Promoting Transparent Standards for Corporate Insiders Act

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill. H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019 - all provisions. H.R. 2534 - Insider Trading Prohibition Act - all provisions. Issues related to foreign investment - no specific legislation. H.R. 3623 - Climate Risk Disclosure Act - all provisions.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

Dialogue and support for business funding options and for decreased regulatory burdens with Small Business Administration. Efforts to continue benefits of prior Small Business Jobs Act. Support for fiduciary legislation (H.R. 2823)Support for tax treatment favorable to micro-business in H.R.A. type plans. Support congressional review of Net Neutrality. Support the True Incorporation Transparency for Law Enforcement Act(S. 1889) and the Promoting Transparent Standards for Corporate Insiders Act(H.R. 624). Support for Modern Worker Empowerment Act (H.R. 4069).Support for SECURE Act of 2019 which expands retirement savings opportunities for small businesses. Support for Executive Order allowing multiple employer retirement plans. Support for passage and implementation of the Coronavirus Aid, Relief and Economic Security Act (CARES Act S.3548). Support for and implementation of the Families First Coronavirus Response Act (H.R. 6201).Review and involvement in a number of COVID relief bills including Income Disaster Assistance for Small Business and the HEROES Act.

Client expense: $80,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Consumer Financial Protection Bureau (CFPB), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill. H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019 - all provisions. H.R. 2534 - Insider Trading Prohibition Act - all provisions. Issues related to foreign investment - no specific legislation.

Client expense: Not reported · Firm income: $90,000

Dialogue and support for business funding options and for decreased regulatory burdens with Small Business Administration. Efforts to continue benefits of prior Small Business Jobs Act. Support for fiduciary legislation (H.R. 2823)Support for tax treatment favorable to micro-business in H.R.A. type plans. Support congressional review of Net Neutrality. Support the True Incorporation Transparency for Law Enforcement Act(S. 1889) and the Promoting Transparent Standards for Corporate Insiders Act(H.R. 624). Support for Modern Worker Empowerment Act (H.R. 4069).Support for SECURE Act of 2019 which expands retirement savings opportunities for small businesses. Support for Executive Order allowing multiple employer retirement plans. Support for passage and implementation of the Coronavirus Aid, Relief and Economic Security Act (CARES Act S.3548). Support for and implementation of the Families First Coronavirus Response Act (H.R. 6201).

Client expense: $90,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Consumer Financial Protection Bureau (CFPB), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

Financial Technology ("Fintech") the Inclusive Prosperity Act the Carried Interest Fairness Act of 2017 the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act Nominations for SEC, CFTC, FDIC Reg BI SEC fiduciary rule Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 H.R. 1735 - Carried Interest Fairness Act of 2019 S. 781 - Carried Interest Fairness Act of 2019 S.915 - Reward Work Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts Staples-Essendant merger Swap Execution Facilities and Trade Execution Requirement

Client expense: $60,000 · Firm income: Not reported

Bank capital rules Banks stress tests Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions the Inclusive Prosperity Act the 21st Century Glass Steagall Act Nominations for SEC, CFTC, FDIC Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 S.915 - Reward Work Act of 2019 H.R. 2176 - Return to Prudent Banking Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements Prudential Standards for Large Bank Holding Companies and Savings and Loan Holding Companies Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts

Client expense: $60,000 · Firm income: Not reported

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill. H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019 - all provisions. H.R. 2534 - Insider Trading Prohibition Act - all provisions.

Client expense: Not reported · Firm income: $90,000

Dialogue and support for business funding options and for decreased regulatory burdens with Small Business Administration. Efforts to continue benefits of prior Small Business Jobs Act. Support for fiduciary legislation (H.R. 2823)Support for tax treatment favorable to micro-business in H.R.A. type plans. Support congressional review of Net Neutrality. Support the True Incorporation Transparency for Law Enforcement Act(S. 1889) and the Promoting Transparent Standards for Corporate Insiders Act(H.R. 624). Support for Modern Worker Empowerment Act (H.R. 4069).Support for SECURE Act of 2019 which expands retirement savings opportunities for small businesses. Support for Executive Order allowing multiple employer retirement plans.

