INDEX Act

Financial Stability Issues Hart Scott Rodino Rule Proposals Exchange Traded Products Increasing Investor Opportunities Act, HR 4262 Climate Risk ESG Disclosure Rule 15c2-11 Money Market Fund Reform Reg ATS U.S. Treasury Market Structure Form PF Private Fund Disclosure Short Sale Proposal Definition of Dealer S. 4241/HR 8521, INDEX Act S. 5064 Secure 2.0/EARN Act HR 2954 Secure 2.0 Digital Assets Equity Market Structure Investment Company Names Rule CCP Risk Swap Block Sizes Uncleared Margin Relief SEC Outsourcing Proposal SEC Open-End Fund Liquidity Risk Management and Swing Pricing Proposal SEC Safeguarding Rule

Client expense: $540,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

1.Americas Outdoor Recreation Act of 2022 (S.3266); 2.Assault Weapons Ban (S.736 / H.R.1808); 3.Assault Weapons Excise Act (H.R.8051); 4.Background Check Completion Act of 2021 (S.591); 5.Background Check Expansion Act (S.529); 6.Bipartisan Background Checks Act (H.R.8); 7.Bipartisan Safer Communities Act (S.2938); 8.Chronic Wasting Disease Research and Management Act (S.4111/H.R.5608); 9.Closing the Loophole on Interstate Firearm Sales Act (H.R.647); 10.Commercial sales of M855/SS109 green tip ammunition; 11.Concealed Carry Reciprocity Act (S.1522/H.R.38/S.4105); 12.Department of Justice zero tolerance policy; 13.Disarm Hate Act (S.2090/ H.R.3929); 14.Empowering Law Enforcement for Safer Firearm Transfers Act of 2021 (H.R.1782); 15.Enhanced Background Checks Act of 2021 (H.R.1446); 16.Extreme Risk Protection Order Act of 2021 (S.1819); 17.Fair Access to Banking Act (S.563/H.R.1729) / Discrimination in lending; 18.FDIC Act (S.229); 19.Federal Extreme Risk Protection Order Act of 2021 (H.R.2377); 20.Federal Firearm Licensee Act (H.R.6225); 21.Federal Firearms Licensee Protection Act (S.2449/H.R.3252); 22.Federal Trade Commission (FTC) on advertising by firearm manufacturers; 23.Firearm Industry Nondiscrimination Act (S.4435/H.R.6970); 24.Firearm Safety Act of 2021 (H.R.880); 25.Firearm Tracing / Tiahrt Amendment; 26.Foreign National Firearms Background Check Enhancement Act (H.R.2971); 27.Firearms Safety Act (S.788); 28.FY23 Appropriations-Agriculture, Rural Development, Food and Drug Administration, and Related Agencies; 29.FY23 Appropriations-Commerce, Justice, Science and Related Agencies; 30.FY23 Appropriations-Homeland Security; 31.FY23 Appropriations-Interior, Environment, and Related Agencies; 32.Gun Records Restoration and Preservation Act (S.974/H.R.2282); 33.Gun Violence Prevention Through Financial Intelligence Act (S.3117/ H.R.5764); 34.HEAR Act (S.1131); 35.Hearing Protection Act (S.2050/H.R.95); 36.Home Defense and Competitive Shooting Act of 2021 (S.803/ H.R.1758); 37.Illegal Alien NICS Alert Act (S.1261/H.R.355) 38.INDEX Act (S.4241/ H.R.8521); 39.Keep Americans Safe Act (S.1108/ H.R.2510); 40.Keeping Gun Dealers Honest Act of 2021 (S.2320/ H.R.4271); 41.Lawful Interstate Transportation of Firearms Act (S.525/H.R.225/H.R.1680); 42.Limiting Section 230 Immunity to Good Samaritans Act (H.R.277); 43.Local Public Health And Safety Protection Act (H.R.4888); 44.Merchant Category Code for Firearms, Ammunition; 45.Minnesota Senate Lead Ammo Ban Question; 46.Modernizing Access to Our Public Land Act (S.904/H.R.3113); 47.Multiple Firearm Sales Reporting Modernization Act of 2022 (H.R.7904); 48.National Defense Authorization Act for FY23 (H.R.7900); 49.No ESG at TSP Act (H.R.7896); 50.No User Fees for Gun Owners Act (H.R.7366); 51.Nomination of Rachel Bloomekatz (United States Circuit Judge for the Sixth Circuit); 52.Nomination of Steve Dettelbach (ATF Director); 53.Pistol Brace Protection Act (S.4069); 54.Pittman-Robertson Wildlife Conservation Funding; 55.Preventing Unjust Red Flag Laws Act of 2021 (H.R.5417); 56.Protect Our Military Families 2nd Amendment Rights Act (H.R.1013); 57.Protecting Access for Hunters and Anglers Act of 2022 (S.4940/H.R.9088); 58.Protecting Our Kids Act (H.R.7910); 59.Protecting the Right To Keep and Bear Arms Act of 2021 (S.1916/H.R.1534); 60.PROTECT the Second Amendment Act (H.R.6247); 61.Protection of Lawful Commerce in Arms Act / Equal Access to Justice for Victims of Gun Violence Act of 2022 (S.1338 / H.R.2814) 62.Raise the Age Act (H.R.3015); 63.Recreational Lands Self Defense Act (S.2948); 64.Responsible Ownership of Firearms Act (H.R.4136) / Firearm Safety and Education; 65.RETURN our Constitutional Rights Act of 2022 (H.R.8167); 66.RIFLE Act (H.R.3101); 67.SAFER Voter Act (H.R.2890); 68.SAME Act (S.1373); 69.Second Amendment is Essential Act of 2021 (H.R.4060); 70.SECURE Firearm Storage Act (S.2908/ H.R.5465); 71.SOAR Act (S.1229); 72.Stop Online Ammunition Sales Act of 2021 (H.R.1207); 73.STOP Straw Purchases Act (H.R.1604); 74.To amend the Internal Revenue Code of 1986 to exempt certain silencers from regulation under the National Firearms Act (Draft Legislation); 75.Trafficking Reduction And Criminal Enforcement (TRACE) Act (H.R.6646); 76.Traveler's Gun Rights Act (S.4029/ H.R.7466); 77.Untraceable Firearms Act of 2021 (S.1558/ H.R.3088); 78.U.S. Fish and Wildlife Service (USFWS) settlement negotiations with Center for Biological Diversity; 79.U.S. Fish and Wildlife Service (USFWS) Proposed Rule to ban the use of traditional lead ammunition on National Wildlife Refuges (NWRs); 80.USML to CCL Transition (Export Control Reform); 81.U.S. Treasurys Sanctions on Russia; and 82.Veterans 2nd Amendment Protection Act (H.R.1217)

