No China in Index Funds Act

- Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act; Issues related to the SECs predictive data analytics proposal; Issues related to Hart-Scott-Rodino pre-merger notifications; Issues related to SEC oversight; H.R. 7758, No China in Index Funds Act; S. 5139, Empowering Main Street in America Act of 2024

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

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

H.R. 6349, Preventing Adversaries from Developing Critical Capabilities Act H.R. 7024, Tax Relief for American Families and Workers Act of 2024 H.R. 7092, Protecting Private Job Creators Act H.R. 7758, No China in Index Funds Act H.R. 7759, PRC Military and Human Rights Capital Markets Sanctions Act of 2024 H.R. 7760, No Capital Gains Allowance for American Adversaries Act H.R. 8773/S. 2309, Financial Services and General Government Appropriations Act, 2025 H.R. 9162, PRC Risk Transparency Act S. 3286, Disclosing Investments in Foreign Adversaries Act of 2023 S. 3554, Financial Artificial Intelligence Risk Reduction (FAIRR) Act S. 4638, National Defense Authorization Act for Fiscal Year 2025 S. 5016, Combat Chinese Economic Aggression Act of 2024 S. 5139, Empowering Main Street in America Act of 2024 Predictive Data Analytics proposal. Legislative oversight of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Regulation and oversight of investment advisers. Equity market structure issues including electronic and algorithmic trading. Protection for sensitive and proprietary data. Security-based swaps regulation. Environmental, social, and governance (ESG) and diversity, equity, and inclusion (DEI) policies. Nonbank regulation. Private fund adviser rule. Dealer definition rule. Form PF rule. AML issues. Financial Stability Oversight Council (FSOC) interpretive guidance regarding authority to require supervision and regulation of certain nonbankfinancial companies. Artificial Intelligence. Significant risk transfers. Beneficial ownership. Investment limitations on foreign assets. Outbound investment review process. Short selling. Digital assets and cryptocurrencies. Implementation of the Consolidated Appropriations Act of 2023 (P.L. 117-328). Custody proposal. Securities lending. Private credit regulation. Syndicated loans regulation. Treasury market structure.

Client expense: $1,260,000 · Firm income: Not reported

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

- Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act; Issues related to the SECs predictive data analytics proposal; Issues related to Hart-Scott-Rodino pre-merger notifications; Issues related to SEC oversight; H.R. 7758, No China in Index Funds Act; S. 4928, Financial Services and General Government Appropriations Act, 2025

Client expense: $70,000 · Firm income: Not reported

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