Blue Sky Harmonization Act

Monitor issues impacting state securities regulation and investor protection; : S. 2155 and HR 4546, national securities exchange parity legislation; HR 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017; HR 2201 Micro Offering Safe Harbor Act; HR 1585 Fair Investment Opportunities for Professionals; HR 5037, Securities Fraud Act of 2018; HR 5877, Main Street Growth Act; S. 488, JOBS and Investor Confidence Act of 2018, and S. 3421, Blue Sky Harmonization Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 3089, the "Corporate Transparency Act of 2017," legislation directing the Treasury Department to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises substantial control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest; entire bill. H.R. 5037, the "Securities Fraud Act of 2018," legislation to ensure that federal securities law is applied to securities traded on nationally-registered exchanges regulated by the SEC; entire bill. H.R. 6068, the "Counter Terrorism and Illicit Finance Act," legislation to update dollar amount thresholds for certain currency transaction reports and suspicious activity reports, to improve information sharing between financial institutions with respect to terrorism, money laundering, and other unlawful activities, and to provide an 18-month enforcement delay of FinCEN's final rulemaking on Customer Due Diligence (81 Fed. Reg. 29397, May 11, 2016); entire bill. H.R. 6239, the "DISCLOSE Act of 2018," legislation to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities; provisions related to beneficial ownership, the SEC requiring public companies to disclose political spending, and requirements for federal contractors to disclose their support for public issues and causes that are not otherwise subject to disclosure under federal law. S. 3150, the "DISCLOSE Act of 2018," legislation to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities; provisions related to beneficial ownership, the SEC requiring public companies to disclose political spending, and requirements for federal contractors to disclose their support for public issues and causes that are not otherwise subject to disclosure under federal law. S. 1454, the "True Incorporation Transparency for Law Enforcement (TITLE) Act," legislation to direct each state to amend their business formation laws to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest; entire bill. S. 3421, the "Blue Sky Harmonization Act," legislation to ensure uniform application of federal securities law is applied to securities traded on nationally registered exchanges regulated by the SEC; entire bill. Implementation of Pub. Law 115-174, the "Economic Growth, Regulatory Relief, and Consumer Protection Act." Nomination of Dino Falaschetti for Director of the Office of Financial Research. Efforts by states to impose fiduciary obligations on investment professionals who handle ERISA funds. General education concerning the need to include in the Senate Financial Services General Government Appropriations Bill the policy rider prohibiting the Securities and Exchange Commission from using funds to promulgate any rule compelling public companies to disclose payments made to entities, such as trade associations, that engage in political activity. General education concerning the Financial Stability Oversight Council's exercise of authority to designate entities for enhanced oversight under section 117 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. General education concerning the need for a uniform federal regulatory scheme for financial technology. General education concerning the need to modernize and improve the Bank Secrecy Act and Anti-Money Laundering (BSA/AML) regime applicable to financial institutions. General education concerning ways to rationalize and improve the Consumer Financial Protection Bureau's regulatory and enforcement policies. General education regarding the SEC's proposed Regulation Best Interest (83 Fed. Reg. 21574, May 9, 2018), and Form CRS Relationship Summary (83 Fed. Reg. 21416, May 9, 2018).

