 2019 H.R. 3621, Student Borrower Credit Improvement Act H.R. 3622, Restoring Unfairly Impaired Credit and Protecting Consumers Act H.R. 3623/ S. 2075, Climate Risk Disclosure Act of 2019 H.R. 3624/S. 1843, Outsourcing Accountability Act of 2019 H.R. 3625, PCAOB Whistleblower Protection Act of 2019 H.R. 3629, Clarity in Credit Score Formation Act of 2019 H.R. 3641/S. 1854, Stronger Enforcement of Civil Penalties Act of 2019 H.R. 3642, Improving Credit Reporting for All Consumers Act H.R. 3987, Alleviating Stress Test Burdens to Help Investors Act H.R. 4231/S. 1828, Credit Access and Inclusion Act of 2019 H.R. 4242, Greater Accountability in Pay Act of 2019 H.R. 4320, Corporate Management Accountability Act of 2019 H.R. 4329, ESG Disclosure Simplification Act of 2019 H.R. 4335, 8-K Trading Gap Act of 2019 H.R. 4344, To amend the Securities Exchange Act of 1934 to allow the Securities and Exchange Commission to seek and Federal courts to grant disgorgement of unjust enrichment, and for other purposes S. 452, Fostering Innovation Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 945, Holding Foreign Companies Accountable Act S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act S. 2391, Stock Buyback Reform and Worker Dividend Act of 2019 Draft legislation titled Accurate Access to Credit Information Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation, a bill to amend the Securities Exchange Act of 1934 to require issuers to disclose information about human capital management in annual reports Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation titled the Diverse Asset Managers Act Draft legislation titled the Corporate Human Rights Risk Assessment, Prevention and Mitigation Act Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA) Various issues relating CFPB regulatory sandbox for disclosures; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Public Company Accounting Oversight Board (PCAOB); supplementary leverage ratios treatment of client initial margin; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934; Potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; comment on fund of funds arrangements; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; amendments to the accelerated filer and large accelerated filer definition; debt collection practices (regulation F) under the Fair Debt Collection Act (P.L. 95-109); implementation of section 215 of the Economic Growth Regulatory Relief and Consumer Protection Act (P.L. 115-174); OMB policy on no-action letters and compliance assistance sandbox policy; qualified mortgage definition under the Truth and Lending Act (P.L. 90-321) regulation Z; implementation of the Fair House Acts (P.L. 90-284) disparate impact standard; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; order instituting proceedings to determine whether to approve or disapprove a proposed rule change to establish a corporate bond new issue reference data service; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance and incorporating ESG factors into financial services; upcoming IOSCO proposal on funds use of leverage; EU review of prudential regime for investment firms; Brexit risks; SEC amendments regarding thresholds for shareholder proposals under Rule 14a-8; SEC amendments to address proxy advisors reliance on the proxy solicitation exemptions in Rule 14a-2(b); SEC concept release on harmonization of securities offering exemptions; Office of the Comptroller of the Currency (OCC), valid when made doctrine; OCC national FinTech charter; Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956; small business exports