Client expense: $90,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Consumer Financial Protection Bureau (CFPB), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill. H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019 - all provisions. H.R. 2534 - Insider Trading Prohibition Act - all provisions.

Client expense: Not reported · Firm income: $90,000

HR 1876 and S 1719, the Senior Security Act; HR 624 Transparent Standards for Corporate Insiders Act; monitor issues impacting arbitration and securities; monitor issues impacting state securities regulators. H.Res 456, a resolution recognizing 100 years of state securities regulation and protection of the investing public;

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

Government targets: Consumer Financial Protection Bureau (CFPB), HOUSE OF REPRESENTATIVES, SENATE

Dialogue and support for business funding options and for decreased regulatory burdens with Small Business Administration. Efforts to continue benefits of prior Small Business Jobs Act. Support for fiduciary legislation (H.R. 2823)Support for tax treatment favorable to micro-business in H.R.A. type plans. Support congressional review of Net Neutrality. Support the True Incorporation Transparency for Law Enforcement Act(S. 1889) and the Promoting Transparent Standards for Corporate Insiders Act(H.R. 624). Support for Modern Worker Empowerment Act (H.R. 4069).

Client expense: $80,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Consumer Financial Protection Bureau (CFPB), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill.

Client expense: Not reported · Firm income: $90,000

Bank capital rules Banks stress tests Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions the Inclusive Prosperity Act the 21st Century Glass Steagall Act Nominations for SEC, CFTC, FDIC Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 S.915 - Reward Work Act of 2019 H.R. 2176 - Return to Prudent Banking Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements Prudential Standards for Large Bank Holding Companies and Savings and Loan Holding Companies Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts

Client expense: $60,000 · Firm income: Not reported

Financial Technology ("Fintech") the Inclusive Prosperity Act the Carried Interest Fairness Act of 2017 the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act Nominations for SEC, CFTC, FDIC Reg BI SEC fiduciary rule Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 H.R. 1735 - Carried Interest Fairness Act of 2019 S. 781 - Carried Interest Fairness Act of 2019 S.915 - Reward Work Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts Staples-Essendant merger Swap Execution Facilities and Trade Execution Requirement

Client expense: $60,000 · Firm income: Not reported

Financial Technology ("Fintech") the Inclusive Prosperity Act the Carried Interest Fairness Act of 2017 the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act Nominations for SEC, CFTC, FDIC Reg BI SEC fiduciary rule Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 H.R. 1735 - Carried Interest Fairness Act of 2019 S. 781 - Carried Interest Fairness Act of 2019 S.915 - Reward Work Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts Staples-Essendant merger Swap Execution Facilities and Trade Execution Requirement

Client expense: $50,000 · Firm income: Not reported

Bank capital rules Banks stress tests Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions the Inclusive Prosperity Act the 21st Century Glass Steagall Act Nominations for SEC, CFTC, FDIC Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 S.915 - Reward Work Act of 2019 H.R. 2176 - Return to Prudent Banking Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements Prudential Standards for Large Bank Holding Companies and Savings and Loan Holding Companies Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts

Client expense: $50,000 · Firm income: Not reported

HR 1876 and S 1719, the Senior Security Act; HR 624 Transparent Standards for Corporate Insiders Act; monitor issues impacting arbitration and securities; monitor issues impacting state securities regulators. H.Res 456, a resolution recognizing 100 years of state securities regulation and protection of the investing public;

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill.

Client expense: Not reported · Firm income: $90,000

Bank capital rules Banks stress tests Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions the Inclusive Prosperity Act the 21st Century Glass Steagall Act Nominations for SEC, CFTC, FDIC Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 S.915 - Reward Work Act of 2019 H.R. 2176 - Return to Prudent Banking Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements Prudential Standards for Large Bank Holding Companies and Savings and Loan Holding Companies Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts

Client expense: $60,000 · Firm income: Not reported

Financial Technology ("Fintech") the Inclusive Prosperity Act the Carried Interest Fairness Act of 2017 the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act Nominations for SEC, CFTC, FDIC Reg BI SEC fiduciary rule Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 H.R. 1735 - Carried Interest Fairness Act of 2019 S. 781 - Carried Interest Fairness Act of 2019 S.915 - Reward Work Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts Staples-Essendant merger Swap Execution Facilities and Trade Execution Requirement