S. 223/H.R. 3758 (Senior$afe Act of 2017); provides immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens. H.R. 10 (Financial CHOICE Act of 2017); converts the Consumer Financial Protection Bureau into a consumer law enforcement agency, subjects the agency to the congressional appropriations process, expanded judicial review, and additional congressional oversight, eliminates supervisory authority over financial institutions; and limits the agency's authority to take action against entities for abusive practices. H.R. 3911 (Risk-Based Credit Examination Act); amends the Securities Exchange Act of 1934 with respect to risk-based examinations of Nationally Recognized Statistical Rating Organizations. S. 1321/H.R. 2823 (Affordable Retirement Advice for Savers Act); amends the Employee Retirement Income Security Act of 1974 and the Internal Revenue Code of 198 to repeal the Fiduciary Definition rulemaking. S. 370/S. 1804 (Repeal CFPB Act); eliminates the Bureau of Consumer Financial Protection by repealing title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Consumer Financial Protection Act of 2010. H.R. 3118/H.R. 1031; repeals the Consumer Financial Protection Act of 2010, which established the Consumer Financial Protection Bureau. H.J Res. 111; Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Arbitration Agreements." S.J.Res.47; A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Arbitration Agreements." S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); amends current banking and financial regulation laws. H.R. 5037 (Securities Fraud Act of 2018); provides exclusive Federal jurisdiction over civil securities fraud actions, preempting state law and regulation. S. 3421 (Blue Sky Harmonization Act); provides exclusive federal jurisdiction over civil securities fraud actions, preempting state law and regulation. General lobbying with regard to the Department of Labors conflict of interest rule. General lobbying with regard to the Department of Labors fiduciary rule. General lobbying with regard to the SEC fiduciary standard review. General lobbying on issues related to shareholder arbitration provisions.

Issues related to reform of Capital Markets Regulations. S. 3421, Blue Sky Harmonization Act, all provisions. H.R. 5037, Securities Fraud Act of 2018, all provisions.

Client expense: $10,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Monitor issues impacting state securities regulation and investor protection; : S. 2155 and HR 4546, national securities exchange parity legislation; HR 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017; HR 2201 Micro Offering Safe Harbor Act; HR 1585 Fair Investment Opportunities for Professionals; HR 5037, Securities Fraud Act of 2018; HR 5877, Main Street Growth Act; S. 488, JOBS and Investor Confidence Act of 2018, and S. 3421, Blue Sky Harmonization Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10, Financial CHOICE Act of 2017 H.R. 21/S. 34, Midnight Rules Relief Act of 2017 H.R. 78, SEC Regulatory Accountability Act H.R. 79/S. 588, Helping Angels Lead Our Startups (HALOS) Act H.R. 238, Commodity End-User Relief Act H.R. 477, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017 H.R. 1116, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 H.R. 1153, Mortgage Choice Act of 2017 H.R. 1219/S. 444, Supporting America's Innovators Act of 2017 H.R. 1257, Securities and Exchange Commission Overpayment Credit Act H.R. 1312/S. 416, Small Business Capital Formation Enhancement Act H.R. 1343, Encouraging Employee Ownership Act of 2017 H.R. 1457, Making Online Banking Initiation Legal and Easy (MOBILE) Act of 2017 H.R. 1585, Fair Investment Opportunities for Professional Experts Act H.R. 1611, Gender Diversity in Corporate Leadership Act of 2017 H.R. 1645/S. 2126, Fostering Innovation Act of 2017 H.R. 1702, Small Business Development Centers Improvement Act of 2018 H.R. 2128, Due Process Restoration Act of 2017 H.R. 2201, Micro Offering Safe Harbor Act H.R. 2226/S. 2013, Portfolio Lending and Mortgage Access Act H.R. 2396, Privacy Notification Technical Clarification Act H.R. 2553, Taking Account of Bureaucrats Spending (TABS) Act of 2017 H.R. 2706, Financial Institution Customer Protection Act of 2017 H.R. 3089, Corporate Transparency Act of 2017 H.R. 3093, Investor Clarity and Bank Parity Act H.R. 3110, Financial Stability Oversight Council Insurance Member Continuity Act H.R. 3179, Transparency and Accountability for Business Standards Act H.R. 3299, Protecting Consumers' Access to Credit Act of 2017 H.R. 3312/S. 