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 269/S. 1379, Pandemic and All-Hazards Preparedness and Advancing Innovation Act of 2019 H.R. 739, Cyber Diplomacy Act of 2019 H.R. 1374, Developing Responsible Individuals for a Vibrant Economy (DRIVE-Safe) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 1975, Cybersecurity Advisory Committee Authorization Act of 2019 H.R. 2500/S. 1790, National Defense Authorization Act for Fiscal Year 2020 H.R. 2968/S. 2474, Department of Defense Appropriations Act, 2020, including provisions relating to operational cybersecurity H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 3270, Active Cyber Defense Certainty Act H.R. 3320, Securing the Homeland Security Supply Chain Act of 2019 H.R. 3401/S. 1900, Emergency Supplemental Appropriations for Humanitarian Assistance and Security at the Southern Border Act, 2019 H.R. 3710, Cybersecurity Vulnerability Remediation Act H.R. 3719, CTPAT Reauthorization Act of 2019 S. 602, Cyber Deterrence and Response Act of 2019 S. 893, Secure 5G and Beyond Act of 2019 S. 1004, Securing America's Ports of Entry Act of 2019 S. 1398, Smart Cities and Communities Act of 2019 S. 1457, Sharing Urgent, Potentially Problematic Locations that Yield Communications Hazards in American Internet Networks (SUPPLY CHAIN) Act of 2019 S. 1625, United States 5G Leadership Act of 2019 S. 2316, Manufacturing, Investment, and Controls Review for Computer Hardware, Intellectual Property, and Supply (MICROCHIPS) Act of 2019 Draft legislation titled Cyber Collaborative Operations Act Draft legislation titled Cyber SAFETY Act Draft legislation titled SECURE Small Business Act Draft legislation titled Cyber Collaborative operations Act Nomination of William Evanina to lead the National Counterintelligence and Security Center (NCSC) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Security; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; apprenticeships; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; core capability baselines; Office of the Director of National Intelligence (ODNI)s cyber customer services; 21st century customs framework initiative; Bureau of Industry and Security final rule, addition of entities to the entity list; Bureau of Industry and Security final rule, temporary general license; interim final rule amendments to OFACs reporting procedures and penalties regulations; state of counterfeit and pirated goods trafficking and recommendations; proposed changes to hours of service rules for interstate truck drivers; federal acquisition regulation, prohibition on contracting for certain telecommunications and video surveillance services or equipment; draft Executive Order combatting counterfeits and opioids; Federal Trade Commission (FTC) standards for safeguarding customer information; security clearance reform legislation; Synthetics Trafficking and Overdose Prevention (STOP) Act (P.L. 115-271, Title VIII, Subtitle A) implementation; Executive Order 13873, Securing the Information and Communications Technology and Services Supply Chain; World Customs Organizations e-commerce framework of standards; potential privacy legislation, including data security; draft National Institute of Standards and Technology Interagency Report (NISTIR) 8259, Core Cybersecurity Feature Baseline for Securable IoT Devices: A Starting Point of IoT Device Manufacturers

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $420,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 269/S. 1379, Pandemic and All-Hazards Preparedness and Advancing Innovation Act of 2019 H.R. 739, Cyber Diplomacy Act of 2019 H.R. 1374, Developing Responsible Individuals for a Vibrant Economy (DRIVE-Safe) Act H.R. 1668/S. 734, IoT Cybersecurity Improvement Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 H.R. 1975, Cybersecurity Advisory Committee Authorization Act of 2019 H.R. 2500/S. 1790, National Defense Authorization Act for Fiscal Year 2020 H.R. 2968, Department of Defense Appropriations Act, 2020 H.R. 3256, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2019 H.R. 3270, Active Cyber Defense Certainty Act S. 602, Cyber Deterrence and Response Act of 2019 S. 893, Secure 5G and Beyond Act of 2019 S. 1004, Securing America's Ports of Entry Act of 2019 S. 1398, Smart Cities and Communities Act of 2019 S. 1457, Sharing Urgent, Potentially Problematic Locations that Yield Communications Hazards in American Internet Networks (SUPPLY CHAIN) Act of 2019 S. 1625, United States 5G Leadership Act of 2019 Draft legislation titled CTPAT reauthorization act of 2019 Draft legislation titled Cyber SAFETY Act Draft legislation titled Manufacturing, Investment, and Controls Review for Computer Hardware, Intellectual Property, and Supply (MICROCHIPS)Act of 2019 Potential legislation similar to S. 3085, Federal Acquisition Supply Chain Security Act of 2018 Nomination of William Evanina to lead the National Counterintelligence and Security Center (NCSC) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; security clearance reform; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Security; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; apprenticeships; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; core capability baselines; Office of the Director of National Intelligence (ODNI)s cyber customer services; 21st century customs framework initiative; Bureau of Industry and Security final rule, addition of entities to the entity list; draft NIST internal report (NISTIR) 8228, Considerations for Managing Internet of Things; cybersecurity and privacy risks; FTC hearings on Competition and Consumer Protection in the 21st Century; FTIC proposal to amend the Safeguards Rule; NIST considerations for a core IoT cybersecurity capabilities baseline; security clearance reform legislation; supplemental funding request for Customs and Border Protection operations; Executive Order 13873, Securing the Information and Communications Technology and Services Supply Chain; World Customs Organizations e-commerce framework of standards

