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Improving Disclosure for Investors Act of 2023
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
89pct
249d open
vs 10,564 other HR bills in the 118th — cohort avg 68d
No CRS summary is available for this bill yet. The source title, actions, sponsors, and text versions below come from Congress.gov.
These links require the bill number to appear in the filing's source-reported specific issue text. Client expenses and lobbying-firm income are separate disclosure fields.
Filing registrants (28)
Placed on the Union Calendar, Calendar No. 239.
Reported (Amended) by the Committee on Financial Services. H. Rept. 118-295.
Congress.gov source codes: 5000, H12200
Ordered to be Reported in the Nature of a Substitute (Amended) by Voice Vote.
Committee Consideration and Mark-up Session Held.
Referred to the House Committee on Financial Services.
Introduced in House
Congress.gov source codes: 1000, Intro-H
Bills with similar content found using semantic analysis.
Sources: Congress.gov
2026 · third_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · third_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $110,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · third_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers. H.R.10234 - CLEAR Forms Act.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · third_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress) H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation Act.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · third_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · second_quarter · Financial Institutions/Investments/Securities
| Democratic |
| NC |
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · second_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers. Clear Forms Act - draft legislation.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · second_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $130,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · second_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress) H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation Act.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · second_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · first_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · first_quarter · Financial Institutions/Investments/Securities
SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and electronic recordkeeping requirements for broker-dealers.
Client expense: $580,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2026 · first_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · first_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $90,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · first_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress) H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation Act.
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2026 · first_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Financial Institutions/Investments/Securities
SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and electronic recordkeeping requirements for broker-dealers.
Client expense: $320,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2025 · fourth_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress) H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation Act.
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · fourth_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $140,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $100,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Financial Institutions/Investments/Securities
SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and electronic recordkeeping requirements for broker-dealers.
Client expense: $410,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2025 · third_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · third_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress)
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Insurance
Systemic risk in financial services; SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic recordkeeping requirements for broker-dealers. S. 1544 and HR 3437: The Insurance Data Protection Act. Legislation limiting the role of the Federal Insurance Office to its original intent of supporting state insurance officials.
Client expense: $290,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2025 · second_quarter · Financial Institutions/Investments/Securities
Issues related to Collective Investment Trusts, expansion of investment options for 403(b) plans. Monitor issues related securities issues, including asset management, market equity, liquidity and fund issues. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. Issues related to access to investment opportunities. Issues related to ETF regulation. Issues in support of providing for electronic delivery of fund information, including the Improving Disclosure for Investors Act (H.R. 1807 and S.3815).
Client expense: $150,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress)
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · second_quarter · Financial Institutions/Investments/Securities
Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic record keeping requirements for broker-dealers.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · first_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · first_quarter · Insurance
Systemic risk in financial services; SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R.1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic recordkeeping requirements forbroker-dealers.
Client expense: $520,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · first_quarter · Financial Institutions/Investments/Securities
Proposals to expand 403(b) plan investment options. H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act. H.R. 1807/S. 3815 Improving Disclosure for Investors Act. (118th Congress) H.R. 2799, Expanding Access to Capital Act. (118th Congress) S. 5139, Empowering Main Street in America Act. (118th Congress)
Client expense: Not reported · Firm income: $20,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2025 · first_quarter · Financial Institutions/Investments/Securities
H.R. 1807, Improving Disclosure for Investors Act of 2023. (118th Congress)
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1165 Data Privacy Act of 2023. HR 8818 American Privacy Rights Act of 2024. H.R. 1807 Improving Disclosure for Investors Act of 2023 (e-delivery).
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga). General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals. SEC mandatory swing pricing, hard close, and liquidity risk management proposal. SEC money market fund proposal.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Insurance
Issue: Private equitys growing role in the insurance industry. Issue: Chairman Wydens investigation of Private Placement Life Insurance (PPLI). Issue: H.R. 1807, E-delivery legislation. Issue: Request for information from Congress regarding the diversity and inclusion information in the insurance industry. Issue: BASEL III. Issue: Insurance Capital Standards (no bill introduced) Issue: H.R. 5535 - Insurance Data Protection Act. The bill would prohibit the Federal Insurance Office of the Department of the Treasury and other financial regulators from collecting data directly from an insurance company. Issue: Federal Insurance Office. Issue: FSOC nonbank guidance rule. Issue: Request for information from Congress regarding the diversity and inclusion information in the insurance industry Issue: Housing Finance Reform. No bill number assigned. Issue: National Association of Registered Agents and Brokers (NARAB) board. No bill number assigned
Client expense: $390,000 · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2024 · fourth_quarter · Financial Institutions/Investments/Securities
S. 3815/ H.R. 1807 Improving Disclosure for Investors Act; General interest in issues related to E-Delivery General interest in anti-money laundering, cybersecurity, and privacy proposals
Client expense: $500,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 1165 - Data Privacy Act; entire bill H.R. 1807 - Improving Disclosure for Investors Act of 2023; entire bill H.R. 2622 - to amend the Investment Advisers Act of 1940 to codify certain Securities and Exchange Commission no-action letters that exclude brokers and dealers compensated for certain research services from the definition of investment adviser, and for other purposes; entire bill H.R. 2627 - Increasing Investor Opportunities Act; entire bill H.R. 2799 - the Expanding Access to Capital Act of 2023; entire bill H.R. 3063 - Retirement Fairness for Charities and Educational Institutions Act of 2023; entire bill H.R. 8818 - American Privacy Rights Act of 2024; entire bill S. 3735 - Protecting Innovation in Investment Act; entire bill S. 3815 - Improving Disclosure for Investors Act; entire bill Financial Services General Government Appropriations - SEC rulemaking funding related to liquidity risk management, equity market structure, custody, and predictive data analytics. Congressional Review Act (CRA) resolution regarding the DOLs retirement security rule; entire resolution
Client expense: $440,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
SEC Best Interest Standard Expanding Access to Capital Act (H.R. 2799) Sovereign Debt Capital Markets efficiency SEC Safeguarding Proposal DOL QPAM Proposal 403B parity (HR 3063/S4917) E-delivery: Improving Disclosure for Investors Act (HR 1807/S 3815)
Client expense: $1,352,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
No bill number. Discussed Accredited Investor Definition and private investments. No bill number. Discussed access to paper statements. No bill number. Discussed fraud prevention. No bill number. Discussed data broker facilitation of fraud. S. 3815, the Improving Disclosure for Investors Act of 2024. H.R. 1807, the Improving Disclosure for Investors Act of 2024. H.R. 2799, the Expanding Access to Capital Act of 2023. S. 1481, the Financial Exploitation Prevention Act of 2023. H.R. 500, the Financial Exploitation Prevention Act of 2023. H.R. 2593, the National Senior Investor Initiative Act of 2023. S. 955, the Senior Security Act of 2023. S. 4838/H.R. 9673, the Consumers LEARN AI Act. No bill number. Discussed cryptocurrency kiosks and fraud. No bill number. Discussed gift card fraud.