1893, Systemic Risk Designation Improvement Act of 2017 H.R. 3746/S. 2702, Business of Insurance Regulatory Reform Act of 2017 H.R. 3762, International Insurance Standards Act of 2017 H.R. 3857, Protecting Advice for Small Savers (PASS) Act of 2017 H.R. 3860, IRS Data Verification Modernization Act of 2017 H.R. 3903/S. 2347, Encouraging Public Offerings Act of 2017 H.R. 3911, Risk-Based Credit Examination Act H.R. 3948, Protection of Source Code Act H.R. 3972, Family Office Technical Correction Act of 2017 H.R. 3973, Market Data Protection Act of 2017 H.R. 3978, TRID Improvement Act of 2017 H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 H.R. 4061, Financial Stability Oversight Council Improvement Act of 2017 H.R. 4248, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals, and for other purposes H.R. 4263, Regulation A+ Improvement Act of 2017 H.R. 4267, Small Business Credit Availability Act H.R. 4279, Expanding Investment Opportunities Act H.R. 4281/S. 2953, Expanding Access to Capital for Rural Job Creators Act H.R. 4289, To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal certain disclosure requirements related to coal and mine safety H.R. 4292, Financial Institution Living Will Improvement Act of 2017 H.R. 4293, Stress Test Improvement Act of 2017 H.R. 4294, Prevention of Private Information Dissemination Act of 2017 H.R. 4296, To place requirements on operational risk capital requirements for banking organizations established by an appropriate Federal banking agency H.R. 4311, Foreign Investment Risk Review Modernization Act of 2017 H.R. 4519, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to resource extraction, and for other purposes H.R. 4529, Accelerating Access to Capital Act of 2017 H.R. 4537, International Insurance Standards Act of 2017 H.R. 4545, Financial Institutions Examination Fairness and Reform Act H.R. 4550, Practice of Law Technical Clarification Act of 2017 H.R. 4566, Alleviating Stress Test Burdens to Help Investors Act H.R. 4607, Comprehensive Regulatory Review Act H.R. 4659, To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives H.R. 4753, Federal Reserve Supervision Testimony Clarification Act H.R. 4771, Small Bank Holding Company Relief Act of 2018 H.R. 4790, Volcker Rule Regulatory Harmonization Act H.R. 4861, Ensuring Quality Unbiased Access to Loans (EQUAL) Act of 2018 H.R. 5036, Financial Technology Protection Act H.R. 5051, Public Company Registration Threshold Act H.R. 5054, Small Company Disclosure Simplification Act of 2018 H.R. 5059, State Insurance Regulation Preservation Act H.R. 5105/S. 2436, Better Utilization of Investments Leading to Development (BUILD) Act of 2018 H.R. 5192/S. 2498, Protecting Children from Identity Theft Act H.R. 5266, Financial Product Safety Commission Act of 2018 H.R. 5323, Derivatives Fairness Act H.R. 5534, Give Useful Information to Define Effective (GUIDE) Compliance Act H.R. 5645, Standard Merger and Acquisition Reviews Through Equal Rules Act of 2018 H.R. 5749, Options Markets Stability Act H.R. 5756, To require the Securities and Exchange Commission to adjust certain resubmission thresholds for shareholder proposals H.R. 5783, Cooperate with Law Enforcement Agencies and Watch Act of 2018 H.R. 5877, Main Street Growth Act H.R. 5970, Simplifying Disclosures for Investors Act H.R. 5999, Streamlining Communications for Investors Act H.R. 6021, Small Business Audit Correction Act of 2018 H.R. 6035, Streamlining Communications for Investors Act H.R. 6068, Counter Terrorism and Illicit Finance Act H.R. 6130, Helping Startups Continue to Grow Act H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act H.R. 6158, Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018 H.R. 6177, Developing and Empowering our Aspiring Leaders Act of 2018 H.R. 6319, Expanding Investment in Small Businesses Act H.R. 6320, Promoting Transparent Standards for Corporate Insiders Act H.R. 6321, Investment Adviser Regulatory Flexibility Improvement Act H.R. 6322, Enhancing Multi-Class Stock Disclosures Act H.R. 6324, Middle Market IPO Underwriting Cost Act S. 366, Taking Account of Institutions with Low Operation Risk (TAILOR) Act of 2017 S. 462, Securities and Exchange Commission Overpayment Credit Act S. 488, JOBS and Investor Confidence Act of 2018 S. 536, Cybersecurity Disclosure Act of 2017 S. 1117, Consumer Financial Choice and Capital Markets Protection Act of 2017 S. 1241, Combating Money Laundering, Terrorist Financing, and Counterfeiting Act of 2017 S. 1454, True Incorporation Transparency for Law Enforcement (TITLE) Act S. 1463, Financial Stability Oversight Council Insurance Member Continuity Act S. 1717, Corporate Transparency Act of 2017 S. 1744, Brokaw Act S. 2098, Foreign Investment Risk Review Modernization Act of 2017 S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act S. 2499, A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority S. 2756, Fair Investment Opportunities for Professional Experts Act S. 2765, RBIC Advisers Relief Act of 2018 S. 3004, Small Business Audit Correction Act of 2018 S. 3421, Blue Sky Harmonization Act S. J. Res. 57, A joint resolution providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by Bureau of Consumer Financial Protection relating to "Indirect Auto Lending and Compliance with the Equal Credit Opportunity Act" Draft legislation titled Credit Services Protection Act of 2017 Draft legislation titled Counter Terrorism and Illicit Finance Act Draft legislation titled Data Acquisition and Technology Accountability and Security Act Draft legislation directing the Securities and Exchange Commission to increase and align the smaller reporting company and nonaccelerated filer financial thresholds Draft legislation to remove the limitation on large accelerated filers qualifying as an emerging growth company Draft legislation to require the Securities and Exchange Commission to revise the definition of a qualifying portfolio company to include an emerging growth company, for purposes of the exemption from registration for venture capital fund advisers under the Investment Advisers Act of 1940 Draft legislation to amend the Investment Company Act of 1940 to increase the percentage of voting shares a diversified company may hold in a single issuer Potential legislation similar to H.R. 1090, Retail Investor Protection Act (114th Cong.) Potential legislation similar to H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 Proposed regulations on universal proxy (81 Fed. Reg. 79,122-79,186, November 10, 2016) Proposed rule on auditor independence with respect to certain loans or debtor-creditor relationships (83 Fed. Reg. 20,753-20,773, May 8, 2018) Proposed regulation on Regulation Best Interest (83 Fed. Reg. 21,574-21,682, May 9, 2018) Proposed Commission interpretation regarding standard of conduct for investment advisers; request for comment on enhancing investment (83 Fed. Reg. 21,203-21,214, May 9, 2018) Proposed rule on form CRS relationship summary; amendments to form ADV; required disclosures in retail communications and restrictions on the use of certain names or titles (83 Fed. Reg. 21,416-21,575, May 9, 2018) Federal Reserve and the Office of the Comptroller of the Currency; Joint Notice of Proposed Rulemaking: Regulatory Capital Rules: Regulatory Capital, Enhanced Supplementary Leverage Ratio Standards for U.S. Global Systemically Important Bank Holding Companies and Certain of Their Subsidiary Insured Depository Institutions; Total Loss-Absorbing Capacity Requirements for U.S. Global Systemically Important Bank Holding Companies; Federal Reserve System Docket No. R-1604 and OCC Docket ID OCC-2018-0002 Nomination of Kathleen Kraninger to serve as Director of the Bureau of Consumer Financial Protection Nomination of Elad Roisman to serve as a Commissioner of the Securities and Exchange Commission Nomination of Dr. Dino Falaschetti to serve as Director of the Office of Financial Research Nomination of Jelena McWilliams to be Chair of the Federal Deposit Insurance Corporation Nomination of Kimberly Reed to serve as President of the Export-Import Bank of the United States (Ex-Im) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); implementation of the Jumpstart Our Business Startups Act (P.L. 112-106); implementation of the Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174, section 215); Executive Order 13772, Core Principles for Regulating the United States Financial System; Presidential Memorandum for the Secretary of the Treasury regarding Orderly Liquidation Authority; Basel III capital standards, bank capital, and liquidity reform; Consumer Financial Protection Bureau (CFPB) transparency and accountability; CFPB regulatory sandbox for disclosures; CFPB consumer complaint database; CFPB reform; anti-money laundering and Bank Secrecy Act (P.L. 91-508) improvements; political spending disclosures; systemic risk regulation and Financial Stability Oversight Council (FSOC) designation of non-bank financial companies; Financial Stability Oversight Council (FSOC) reform; Department of Treasury review of FSOC determination and designation process; Federal Reserve: Enhanced Disclosure of the Models Used in the Federal Reserves Supervisory Stress Test, Docket No. OP-1586; Stress Testing Policy Statement, Docket No. OP-1587; Policy Statement on the Scenario Design Framework for Stress Testing, Docket No. OP-1588; Office of Financial Research transparency and accountability; reform of international standard setting bodies including Financial Stability Board, International Association of Insurance Supervisors and Basel Committee on Banking Supervision; Federal Reserve reform; Federal Reserve proposed guidance on supervisory expectation for boards of directors 2017-16735; proxy voting systems; Security Exchange Commission strategic plan; Security Exchange Commission Rule 701 Form S-8 reforms; Security Exchange Commission conflict mineral rule; Security Exchange Commission pay ratio rule; Security Exchange Commission Advisory Committee on Small and Emerging Companies; Security Exchange Commission request for information regarding standards of conduct for investment advisors and broker-dealers; Security Exchange Commission staff legal bulletin 141 (CF) shareholder proposals; Security Exchange Commission FAST Act (P.L. 114-94) modernization and simplification of regulations S-K file no. S7-08-17; Security Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; Security Exchange Commission auditor independence with respect to certain loans or debtor-creditor relationships file no. S7-10-18; Security Exchange Commission Staff Legal Bulletin 20 Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms; Security Exchange Commission proposal on the use of derivatives by registered investment companies and business development companies; Security Exchange Commission standards of conduct for investment advisers and broker-dealers; Public Company Accounting Oversight Board (PCAOB), including draft strategic plan for 2018-2022; Federal Trade Commission competition and consumer protection in the 21st century hearings regarding common ownership; disclosure requirements and materiality; JOBS Act 3.0; potential legislation to create legal framework for venture exchange; credit bureau issues; tailoring bank rules to reduce the burden on small, midsize, and regional banks; beneficial ownership; reforms to the Committee on Foreign Investment in the United States; modernization of the Community Reinvestment Act (P.L. 95-128); application of Customer Identification Program requirements under anti-money laundering rules to bank-affiliated premium finance companies; application of the May 2016 Customer Due Diligence Rule to routine cash refunds issued by bank-affiliated premium finance companies; proposals to audit the Board of Governors of the Federal Reserve System; small business lending; consolidated asset thresholds related to the Advanced Approaches capital framework, the net stable fund ratio rule, and the liquidity coverage ratio rule; impact of prudential regulations on lending to small businesses by depository institutions; testimony by the Vice Chairman for Supervision, Federal Reserve Board, to the House Committee on Financial Services and the Senate Committee on Banking, Housing, and Urban Affairs; CFTC Proposed rulemaking on the De Minimis Exception to the Swap Dealer Definition; HUD proposed rulemaking regarding implementation of the Fair Housing Acts Disparate Impact Standard; Federal Trade Commission concerning Common Ownership; SEC proposed amendments to the Commissions Whistleblower Program rules; blockchain and fintech

H.R. 4790, the "Volcker Rule Harmonization Act," a bill to amend the Bank Holding Company Act of 1956 to grant exclusive rulemaking authority under the Volcker Rule (limiting proprietary trading) to the Federal Reserve Board of Governors; entire bill. H.R. 4015, the "Corporate Governance Reform and Transparency Act of 2017," legislation to improve the quality of proxy advisory firms for the protection of investors and the U.S. economy, and in the public interest, by fostering accountability, transparency, responsiveness, and competition in the proxy advisory firm industry; entire bill. H.R. 3089, the "Corporate Transparency Act of 2017," legislation directing the Treasury Department to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises substantial control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest; entire bill. S. 1717, the "Corporate Transparency Act of 2017," legislation directing the Treasury Department to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises substantial control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest; entire bill. H.R. 5037, the "Securities Fraud Act of 2018," legislation to ensure that federal securities law is applied to securities traded on nationally-registered exchanges regulated by the SEC; entire bill. H.R. 6068, the "Counter Terrorism and Illicit Finance Act," legislation to update dollar amount thresholds for certain currency transaction reports and suspicious activity reports, to improve information sharing between financial institutions with respect to terrorism, money laundering, and other unlawful activities, and to provide an 18-month enforcement delay of FinCEN's final rulemaking on Customer Due Diligence (81 Fed. Reg. 29397, May 11, 2016); entire bill. H.R. 6239, the "DISCLOSE Act of 2018," legislation to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities; provisions related to beneficial ownership, the SEC requiring public companies to disclose political spending, and requirements for federal contractors to disclose their support for public issues and causes that are not otherwise subject to disclosure under federal law. S. 3150, the "DISCLOSE Act of 2018," legislation to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities; provisions related to beneficial ownership, the SEC requiring public companies to disclose political spending, and requirements for federal contractors to disclose their support for public issues and causes that are not otherwise subject to disclosure under federal law. S. 1454, the "True Incorporation Transparency for Law Enforcement (TITLE) Act," legislation to direct each state to amend their business formation laws to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest; entire bill. S. 3421, the "Blue Sky Harmonization Act," legislation to ensure uniform application of federal securities law is applied to securities traded on nationally registered exchanges regulated by the SEC; entire bill. Legislative proposals to require every business owner in the United States to file with the government the name, address, and a copy of a driver's license or unexpired passport of every individual who, directly or indirectly, derives a substantial economic benefit from, exercises substantial control over, or has certain other interests in a legal entity and further requiring business owners to update this information within 60 days of any change in individuals who, directly or indirectly, have such an interest or any change in the information about an individual already disclosed as having a reportable direct or indirect interest. Sec. 1006 of Public Law 115-232, the "John S. McCain National Defense Authorization Act for Fiscal Year 2019," to require any company doing business with the Department of Defense to have its audit firm report to the Department any disciplinary proceeding against the audit firm brought on a Federal or State level, including Public Company Accounting Oversight Board disciplinary proceedings against an audit firm that audits a company doing business with the Department. Implementation of Pub. Law 115-174, the "Economic Growth, Regulatory Relief, and Consumer Protection Act." Implementation of the July 11, 2018 Executive Order Regarding the Establishment of the Task Force on Market Integrity and Consumer Fraud. Nomination of Elad Roisman to be a Commissioner of the Securities and Exchange Commission. Nomination of Dino Falaschetti for Director of the Office of Financial Research. General education regarding the SEC's proposed Regulation Best Interest (83 Fed. Reg. 21574, May 9, 2018), and Form CRS Relationship Summary (83 Fed. Reg. 21416, May 9, 2018). General education concerning the need to modernize and improve the Bank Secrecy Act and Anti-Money Laundering (BSA/AML) regime applicable to financial institutions. General education concerning the need to include in the Senate Financial Services General Government appropriations bill the policy rider prohibiting the SEC from using funds to promulgate any rule compelling public companies to disclose payments made to entities, such as trade associations, that engage in political activity. General education concerning the need for a uniform federal regulatory scheme for financial technology. General education concerning ways to rationalize and improve the Consumer Financial Protection Bureau's regulatory and enforcement policies. General education concerning the Financial Stability Oversight Council's exercise of authority to designate entities for enhanced oversight under section 117 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.