Client expense: $1,290,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

1.Americas Outdoor Recreation Act of 2022 (S.3266); 2.Bipartisan Background Checks Act (H.R.8) / Background Checks Proposals; 3.Bipartisan Safer Communities Act (S.2938); 4.BIS June 1 Rule (87 FR 32983); 5.Bureau of Alcohol, Tobacco, Firearms and Explosives on Unpublished Form 1 Guidance; 6.Chronic Wasting Disease Research and Management Act of 2022 (S.4111/H.R.5608); 7.Commercial sales of M855/SS109 green tip ammunition; 8.Concealed Carry Reciprocity Act (S.1522/H.R.38); 9.Department of Commerce FY23 Budget (BIS); 10.Department of Justice zero tolerance policy; 11.Duncan v. Bonta; 12.Fair Access to Banking Act (S.563/H.R.1729) / Discrimination in lending; 13.Federal Extreme Risk Protection Order Act of 2021 (H.R.2377); 14.Federal Firearms Licensee Protection Act (S.2449/H.R.3252); 15.Firearm Industry Nondiscrimination Act (S.4435/H.R.6970); 16.Firearm Proficiency and Training Act (H.R.7973); 17.FY23 Appropriations-Agriculture, Rural Development, Food and Drug Administration, and Related Agencies (APHIS); 18.FY23 Appropriations-Commerce, Justice, Science and Related Agencies (ATF, FBI NICS); 19.FY23 Appropriations-Homeland Security (Homeland Security Investigations (HSI) Task Force Officer Program; 20.Hearing Protection Act (S.2050/H.R.95); 21.Investor Democracy is Expected (INDEX) Act (S. 4241); 22.Mexicos Civil Lawsuit Against U.S. Firearm Manufacturers; 23.Modernizing Access to Our Public Land Act (MAPLand) Act (S.904/H.R.3113); 24.National Defense Authorization Act for FY23 (H.R.7900); 25.No ESG at TSP Act (H.R.7896); 26.Nomination of Steve Dettelbach (ATF Director); 27.No User Fees for Gun Owners Act (H.R.7366); 28.Pittman-Robertson Wildlife Conservation Funding; 29.Pistol Brace Protection Act (S.4069); 30.Protecting Our Kids Act (H.R.7910); 31.Recovering Americas Wildlife Act (S.2372/H.R.2773); 32.Responsible Ownership of Firearms Act (H.R.4136) / Firearm Safety and Education; 33.RETURN our Constitutional Rights Act of 2022 (H.R.8167); 34.RIFLE Act (H.R.3101); 35.STOP II, Secure Every School and Protect our Nations Children Act (H.R.7966); 36.To require the Inspector General, Department of Justice, to submit a report to the Congress on the number of firearm transaction denials(H.R.194); 37.Travelers Gun Rights Act (S.4029/H.R.7466); 38.UN Arms Trade Treaty (ATT); 39.U.S. Fish and Wildlife Service (USFWS) Gray Wolf Protections; 40.U.S. Fish and Wildlife Service (USFWS) June 9 Proposed Rule; 41.U.S. Fish and Wildlife Service (USFWS) settlement negotiations with Center for Biological Diversity; 42.USML to CCL Transition (Export Control Reform); 43.U.S. Treasurys Sanctions on Russia; and 44.Veterans 2nd Amendment Protection Act (H.R.1217)