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1731, Cybersecurity Disclosure Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act H.R. 2144, Token Taxonomy Act of 2019 H.R. 2409, Expanding Access to Capital for Rural Job Creators Act H.R. 2515, To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower H.R. 2534, Insider Trading Prohibition Act H.R. 3164, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020, including potential provisions relating to relief for inter-affiliate derivatives transactions H.R. 3279, Diversity in Corporate Leadership Act of 2019 H.R. 3351, Financial Services and General Government Appropriations Act, 2020 S. 452, Fostering Innovation Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 1256, PCAOB Enforcement Transparency Act of 2019 S. 1731, Ensuring Quality Information and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act Draft legislation titled Holding Foreign Companies Accountable Act Draft legislation, the Stronger Enforcement of Civil Penalties Act Draft legislation establishing a whistleblower program at the Public Company Accounting Oversight Board (PCAOB) Draft legislation to allow the SEC to seek restitution and disgorgement Draft legislation, the Corporate Management Accountability Act Draft legislation that would extend the statute of limitations for civil penalties by the SEC Draft legislation, the Bad Actor Disqualification Act Draft legislation, the Outsourcing Accountability Act Draft legislation, a bill to amend the Securities Exchange Act of 1934 to require issuers to disclose information about human capital management in annual reports Draft legislation to require the SEC to study stock buybacks under rule 10b-18 Draft legislation, the Greater Accountability in Pay Act Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018) Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Final rule on loan guaranty: revisions to VA guaranteed or insured cash-out home refinance loans (83 Fed. Reg. 64,459-64,470, December 17, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Proposed rule on unsafe and unsound banking practices: brokered deposits and interest rate restrictions (84 Fed. Reg. 2,366-2,400, February 6, 2019) Proposed rule on self-regulatory organizations; Financial Industry Regulatory Authority, Inc.; notice of filing of a proposed rule change to establish a corporate bond new issue reference data service (84 Fed. Reg. 13,977-13,983, April 8, 2019) Proposed rule on prudential standards for large foreign banking organizations; revisions to proposed prudential standards for large domestic bank holding companies and savings and loan holding companies (84 Fed. Reg. 21,988-22,036, May 15, 2019) Proposed rule on implementing revisions to regulatory capital requirements and liquidity requirements for foreign banking organizations and certain U.S. subsidiaries of foreign banking organizations (84 Fed. Reg. 24,296-24,358, May 24, 2019) Proposed amendments to resolution planning requirements of section 165(d) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (84 Fed. Reg. 21,600-21,631, May 14, 2019) Proposed interpretive guidance Stability Oversight Council; Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies, (84 Fed. Reg. 9,028-9,048, Mar. 13, 2019) Propose rule on solicitations of interest prior to a registered public offering (84 Fed. Reg. 6,713-6,732, February 28, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA); Nominations of Sheryl Wright to serve on the Consumer Advisory board of the Consumer Financial Protection Board CFPB; Nominations of Tim Welch to serve on the Consumer Advisory board of the Consumer Financial Protection Board CFPB; Nominations of Ky Tran-Trong to serve on the Consumer Advisory board of the Consumer Financial Protection Board CFPB Various issues relating CFPB regulatory sandbox for disclosures; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Public Company Accounting Oversight Board (PCAOB); potential legislation related to the supplementary leverage ratios treatment of client cleared derivatives; potential legislation related to the rulemaking and enforcement authority of Sec. 619 of the Dodd-Frank Act (P.L.111-203); potential legislation to require the SEC to complete rulemaking required by section 10D of the Securities Exchange Act of 1934; potential legislation to require the SEC to complete rulemaking required by section 14(i) of the Securities Exchange Act of 1934; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; 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; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; blockchain and fintech; adoption of the current expected credit loss accounting standard; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; role of credit reporting agencies (CRAs) in the U.S. economy; comments on earnings releases and quarterly reports; comment on fund of funds arrangements; Office of the Comptroller of the Currency (OCC) Innovation Pilot Program; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; potential housing finance reform legislation; enforcement of Securities Exchange Commission penalties; inter-affiliate initial margin relief; substituted compliance and equivalence between the U.S. derivatives regulatory regime and the European Unions European Market Infrastructure Regulation (EMIR); European Supervisory Authority review and provisions regarding portfolio delegation; EU third country equivalency process; EU sustainable finance and incorporating ESG factors into financial services; upcoming IOSCO proposal on funds use of leverage; review of prudential regime for investment firms; Brexit risk; SEC amendments regarding thresholds for shareholder proposals under Rule 14a-8; SEC amendments to address proxy advisors reliance on the proxy solicitation exemptions in Rule 14a-2(b); Department of Labor Field Assistance Bulletin No. 2018-01 regarding compliance with Interpretive Bulletin 2016-01 and 2015-01; Incentive based executive compensation regulation under Dodd-Frank Section 956