Client expense: $60,000 · Firm income: Not reported

Financial Technology ("Fintech") the Inclusive Prosperity Act the Carried Interest Fairness Act of 2017 the Putting Main Street FIRST: Finishing Irresponsible Reckless Speculative Trading Act Nominations for SEC, CFTC, FDIC Reg BI SEC fiduciary rule Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 H.R. 1735 - Carried Interest Fairness Act of 2019 S. 781 - Carried Interest Fairness Act of 2019 S.915 - Reward Work Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts Staples-Essendant merger Swap Execution Facilities and Trade Execution Requirement

Client expense: $60,000 · Firm income: Not reported

Bank capital rules Banks stress tests Federal Deposit Insurance Corporation policies relating to bank employment Federal Reserve rating system for large financial institutions the Inclusive Prosperity Act the 21st Century Glass Steagall Act Nominations for SEC, CFTC, FDIC Volcker Rule Implementation of S.2155 HR 1 - For the People Act H.R. 1516 - Wall Street Tax Act of 2019 S. 647 - Wall Street Tax Act of 2019 S.915 - Reward Work Act of 2019 H.R. 2176 - Return to Prudent Banking Act of 2019 S.1063 - Helping Angels Lead Our Startups Act of 2019 S.733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 S.452 - Fostering Innovation Act of 2019 H.R.609 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 S.573 - Promoting Transparent Standards for Corporate Insiders Act H.R.624 - Promoting Transparent Standards for Corporate Insiders Act S.536 - Encouraging Public Offerings Act of 2019 S.566 - Expanding Access to Capital for Rural Job Creators Act H.R.1876 - Senior Security Act of 2019 Proposed Changes to Applicability Thresholds for Regulatory Capital and Liquidity Requirements Prudential Standards for Large Bank Holding Companies and Savings and Loan Holding Companies Standardized Approach for Calculating the Exposure Amount of Derivatives Contracts