Client expense: $1,400,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to proxy advisory firms and ESG investing. Responded to inquiries on S. 4241/HR 8521, the INDEX Act. Client has not taken a position on INDEX Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1277 - Improving Corporate Governance Through Diversity; entire bill H.R. 1816 - Information Transparency and Personal Data Control Act; entire bill H.R. 2039 - To Prohibit the Securities and Exchange Commission from Requiring that Personally Identifiable Information be Collected under Consolidated Audit Trail Reporting Requirements, and for other Purposes; entire bill H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; entire bill H.R. 2620 - Investor Choice Act of 2021; entire bill H.R. 3962 - To authorize notaries public to perform, and to establish minimum standards for, electronic notarizations and remote notarizations that occur in or affect interstate commerce, to require any Federal court to recognize notarizations performed by a notarial officer of any State, to require any State to recognize notarizations performed by a notarial officer of any other State when the notarization was performed under or relates to a public Act, record, or judicial proceeding of the notarial officer's State or when the notarization occurs in or affects interstate commerce, and for other purposes; entire bill H.R. 4616 - Adjustable Interest Rate (LIBOR) Act of 2021; entire bill H.R. 8152 - the American Data Privacy and Protection Act; entire bill S. 374 - Improving Corporate Governance Through Diversity Act; entire bill S. 1171 - Investor Choice Act of 2021; entire bill S. 1209 - Protecting Investors Personally Identifiable Information Act; entire bill S. 1625 - Securing and Enabling Commerce Using Remote and Electronic Notarization Act (SECURE Notarization Act); entire bill S. 3779 - Adjustable Interest Rate (LIBOR) Act; entire bill S. 4241 - INvestor Democracy is EXpected (INDEX) Act; entire bill Not Yet Introduced: Rep. Patrick McHenry Financial Data Privacy discussion draft

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 935/S. 3391, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021 H.R. 1087, Shareholder Political Transparency Act of 2021 H.R. 1187, Corporate Governance Improvement and Investor Protection Act H.R. 1277/S. 374, Improving Corporate Governance Through Diversity Act of 2021 H.R. 1602, Eliminate Barriers to Innovation Act of 2021 H.R. 2025/S. 840, To amend title 28, United States Code, to increase transparency and oversight of third-party litigation funding in certain actions, and for other purposes H.R. 2516, Promoting Diversity and Inclusion in Banking Act of 2021 H.R. 2543, Federal Reserve Racial and Economic Equity Act H.R. 2547, Comprehensive Debt Collection Improvement Act H.R. 2570, Climate Risk Disclosure Act of 2021 H.R. 2620, Investor Choice Act of 2021 H.R. 2990/S. 3931, Gig Worker Equity Compensation Act H.R. 3007, Disclosure of Tax Havens and Offshoring Act H.R. 3448/S. 4992, Helping Startups Continue to Grow Act H.R. 3454, Modernizing Disclosures for Investors Act H.R. 3843, Merger Filing Fee Modernization Act of 2022 H.R. 4227/S. 3914, Developing and Empowering our Aspiring Leaders Act H.R. 4277, Overdraft Protection Act of 2021 H.R. 4345, Financial Services and General Government Appropriations Act, 2022 H.R. 4521, America Creating Opportunities for Manufacturing, Pre-Eminence in Technology, and Economic Strength (America COMPETES) Act of 2022, including provisions related to House Amendment 218 H.R. 4590, Promoting New and Diverse Depository Institutions Act H.R. 4616, Adjustable Interest Rate (LIBOR) Act of 2021 H.R. 4773, Consumer Financial Protection Commission Act H.R. 5128/S. 3503, Expanding Access to Capital for Rural Job Creators Act H.R. 5525, Establishing New Authorities for Businesses Laundering and Enabling Risks to Security (ENABLERS) Act H.R. 5586/S. 3056, Prohibiting IRS Financial Surveillance Act H.R. 5598/S. 3961, Access to Small Business Investor Capital Act H.R. 5648/S. 3022, Stop Wall Street Looting Act H.R. 5795/S. 3097, Main Street Growth Act H.R. 5910, Holding SPACs Accountable Act of 2021 H.R. 5911, Fair Hiring in Banking Act H.R. 7151, Ensuring Sound Guidance Act H.R. 7900, National Defense Authorization Act for Fiscal Year 2023 H.R. 7977, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 8254/S. 4685, Financial Services and General Government Appropriations Act, 2023 H.R. 8521, Investor Democracy is Expected (INDEX) Act S. 479, Lifting Our Communities through Advance Liquidity for (LOCAL) Infrastructure Act S. 2417, Credit Access and Inclusion Act of 2021 S. 2508, Veterans and Consumers Fair Credit Act S. 3410, The Consumer Protection and Due Process Act S. 3755, Arbitration Fairness for Consumers Act S. 3921, Equal Opportunity for all Investors Act S. 3923, Dodd-Frank Material Disclosure Improvement Act S. 3930, Administrative Enforcement Fairness Act of 2022 S. 3939, Small Entrepreneurs' Empowerment and Development (SEED) Act of 2022 S. 3967, Improving Crowdfunding Opportunities Act S. 3976, Expanding American Entrepreneurship Act S. 4241, Investor Democracy is Expected (INDEX) Act S. 5005, Mandatory Materiality Requirement Act of 2022 Draft legislation titled Jumpstart our Business Startups (JOBS) Act 4.0 of 2022 Draft legislation titled Mandatory Materiality Requirement Act of 2022 Potential legislation to foster economic growth and job creation through capital formation Potential legislation to further economic growth through environmental, social, and governance factors Potential legislation to make changes to the Exchange Act Rule 14a-8 shareholder proposal process Potential legislation to hold proxy voting advice businesses accountable Potential legislation to require the SEC to consider additional standards in the rulemaking process Potential legislation to study the term small entity Potential legislation regarding a new regulatory framework for stablecoins Potential legislation dealing with third party litigation financing and lawsuit lending SEC Money Market Fund Reforms (86 Fed. Reg. 7,248, December 15, 2021) Proposed Rule, Securities and Exchange Commission; Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps, Prohibition against Undue Influence over Chief Compliance Officers, Position Reporting of Large Security-Based Swap Positions (87 Fed. Reg. 6,652-6,706, February 4, 2022) Proposed rule on Enhancement and Standardization of Climate-Related Disclosures for Investors (87 Fed. Reg. 21,334-21,473, April 11,2022) Proposed Rule, Securities and Exchange Commission; Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices (87 Fed. Reg. 36,654-36,761, June 17, 2022) Proposed Rule, Securities and Exchange Commission; Investment Company Names (87 Fed. Reg. 36,594-36,651, June 17,2022) Request for Comment on Certain Information Providers Acting as Investment Advisers; Securities and Exchange Commission (87 Fed. Reg. 37,254-37,262, June 22, 2022) Request for Comment, Bureau of Consumer Financial Protection; Agency Information Collection Activities, Report of Terms of Credit Card Plans (Form FR 2572) and Consumer and College Credit Card Agreements (87 Fed. Reg. 50,851-50,852, August 18, 2022) Proposed Rule, Commodity Futures Trading Commission and Securities and Exchange Commission; Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers (87 Fed. Reg. 53,832-53,985 , September 1, 2022) Proposed Rule, Securities and Exchange Commission; Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error is Receiving Certain Comments (87 Fed. Reg. 63,016-63,017, October 18, 2022) SEC Proposed Rule on ESG Disclosures for Investment Advisers and Investment Companies (87 Fed. Reg. 36,654 - 36,761, August 16, 2022) Request for Comment, Securities and Exchange Commission; Draft 2022-2026 Strategic Plan for Securities and Exchange Commission (87 Fed. Reg. 53,040, August 30, 2022) Request for Information, Commodity Futures Trading Commission; Climate-Related Financial Risk (87 Fed. Reg. 34,856-34,862, June 8, 2022) Various issues relating to SEC Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; Public Company Accounting Oversight Board (PCAOB); CFTCs de minimis Exception for Swap Dealers; Securities and Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; debt collection practices (regulation F) under the Fair Debt Collection Practices Act (P.L. 95-109); qualified mortgage definition under the Truth in Lending Act (P.L. 90-321) (Regulation Z); Financial Stability Oversight Council and the designation of Nonbank Financial Firms as systemically important; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; potential repeal of the State and Local Tax (SALT) Cap; federal interest rate authority; Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) reform; electronic consent-based SSN Verification Service (eCBSV); environmental, social, and governance (ESG) enforcement; information Collection under the Community Reinvestment Act (CRA); potential Financial Transaction Tax (FTT); potential Treasury Department proposal relating to tax reporting by banks; investment company cross trading; potential money market fund reform measures; resolutions to establish task forces on Artificial Intelligence and Financial Technology in the House Committee on Financial Services; transition to the secured overnight financing rate; implementation of SEC Rule 15c2-11; Department of Labor fiduciary advice exemption: PTE 2020-02; benefits of risk-based pricing; mobile disclosures; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Tax Reporting Proposal by the Department of the Treasury related to a $600 or more annual account threshold; Amendment to the FY22 National Defense Authorization Act related to credit reporting; Climate-Related Financial Risk Management for Large Banks; House Committee on Financial Services request for information related to Russia sanctions; Consumer Financial Protection Bureau (CFPB) regulatory sandbox for disclosures; CFPB Policy Fellowship program; CFPB amendment of its Supervision and Examination Manual; CFPB conflation of Distinct Statutory Concepts of Unfairness and Discrimination Promoting the importance of appropriate length of SEC Comment Periods; Internal Revenue Service; Priority Guidance Plan; Compliance Assistance Release, Department of Labor; 401(k) Plan Investments in Cryptocurrencies Request for Information, Consumer Financial Protection Bureau; Fees Imposed by Providers of Consumer Financial Products or Services; Notice of Inquiry, Federal Communications Commission; In the Matter of Implementing the Infrastructure Investment and Jobs Act: Prevention and Elimination of Digital Discrimination; (GN Docket No. 22-69); Consumer Financial Protection Bureau; Enhancing Public Data on Auto Lending; Document ID CFPB-2022-0075-0001 (November 17, 2022); Proposed Rule, Securities and Exchange Commission; Open-End Fund Liquidity Risk Management Programs and Swing Pricing, Form N-PORT; Outsourcing by Investment Advisers (File Nos. S7-26-22, S7-25-22; RIN 3325-AM98; RIN 3235-AN18, November 2, 2022); EU sustainable finance action plan and incorporating ESG factors into financial services; EU requirements for supply chain due diligence and disclosure; EU review of Alternative Investment Fund Managers Directive; EU review of prudential regime for investment firms; implementation and enforcement of Regulation Best Interest by the Securities and Exchange Commission; changes in the enforcement policies of the Securities and Exchange Commission; activity of the Financial Stability Oversight Council and recommendations on macro-prudential regulation; clarification in the regulatory treatment of digital assets by the Securities and Exchange Commission and the Commodity Futures Trading Commission; EU Money Market Fund Regulation, legislative review; electronic delivery of certain investment documents and disclosures; Financial Stability Board recommendations on money market fund reform; IOSCO recommendations on sustainability-related practices, polices, procedures, and disclosure in asset management; Office of Financial Research (OFR) discussions on FSOC Report on Climate-Related Financial Risk; Written responses regarding requests for comment resulting from the March 9, 2022 Executive Order on Ensuring Responsible Development of Digital Assets; FinCEN Implementation of the Beneficial Ownership Requirements of the Corporate Transparency Act (P.L. 116-283)

Client expense: $20,990,000 · Firm income: Not reported

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, Labor, Dept of (DOL), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Issues related to the INDEX Act (S. 4241).

Client expense: Not reported · Firm income: $80,000

Government targets: SENATE

Issues related to the INDEX Act (S. 4241).

Client expense: Not reported · Firm income: $80,000

Government targets: SENATE

Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act; S.4808, Enhancing American Retirement Now (EARN) Act; S.910, SAFE Banking Act of 2021; S.4241,Investor Democracy is Expected (INDEX) Act; S.4353, Enhancing American Retirement Now (EARN) Act; H.R.2617, Consolidated Appropriations Act, 2023

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

Government targets: SENATE

Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act and other regulatory reform issues, including regulatory treatment of G-SIBs and custodial banks, cyber issues, exchange-traded funds (ETF) regulation, anti-trust issues related to "common ownership" in asset management, and issues related to passive index investing. INDEX Act (S. 4241). Investment advisor stewardship issues including Environmental, Social and Governance (ESG) issues. Digital assets and digital asset custody. NMS plan governance. LIBOR transition. Advancement of diversity and inclusion initiatives.

Client expense: $330,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 7151- Ensuring Sound Guidance Act (Barr) H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga) H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams) H.R. 9408- Mandatory Materiality Requirement Act of 2022 (Huizenga) H.R. 9526- Review the Expansion of Government Act (Kim) H.R. 9527- Putting Investors First Act of 2022 (Steil) H.R. 9570- Improving Disclosure for Investors Act of 2022 (Huizenga) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3948- Increasing Investor Opportunities Act (Daines) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) S. 5004- Alleviating Stress Test Burdents to Help Investors Act (Rounds) S. 5005- Mandatory Materiality Requirement Act of 2022 (Rounds) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Processing fees for delivering investment materials SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the fund names rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal SEC open-end fund liquidity rule, swing pricing, and hard close proposal SEC outsourcing by investment advisers proposal

Client expense: $710,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and the structure of the municipal securities market Issues related to equity market structure matters Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process, including the INDEX Act (S. 4241, H.R. 8521) Issues related to fixed income funds, money market funds, including the Consumer Financial Choice and Capital Markets Protection Act of 2021 (S. 2684) Issues related to index funds Issues related to access to investment opportunities Issues related to diversity in the financial services industry, including the Diverse Investment Advisors Act Issues in support of providing for electronic delivery of fund information Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) and the Consolidated Appropriations Act of 2023, Division T (H.R. 2617) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to the EARN Act (S. 4808)

Client expense: $470,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to Data Privacy, Spectrum, 5G, Aviation, Anti-Trust, Infrastructure, and TSCA related issues; S.516, Advanced Air Mobility Coordination and Leadership Act; H.R.1816, Information Transparency & Personal Data Control Act; H.R.5184, Advancing Americas Interests Act; H.R.8152, American Data Privacy and Protection Act; H.R.5376, Inflation Reduction Act; FY2023 National Defense Authorization Act (H.R.7900, S.4543); Right to Repair; S.3663, Kids Online Safety Act; S.4241, INDEX Act; S.4417, Patent Trial and Appeal Board Reform Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 1260 - United States Innovation and Competition Act H.R. 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act

Client expense: $390,000 · Firm income: Not reported

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

Financial Stability Issues Hart Scott Rodino Rule Proposals Exchange Traded Products Increasing Investor Opportunities Act, HR 4262 Climate Risk ESG Disclosure Rule 15c2-11 Money Market Fund Reform Reg ATS U.S. Treasury Market Structure Form PF Private Fund Disclosure Short Sale Proposal Definition of Dealer S. 4241/HR 8521, INDEX Act S. 5064 Secure 2.0/EARN Act HR 2954 Secure 2.0 Digital Assets Equity Market Structure Investment Company Names Rule CCP Risk Swap Block Sizes Uncleared Margin Relief SEC Outsourcing Proposal SEC Open-End Fund Liquidity Risk Management and Swing Pricing Proposal

Client expense: $600,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Government Mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions. (1) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings. (2) Ensuring Sound Guidance (ESG) Act. Requires investment advisors to consider only monetary factors when making investment decisions

Client expense: Not reported · Firm income: $30,000

Mutual fund, ETF, money market mutual fund, securities, and systemic risk issues; equity market structure; S.4241 (INDEX Act). HR 8521, INDEX Act.

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

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

Issues related to SEC Proposed Rule on Climate Disclosures - SEC Proposed Rule 33-11042 Issues related to SEC amendments to Rules Governing Proxy Voting and Advice S.4241 - Investor Democracy is Expected Act of 2022 - All provisions

Client expense: $170,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S 1260 - United States Innovation and Competition Act. HR 4521 - America COMPETES Act of 2022. Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act. S. 4241 - INDEX Act. S.331/H.R.1219 - ABLE Age Adjustment Act. S.4808 - EARN Act. H.R.2617 - Consolidated Appropriations Act, 2023.

Client expense: Not reported · Firm income: $50,000

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

ISSUE Investment Advice Standard of Conduct HR 699, Mutual Fund Litigation Reform Act - amend the Investment Company Act of 1940 to provide complaint and burden of proof requirements for certain actions for breach of fiduciary duty HR 725/S 153, Personalized Care Act - amend the Internal Revenue Code of 1986 to expand and improve health savings accounts, and for other purposes. HR 984, Retirement Inflation Protection Act - allows the basis of certain assets to be adjusted for inflation solely for the purpose of determining the gain or loss. S 380, Health Savings Act - modifies the requirements for health savings accounts (HSAs). HR 1584, Protecting Retirement Savers and Everyday Investors Act - impose a limitation on taxation and fees on transactions by certain securities industry participants. HR 1618/S 606, RESPOND Act - require the FRB and SEC to issue an annual report on the economic costs caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change. S 1443Retirement Parity for Student Loans Act -- allows certain employer-sponsored retirement plans to make matching contributions for an employee's student loan payments HR 2951 To direct the Secretary of the Treasury to modify Treasury Regulations relating to insurance-dedicated exchange-traded funds - enables ETFs as investment option in variable insurance products HR 2944 Reducing the Maximum Service Requirement for Long-term Part-time Workers to Make Elective Deferrals to 401(k) Plans Act -- to reduce the retirement plan period of service requirements for long-term, part-time employees. S 1703Improving Access to Retirement Savings Act of 2021 -- to increase retirement savings, to improve retirement plan administration, and for other purposes. S 1770Retirement Security & Savings Act -- to increase retirement savings, to improve retirement plan administration, and for other purposes. HR 3387/S 1762 Financial Factors in Selecting Retirement Plan Investment Act -- to permit retirement plans to consider certain factors in investment decisions. S 1272SIMPLE Plan Modernization Act -- increases the contribution limits for certain SIMPLE IRAs and modifies the requirements for replacing SIMPLE IRAs with 401(k) plans. HR 2741 Public Service Retirement Fairness Act -- To modify rules relating to 403(b) plans. HR 4262 Increasing Investor Opportunities Act - To amend the Investment Company Act of 1940 to prohibit limitations on closed-end companies investing in private funds S 2206Young American Savers Act of 2021 - directs the Department of the Treasury to establish as a permanent program the Federal Child Savings Account Program HR 4289 Well-Being Insurance for Seniors to be at Home (WISH) Act - to provide for long-term care insurance benefits HR 2913/S 2452 Encouraging Americans to Save Act - to provide matching payments for retirement savings and establish MyRA HR 4678/S 2446 Womens Retirement Protection Act of 2021 - to provide for greater spousal protection under defined contribution plans HR 5334/S 2870 Portable Retirement and Investment Account (PRIA) Act of 2021 - to establish portable retirement accounts S 2602,Retirement Security Flexibility Act of 2021 - modifies the nondiscrimination requirements that apply to certain employer-sponsored 401(k) retirement plans that include automatic contribution arrangements HR 2265, Financial Exploitation Prevention Act - allows for the delay of the redemption of a security issued by an open-end investment management company if the company or transfer agent reasonably believes the redemption involves the financial exploitation HR 5723, Social Security 2100 Act: A Sacred Trust - protect our Social Security system and improve benefits for current and future generations HR 4865/S 3198, Registration for Index Linked Annuities (RILA) Act - direct SEC to revise any rules necessary to enable issuers of index-linked annuities to register on a form tailored specifically to registered index-linked annuities S 2583 Disaster Retirement Savings Act - amend the Internal Revenue Code of 1986 to provide for rules for the use of retirement funds in connection with federally declared disasters. S 2601Strengthening Financial Security Through Short-Term Savings Accounts Act of 2021 -- allows employers to enroll employees in short-term savings accounts that are funded using automatic contributions deducted from participating employees' wages. HR 6746 Lifetime Income for Employees Act -- allows fiduciaries of pension plans to make default investment arrangements in annuity contracts HR 6782/S 3712 Auto Reenroll Act of 2022 -- allows sponsors of automatic contribution arrangements to reenroll their employees HR 5877/S 3746 Pension Risk Transfer Accountability Act of 2021 -- requires the Department of Labor to review pension risk transfer standards HR 6912 Pooled Employer Plan (PEP) Fix Act -- to require that named fiduciaries collect contributions to pooled employer plans HR 7107/S 2415 Long-Term Care Affordability Act -- allows the use of tax-exempt retirement plan distributions to pay for long-term health care insurance HR 7146/S 1870 Enhancing Emergency and Retirement Savings Act of 2022 -- permits penalty-free distributions, up to $1,000, from tax-exempt retirement plans for emergency personal expenses, limited to one distribution in a calendar year HR 2954 Securing a Strong Retirement of 2022 -- makes various changes with respect to employer-sponsored retirement plans, including providing for the automatic enrollment of employees in certain plans and increasing the age at which participants are required to begin receiving mandatory distributions. HR 7310, Protecting America's Retirement Security Act -- To protect Americas retirement security S 3955, Starter-K Act of 2022 -- allows employers who do not provide a retirement plan to establish a starter 401(k) deferral-only arrangement for plan years beginning after 2022 HR 7284, Informed Savers Act -- requires the Department of Labor to review the fee disclosure requirements associated with the administration of defined contribution retirement plans S 4086,Increasing Small Business Retirement Choices Act -- amend the Employee Retirement Income Security Act of 1974 to better enable plan sponsors to implement beneficial plan features S 4087, Information Needed for Financial Options Risk Mitigation (INFORM) Act -- require pension plans that offer participants and beneficiaries the option of receiving lifetime annuity payments as lump sum payments, to meet certain notice and disclosure requirements S 4103, Helping Parents Save for College Act of 2022 -- allows a retirement savings tax credit for contributions to any qualified tuition program (e.g., a 529 qualified tuition plan). It also permits a rollover of unused contributions to a ROTH IRA savings account S 4147, Financial Freedom Act -- prohibit the Secretary of Labor from constraining the range or type of investments that may be offered in individual retirement accounts S 4154, Simplifying Small Business Retirement Savings Act -- provide better access to retirement plans through small businesses S 4153, Incentivizing Small Business Retirement Savings Act -- allows eligible small employers an additional pension plan startup cost tax credit HR 7740/S 4219, Employee and Retiree Access to Justice Act - limit mandatory arbitration agreements under ERISA ISSUE, Davis-Bacon Benefits Proposed Rule DOL S 4241, INDEX Act -- to require investment advisers for passively managed funds to arrange for pass-through voting of proxies HR 7594/S 4097, Too Narrow to Succeed Act - instruct DOL to conduct a survey of best practices for increasing the diversity of the asset management firms that invest American workers retirement plan funds S 4310, Emergency Savings Act of 2022 -- allow employers to offer pension-linked emergency savings accounts for financial emergencies S 4353, RISE and SHINE Act -- amend the Employee Retirement Income Security Act of 1974 and the Internal Revenue Code of 1986 to improve retirement plan provisions S 4361, Savvy Savers Act -- require reports to Congress on reporting and disclosure requirements related to retirement plans S 4102 SSI Savings Penalty Elimination Act - increases resource limits used to determine eligibility for the Supplemental Security Income (SSI) program HR 8521/S 4241 INDEX Act - guidelines for passively managed funds (e.g., index funds) that vote shares on behalf of fund investors in proxy shareholder votes S 4613 Maximize Americans Retirement Security Act - clarify the fiduciary duty of plan administrators to select and maintain investments based solely on pecuniary factors HR 8579 Retirement Protection Act of 2022 - increase retirement savings, simplify and clarify retirement plan rules S 4808 EARN Act - to reform retirement provisions S 4973 Retirement Savings Modernization Act - amend the Employee Retirement Income Security Act of 1974 to clarify the fiduciary duties regarding asset classes. HR 9252/ S 4406 Advancing Auto Portability Act - allows employees to transfer their retirement account upon terminating their employment to a similar account with a new employer. HR 9462/S 5271 Retirement Savings for Americans Act - establish the American Worker Retirement Plan HR 2617 Consolidated Appropriations Act, 2023 - to fund the government for through FY23, includes various retirement security provisions

