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Encouraging Public Offerings Act of 2019
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Encouraging Public Offerings Act of 2019 This bill allows an issuer of securities to communicate with potential investors to ascertain interest in a contemplated securities offering, either before or after the filing of a registration statement (i.e., "test the waters"). Under current law, only emerging growth companies may engage in such communications. The bill also allows an issuer to submit a confidential draft registration statement to the Securities and Exchange Commission for review prior to public filing or within one year after the initial public offering or registration.
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 (5)
2021 · first_quarter · Financial Institutions/Investments/Securities
Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
Introduced in Senate
Bills with similar content found using semantic analysis.
Sources: Congress.gov
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, H.R. 294 - Encouraging Public Offerings Act of 2021, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R. 4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R. 3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Support for Nasdaq Board Diversity filing with the SEC; Defend dual class structures; Federal financial transaction tax, H.R. 8695 - Protecting Retirement Savers and Everyday Investors Act; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $505,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2020 · fourth_quarter · Financial Institutions/Investments/Securities
legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2019; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities; and Requiring transparency of short positions that match existing requirements on long position holders. Legislative proposals and implementation related to COVID-19 economic relief. SEC rules on board diversity disclosure
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · fourth_quarter · Financial Institutions/Investments/Securities
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Federal financial transaction tax, H.R.8695 - Protecting Retirement Savers and Everyday Investors Act; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $430,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2020 · third_quarter · Financial Institutions/Investments/Securities
egislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2019; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities; and Requiring transparency of short positions that match existing requirements on long position holders. Legislative proposals and implementation related to COVID-19 economic relief
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · third_quarter · Financial Institutions/Investments/Securities
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Federal financial transaction tax (A4402); Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $380,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2020 · second_quarter · Financial Institutions/Investments/Securities
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); 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.); 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; Accounting standards for municipalities; 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; 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); P.L. 106-229 (E-Sign Act); 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; 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; Fiscal Year 2021 Financial Services and General Government Appropriations bill; Public Law 116-136, CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act; LOCAL Infrastructure Act (Wicker Advance Refunding); American Infrastructure Bonds Act (Wicker direct pay bonds); H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act.
2020 · second_quarter · Financial Institutions/Investments/Securities
egislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2019; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities; and Requiring transparency of short positions that match existing requirements on long position holders. Legislative proposals and implementation related to COVID-19 economic relief
2020 · second_quarter · Financial Institutions/Investments/Securities
Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2020 · first_quarter · Financial Institutions/Investments/Securities
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.
2020 · first_quarter · Financial Institutions/Investments/Securities
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: Not reported · Firm income: $60,000
2020 · first_quarter · Financial Institutions/Investments/Securities
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2019 · first_quarter · Financial Institutions/Investments/Securities
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
2019 · first_quarter · Banking
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
2019 · fourth_quarter · Financial Institutions/Investments/Securities
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); Issues related to the Investor Choice Act (not yet reintroduced); 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.
2019 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $320,000 · Firm income: Not reported
2019 · third_quarter · Financial Institutions/Investments/Securities
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; Jumpstart our Business Startups (JOBS) Act implementation; 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; ETF Regulation; 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); Issues related to the Investor Choice Act (not yet reintroduced); 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).
2019 · third_quarter · Financial Institutions/Investments/Securities
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; Jumpstart our Business Startups (JOBS) Act implementation; 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; ETF Regulation; 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); Issues related to the Investor Choice Act (not yet reintroduced); 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).
2019 · third_quarter · Financial Institutions/Investments/Securities
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2017; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $325,000 · Firm income: Not reported
2019 · second_quarter · Banking
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
2019 · second_quarter · Financial Institutions/Investments/Securities
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
2019 · second_quarter · Financial Institutions/Investments/Securities
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
2019 · second_quarter · Banking
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
2019 · second_quarter · Financial Institutions/Investments/Securities
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; Jumpstart our Business Startups (JOBS) Act implementation; 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; ETF Regulation; 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); Issues related to the Investor Choice Act (not yet reintroduced); 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.
2019 · second_quarter · Financial Institutions/Investments/Securities
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - To amend the Securities Exchange Act of 1934 to allow for the registration of venture exchanges, and for other purposes; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act of 2018; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
Client expense: $300,000 · Firm income: Not reported
2019 · first_quarter · Banking
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
2019 · first_quarter · Financial Institutions/Investments/Securities
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
2019 · first_quarter · Financial Institutions/Investments/Securities
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
2019 · first_quarter · Banking
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
2019 · first_quarter · Financial Institutions/Investments/Securities
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1876 (Senior Security Act of 2019); 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 and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; 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; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; 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).
2019 · first_quarter · Financial Institutions/Investments/Securities
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
Client expense: $1,450,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Client expense: $370,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $1,540,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Client expense: $350,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Client expense: $2,380,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Client expense: $1,500,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: $1,500,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Client expense: $1,560,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
Client expense: $1,180,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Client expense: $16,460,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Council on Environmental Quality (CEQ), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), Office of the Comptroller of the Currency (OCC), Office of the Vice President of the United States, Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Social Security Administration (SSA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), White House Office