Client expense: $60,000 · Firm income: Not reported

H.R. 56, Financial Technology Protection Act H.R. 87, Midnight Rules Relief Act of 2019 H.R. 116, Investing in Main Street Act of 2019 H.R. 189, Financial Institution Customer Protection Act of 2019 H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019 H.R. 624/S. 573, Promoting Transparent Standards for Corporate Insiders Act H.R. 758, Cooperate with Law Enforcement Agencies and Watch Act of 2019 H.R. 969, TABS Act of 2019 H.R. 1018, Improving Corporate Governance Through Diversity Act of 2019 H.R. 1815, SEC Disclosure Effectiveness Testing Act S. 452, Fostering Innovation Act of 2019 S. 536, Encouraging Public Offerings Act of 2019 S. 566, Expanding Access to Capital for Rural Job Creators Act S. 592, Cybersecurity Disclosure Act of 2019 S. 603, Financial Stability Oversight Council Improvement Act of 2019 S. 733, Consumer Financial Choice and Capital Markets Protection Act of 2019 Draft legislation to amend the Investment Company Act of 1940 to increase the percentage of voting shares a diversified company may hold in a single issuer; Draft legislation on cryptocurrencies; Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company; Draft legislation on credit bureaus Potential legislation similar to H.R. 1585, Fair Investment Opportunities for Professional Experts Act (115th Congress); Potential legislation similar to H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017; Potential legislation similar to H.R. 3972, Family Office Technical Correction Act of 2017; Potential legislation similar to H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; Potential legislation similar to H.R. 6319, Expanding Investment in Small Businesses Act (115th Congress); Potential legislation similar to H.R. 6322, Enhancing Multi-Class Stock Disclosures Act (115th Congress); Potential legislation similar to H.R. 6324, Middle Market IPO Underwriting Cost Act (115th Congress); Potential legislation similar to H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act (115th Congress); Potential legislation similar to S. 1744, Brokaw Act(115th Congress); Potential legislation similar to H.R. 5970, Modernizing Disclosures for Investors Act Simplifying Disclosures for Investors Act(115th Congress); Potential legislation similar to H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act (115th Congress); Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018); Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018); Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018); Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018); Policy to Encourage Trial Disclosure Programs (83 Fed. Reg. 45,574-45,578, September 10, 2018); Proposed changes to applicability thresholds for regulatory capital and liquidity requirements (83 Fed. Reg. 66,024-66,059, December 21, 2018) Final rule on loan guaranty: revisions to VA guaranteed or insured cash-out home refinance loans (83 Fed. Reg. 64,459-64,470, December 17, 2018) Proposed rule on prudential standards for large bank holding companies and savings and loan holding companies (83 Fed. Reg. 61,408-61,460, November 29, 2018) Proposed rule regarding standardized approach for calculating the exposure amount of derivative Contracts (83 Fed. Reg. 64,660-64,728, December 17, 2018) Proposed rule on payday, vehicle title, and certain high-cost installment loans; delay of compliance date (84 Fed. Reg. 4,298-4,305, February 14, 2019) Nomination of Mark Calabria to lead the Federal Housing Finance Agency (FHFA) Various issues relating to implementation of the Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174); Consumer Financial Protection Bureau (CFPB) transparency and accountability; CFPB regulatory sandbox for disclosures; CFPB reform; anti-money laundering and Bank Secrecy Act (P.L. 91-508) improvements; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; proxy voting systems; Securities Exchange Commission strategic plan; Securities Exchange Commission Rule 701 Form S-8 reforms; Securities Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Securities Exchange Commission request for comment on quarterly reporting; Securities Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Securities Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Securities Exchange Commission Staff Legal Bulletin 20 Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms; Consumer Financial Protection Bureau trial disclosures and no action letter process; Consumer Financial Protection Bureau lacking jurisdiction over the business or insurance; Public Company Accounting Oversight Board (PCAOB); Federal Trade Commission competition and consumer protection in the 21st century hearings regarding common ownership; Accounting standards developed by the Financial Accounting Standards Board, including the current expected credit loss (CECL) standard; potential legislation related to Commodity Exchange Act reauthorization; potential legislation regarding the previous IRS Data Verification Modernization Act; potential legislation related to the supplementary leverage ratios treatment of client cleared derivatives; credit bureau issues; potential legislation related to crowdfunding amendments act; potential legislation related to compensation for cheated investors act; financial technology issues; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); application of Customer Identification Program requirements under anti-money laundering rules to bank-affiliated premium finance companies; application of the May 2016 Customer Due Diligence Rule to routine cash refunds issued by bank-affiliated premium finance companies; proposals to audit the Board of Governors of the Federal Reserve System; Securities Exchange Commission; Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; small business lending; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; blockchain and fintech; adoption of the current expected credit loss accounting standard; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; role of credit reporting agencies (CRAs) in the U.S. economy; comments on earnings releases and quarterly reports; Financial Stability Oversight Council and the designation of nonbank financial firms as systemically important; Federal Reserve System and large institution supervision coordinating committee; updated disclosure requirements and summary prospectus for variable annuity and variable life insurance contracts; potential housing finance reform legislation; valid when made legal doctrine

Discussions regarding Sec. 30D electric vehicle tax credit (S.3449; H.R.6274) Sec. 30C alternative tax credit (H.R.624; S.3449) Sec. 48 and 25D solar investment tax credits Storage tax credit (S.1868; H.R.4649) Discussions regarding Highway Trust Fund

Client expense: $180,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 1876 Senior Security Act; HR 624 Transparent Standards for Corporate Insiders Act; monitor issues impacting arbitration and securities; monitor issues impacting state securities regulators.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to the implementation of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act. Issues related to investment and corporate governance matters - no specific legislation. Issues related to financial regulatory reform - no specific legislation. H.R. 624 - Promoting Transparent Standards for Corporate Insiders Act - entire bill. Issues related to the implementation of P.L. 115-174 - Economic Growth, Regulatory Relief, and Consumer Protection Act. Issues related to public offerings and capital markets - no specific legislation H.R. 1007 / S. 972 - Retirement Enhancement and Savings Act of 2019 - entire bill.