Client expense: $810,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S 1260 - US Innovation and Competition Act HR 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act HR 2954 - Securing a Strong Retirement Act Issues related to S Con Res 14; HR 5376 Build Back Better HR 6746 - LIFE Act S. 331 / HR 1219 ABLE Age Adjustment Act S. 4353 - RISE & SHINE Act S. 2452 - Encouraging Americans to Save Act Issues related to 529 college savings plans Changes to the Hart Scott Rodino filing requirements and the impact for asset managem

Client expense: Not reported · Firm income: Not reported

S 1260 - US Innovation and Competition Act HR 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act HR 2954 - Securing a Strong Retirement Act Issues related to S Con Res 14; HR 5376 Build Back Better HR 6746 - LIFE Act S. 331 / HR 1219 ABLE Age Adjustment Act S. 4353 - RISE & SHINE Act S. 2452 - Encouraging Americans to Save Act Issues related to 529 college savings plans Changes to the Hart Scott Rodino filing requirements and the impact for asset managem

Client expense: Not reported · Firm income: Not reported

S 1260 - US Innovation and Competition Act HR 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act HR 2954 - Securing a Strong Retirement Act Issues related to S Con Res 14; HR 5376 Build Back Better HR 6746 - LIFE Act S. 331 / HR 1219 ABLE Age Adjustment Act S. 4353 - RISE & SHINE Act S. 2452 - Encouraging Americans to Save Act Issues related to 529 college savings plans Changes to the Hart Scott Rodino filing requirements and the impact for asset managem