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $280,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE

- Affordable Clean Energy Rule H.R. 3761 - Carbon Capture Act - Department of Energy Grid Resiliency Pricing Rule Notice of Public Rule making H.R. 5270 - Electricity Reliability and Fuel Security Act - EPA Review of the Clean Power Plan Rule - EPA Review of the Standards of Performance for Greenhouse Gas Emissions for New Fossil-Fueled Stationary Sources H.Res.109/S.Res.59 - The Green New Deal - Mercury Air Toxins Standards H.R. 3128 - The New Source Review Permitting Improvement Act of 2018 S.728/S.738/H.R. 1731 - RECLAIM Act S.383/H.R.1166 - USE IT Act

Client expense: $167,014 · Firm income: Not reported

Government targets: Energy, Dept of, Environmental Protection Agency (EPA), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE

H.R. 251, Chemical Facility Anti-Terrorism Standards Program Extension Act H.R. 269, Pandemic and All-Hazards Preparedness and Advancing Innovation Act of 2019 H.R. 739, Cyber Diplomacy Act of 2019 H.R. 1731/S. 592, Cybersecurity Disclosure Act of 2019 S. 602, Cyber Deterrence and Response Act of 2019 S. 734, IoT Cybersecurity Improvement Act of 2019 Draft legislation titled CTPAT reauthorization act of 2019 Draft legislation titled Cyber SAFETY Act Potential legislation similar to S. 3085, Federal Acquisition Supply Chain Security Act of 2018 Fiscal Year 2020 Homeland Security Appropriations Act Fiscal Year 2020 Military Construction, Veterans Affairs and Related Agencies Appropriations Act Nomination of William Evanina to lead the National Counterintelligence and Security Center (NCSC) Various issues relating to Chemical Facility Anti-Terrorism Standards (CFATS) program reauthorization; implementation of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Title XVII, Foreign Investment Risk Review Modernization Act (P.L. 115-232), including provisions relating to sections 1654 and 1655; security clearance reform; deepening business and governmental operational collaboration against foreign cyber threats; National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Security; small and midsize business cybersecurity assistance; 5G; cybersecurity protections; cyber workforce, including cybersecurity professionals securing business and government networks; apprenticeships; cyber incident reporting of breaches, hacks, and other security incidents; Internet of Things (IoT) security; core capability baselines; 21st century customs framework initiative; potential legislation on anti-money laundering and Bank Secrecy Act; potential legislation related to corporate transparency; potential legislation related to incorporation transparency for law enforcement; draft NIST internal report (NISTIR) 8228, Considerations for Managing Internet of Things; cybersecurity and privacy risks; FTC hearings on Competition and Consumer Protection in the 21st Century; FTIC proposal to amend the Safeguards Rule; NIST considerations for a core IoT cybersecurity capabilities baseline; PHMSA harmonization rulemaking; security clearance reform legislation

Issues related to cybersecurity, including: -S. 333 & HR 1062 - National Cybersecurity Preparedness Act of 2019 -S. 592 & HR 1731 - Cybersecurity Disclosure Act of 2019- -S. 602 - Cyber Deterrence and Response Act of 2019

Client expense: $960,000 · Firm income: Not reported

Government targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE