Investor Choice Act of 2019

S. 2992/ H.R. 5336 Investor Choice Act of 2019, prohibits forced arbitration provisions in corporate documents of registered public companies and in contracts for investment advisors. H.R. 7011, Pandemic Risk Insurance Act of 2020. H.R. 6983, Pandemic Risk Insurance Act of 2020. General lobbying on SEC shareholder arbitration. General lobbying on bank and financial industry use of forced arbitration. General lobbying with regard to the importance of investors having access to redress for securities law violations. General lobbying with regard to FINRA arbitration. General lobbying with regard to the small business c(6) exception in COVID-19 funding legislation.

Client expense: $1,350,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019; H.R. 748 - The CARES Act; Federal Reserve Board and Prudential Agency Covid-19 Actions; Brokered Deposit Comment Proposal from the FDIC; H.R. 5336 - Investor Choice Act of 2019; Diverse Investment Advisers Act (not introduced); H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill.

H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); 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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest; S. 1719 - Senior Security Act of 2019; H.R. 4233 - Options Markets Stability Act; H.R. 5336 - Investor Choice Act of 2019; S. 2992 - Investor Choice Act of 2019; Fiscal Year 2021 Financial Services and General Government Appropriations bill; H.R. 748 - CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act.

S. 2992/ H.R. 5336 Investor Choice Act of 2019, prohibits forced arbitration provisions in corporate documents of registered public companies and in contracts for investment advisors. General lobbying on SEC shareholder arbitration. General lobbying on bank and financial industry use of forced arbitration. General lobbying with regard to the importance of investors having access to redress for securities law violations. General lobbying with regard to FINRA arbitration.

Client expense: $1,370,000 · Firm income: Not reported

S. 2992/ H.R. 5336 Investor Choice Act of 2019, prohibits forced arbitration provisions in corporate documents of registered public companies and in contracts for investment advisors. General lobbying on SEC shareholder arbitration. General lobbying on bank and financial industry use of forced arbitration. General lobbying with regard to the importance of investors having access to redress for securities law violations. General lobbying with regard to FINRA arbitration.

Client expense: $1,300,000 · Firm income: Not reported