Client expense: Not reported · Firm income: $90,000

No bill #- SEC Best Interest Standard S.603- Financial Stability Oversight Council Improvement Act of 2019 S.603, H.R. 1862 - Issues relating to Dodd Frank Implementation and FIO, OFR, Volcker Rule, FSOC, FSB and their associated work on topics like capital standards, non bank SIFI designation, insurance regulation and oversight No bill# - International Insurance Capital Standards H.R.1595- SAFE Banking Act of 2019 No bill# - Executive Order on Core Principles for Regulating the United States Financial System (February 3, 2017) and subsequent reports on banking (June 6, 2017), capital markets (October 20, 2017), and insurance and asset management (November 17, 2017) and Fintech report (July 31, 2018). No bill# - GSE and FHA Housing Finance Reform H.R. 624- Promoting Transparent Standards for Corporate Insiders Act No bill# - Schumer/Sanders Stock Buyback Bill No bill# - Rubio Stock Buyback Bill No bill# - Swaps Exchange Fund Rulemakings; pre-trade communications No bill# - Swaps and Derivatives Clearing Filing Exemptions for Insurers No bill# - Forthcoming FSOC SIFI Designation Guidance and ABA Rule No bill# - Crapo Senate Banking Housing Finance Reform Proposal

Client expense: $1,170,000 · Firm income: Not reported

Universal Serviceissues relating to reform to the Universal Service Fund, including the contribution and distribution mechanisms associated with USF. Privacy and Behavioral Advertisingissues relating to the gathering, retention, and use of online information. Program access, Net neutrality, spectrum reform and reallocation, broadband deployment issues including use of stimulus finds for broadband deployment and adoption and broadband conduit legislation. H.R. 1804, the State Video Tax Fairness Act, FCC Reform, HR 1084, The Commercial Advertisement Loudness Mitigation Act. PEG programming issues relating to analog and digital carriage of Public, Educational, Government Channels. National Broadband Planissues relating to competition and innovation in navigation devices. P.L. 11296, HR. 3630 Middle Class Tax Relief and Job Creation Act of 2012. HR86 Cybersecurity Education Enhancement Act of 2013 all provisions relating to cable. HR624 Cyber Intelligence Sharing and Protection Actall provisions relating to cable. HR 1468, Strengthening and Enhancing Cybersecurity by Using Research, Education, Information, and Technology (SECURE IT) Act of 2013 - all provisions relating to cable. HR1639 To amend the Rural Electrification Act of 1936 - all provisions relating to cable. HR1947 Federal Agricultural Reform and Risk Management Act - all provisions relating to cable. HR2556 Excellence in Cybersecurity Act - all provisions relating to cable. S4 Rebuild America Act - all provisions relating to cable. S10 Agriculture Reform, Food, and Jobs Act of 2013 - all provisions relating to cable. S418 DoNotTrack Online Act of 2013all provisions related to cable. S607 Electronic Communications Privacy Act of 2013 - all provisions relating to cable. S774 To require the Comptroller General of the United States to submit a report to Congress on the effectiveness of the Federal Communications Commissions universal service reforms - all provisions relating to cable. S1244 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2014 - all provisions relating to cable. S1235 The Wireless Tax Fairness Act of 2013 - all provisions relating to cable. HR316 Stela Reauthorization Farm Bill P.L. Provisions related to cable

March 21, 2019CII letter to SEC on earnings releases and quarterly reports March 13, 2019CII letter to SEC on NASDAQ direct listing proposal Feb. 27, 2019CII letter to Chair and Ranking Member of Senate Banking Committee regarding hearing on capital formation and corporate governance Feb. 15, 2019CII letter to SEC on stock exchange costs Feb. 11, 2019CII letter to SEC on NYSE SPACs proposal Feb. 6, 2019CII letter to Representative Meeks on Improving Corporate Governance Through Diversity Act Jan. 31, 2019CII letter to SEC on proxy mechanics Jan. 31, 2019CII letter to SEC on MiFID II research provisions Jan. 31, 2019CII letter to SEC on mandatory arbitration Jan. 22, 2019CII letter to SEC on Long-Term Stock Exchange, Inc's registration as a national securities exchange Jan. 22, 2019CII letter to Chair and Ranking Member of Committee on Financial Services regarding H.R. 624

Client expense: Not reported · Firm income: Not reported

Government targets: Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)