Client expense: $5,580,000 · Firm income: Not reported
Government targets: Consumer Financial Protection Bureau (CFPB), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2024 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 4763--Financial Innovation and Technology for the 21st Century Act S. 2281--Responsible Financial Innovation Act H.R. 4766--Clarity for Payment Stablecoins Act S. 4155--the Lummis, Gillibrand Payment Stablecoins Act Issues related to crypto & digital assets including digital assets market structure and Stablecoins legislation Money Market Fund (MMF) regulation H.R. 2627--Increasing Investor Opportunities Act & draft Senate legislation--Retail investor access to alternative investments & private markets H.R.835-Fair Investment Opportunities for Professional Experts Act H.R. 2797--Equal Opportunity for All Investors Act H.R. 1579--Accredited Investor Definition Review Act H.R. 2773--Amends the definition of an accredited investor to include individuals receiving advice from certain professionals Accredited investor reform initiatives H.R. 1807-- Improving Disclosure for Investors Act--E-delivery initiatives H.R. 3063--Retirement Fairness for Charities and Educational Institutions Act and Securing a Strong Retirement Act (SECURE Act) 2.0 implementation and modifications--Retirement security initiatives Legislation and oversight of ESG investing including proxy voting by asset managers Congressional oversight of SEC rulemakings such as mandatory swing pricing, hard close, liquidity risk management proposal, and predictive data analytics H.J.Res. 142 and S.J.Res 79--Congressional oversight of the DOL Fiduciary rule proposal and CRA initiatives to disapprove the rule Basel III proposal and bank capital standards impact on asset managers H.R. 2799--the Expanding Access to Capital Act and draft Senate proposals--Capital formation initiatives SAB-121--Accounting and capital impacts on firms offering / holding crypto assets Retirement savings tax incentives including tax deferral for individuals participating in voluntary, employer provided retirement plans and IRAs. Restrictions on outbound investments to China H.R. 10445--Further Continuing Appropriations and Disaster Relief Supplemental Appropriations Act, 2025--Appropriations and disaster relief supplemental appropriations act.
Client expense: $590,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
Mutual fund, ETF, money market mutual fund, securities, and systemic risk issues; equity market structure. HR 4645, Empowering Shareholders Act of 2023; HR 4767, Protecting American's Retirement Savings from Politics Act. SEC proposal on liquidity risk management and swing pricing. H.R. 3066, Retirement Fairness for Charities and Educational Institutions Act of 2023; H.R. 1807, Improving Disclosure for Investors Act of 2023; H.R. 2799, the Expanding Access to Capital Act.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2024 · fourth_quarter · Financial Institutions/Investments/Securities
S. 5139, the Empowering Main Street in America Act H.R. 835, the Fair Investment Opportunities for Professional Experts Act H.R. 1579, the Accredited Investor Definition Review Act H.R. 1548, the Improving Access to Small Business Information Act H.R. 2797, the Equal Opportunity for All Investors Act H.R. 1807, the Improving Disclosure for Investors Act of 2023 H.R. 2796, the Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2799, the Expanding Access to Capital Act H.R. 2612, the Gig Worker Equity Compensation Act H.R. 2579, the Developing and Empowering our Aspiring Leaders Act of 2023 H.R.2799, the Expanding Access to Capital Act of 2023 H.R.2590, the Unlocking Capital for Small Businesses Act of 2023 Corporate Transparency Act: Pub. L. No. 116-283 (January 1, 2021) Private markets & capital formation generally
Client expense: $150,000 · Firm income: Not reported
Government targets: Financial Crimes Enforcement Network (FinCEN), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2024 · fourth_quarter · Banking
Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act; H.R. 1807, Improving Disclosure for Investors Act; H.R. 3812, Financial Stability Oversight Council Improvement Act; H.R. 2627, Increasing Investor Opportunities Act; S. 4917, Retirement Fairness for Charities and Educational Institutions Act of 2024
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2024 · fourth_quarter · Insurance
Systemic risk in financial services; SEC regulations regarding the registration of annuity products; Improving Disclosure for Investors Act (H.R. 1807/S.3815) and issues related to the electronic delivery of certain SEC required disclosures; and Electronic recordkeeping requirements for broker-dealers.
Client expense: $350,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of