Client expense: Not reported · Firm income: Not reported

S 1260 - US Innovation and Competition Act HR 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act HR 2954 - Securing a Strong Retirement Act Issues related to S Con Res 14; HR 5376 Build Back Better HR 6746 - LIFE Act S. 331 / HR 1219 ABLE Age Adjustment Act S. 4353 - RISE & SHINE Act S. 2452 - Encouraging Americans to Save Act Issues related to 529 college savings plans Changes to the Hart Scott Rodino filing requirements and the impact for asset managem

Client expense: Not reported · Firm income: Not reported

Issues relating to shareholder proposals. SEC rules, proposals and guidance concerning governance, proxy and shareholder issues. Issues relating to Environmental, Social, and Governance (ESG) factors in investing and corporate governance. S. 4241, Investor Democracy is Expected Act (INDEX Act), all provisions. S. 5046, Combatting Organized Retail Crime Act of 2022, all provisions.

Client expense: Not reported · Firm income: $37,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions. (1) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings. (2) Ensuring Sound Guidance (ESG) Act. Requires investment advisors to consider only monetary factors when making investment decisions.

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

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga) H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3919- Reporting Requirements Reduction Act of 2022 (Tillis) S. 3945- Restoring Shareholder Transparency Act of 2022 (Haggerty) S. 3948- Increasing Investor Opportunities Act (Daines) S. 3961- Access to Small Business Investor Capital Act (Daines) S. 3965- Increasing Access to Adviser Information Act (Moran) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Improving Disclosure for Investors Act (draft) Processing fees for delivering investment materials Russia Sanctions/Executive Orders SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the Fund Names Rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal

Client expense: $1,230,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues pertaining to the regulation of proxy voting and advice; Issues pertaining to Environmental, Social and Governance investing; Issues related to corporate governance; Issues related to retirement funds managed under ERISA. HR 7151, the Ensuring Sound Guidance Act; S. 4241/HR 8521, the INDEX Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

1.Americas Outdoor Recreation Act of 2022 (S.3266); 2.Assault Weapons Ban (S.736 / H.R.1808); 3.Assault Weapons Excise Act (H.R.8051); 4.Background Check Completion Act of 2021 (S.591); 5.Background Check Expansion Act (S.529); 6.Bipartisan Background Checks Act (H.R.8); 7.Bipartisan Safer Communities Act (S.2938); 8.Chronic Wasting Disease Research and Management Act (S.4111/H.R.5608); 9.Closing the Loophole on Interstate Firearm Sales Act (H.R.647); 10.Commercial sales of M855/SS109 green tip ammunition; 11.Concealed Carry Reciprocity Act (S.1522/H.R.38/S.4105); 12.Department of Justice zero tolerance policy; 13.Disarm Hate Act (S.2090/ H.R.3929); 14.Empowering Law Enforcement for Safer Firearm Transfers Act of 2021 (H.R.1782); 15.Enhanced Background Checks Act of 2021 (H.R.1446); 16.Extreme Risk Protection Order Act of 2021 (S.1819); 17.Fair Access to Banking Act (S.563/H.R.1729) / Discrimination in lending; 18.FDIC Act (S.229); 19.Federal Extreme Risk Protection Order Act of 2021 (H.R.2377); 20.Federal Firearm Licensee Act (H.R.6225); 21.Federal Firearms Licensee Protection Act (S.2449/H.R.3252); 22.Federal Trade Commission (FTC) on advertising by firearm manufacturers; 23.Firearm Industry Nondiscrimination Act (S.4435/H.R.6970); 24.Firearm Safety Act of 2021 (H.R.880); 25.Firearm Tracing / Tiahrt Amendment; 26.Foreign National Firearms Background Check Enhancement Act (H.R.2971); 27.Firearms Safety Act (S.788); 28.FY23 Appropriations-Agriculture, Rural Development, Food and Drug Administration, and Related Agencies; 29.FY23 Appropriations-Commerce, Justice, Science and Related Agencies; 30.FY23 Appropriations-Homeland Security; 31.FY23 Appropriations-Interior, Environment, and Related Agencies; 32.Gun Records Restoration and Preservation Act (S.974/H.R.2282); 33.Gun Violence Prevention Through Financial Intelligence Act (S.3117/ H.R.5764); 34.HEAR Act (S.1131); 35.Hearing Protection Act (S.2050/H.R.95); 36.Home Defense and Competitive Shooting Act of 2021 (S.803/ H.R.1758); 37.Illegal Alien NICS Alert Act (S.1261/H.R.355) 38.INDEX Act (S.4241/ H.R.8521); 39.Keep Americans Safe Act (S.1108/ H.R.2510); 40.Keeping Gun Dealers Honest Act of 2021 (S.2320/ H.R.4271); 41.Lawful Interstate Transportation of Firearms Act (S.525/H.R.225/H.R.1680); 42.Limiting Section 230 Immunity to Good Samaritans Act (H.R.277); 43.Local Public Health And Safety Protection Act (H.R.4888); 44.Merchant Category Code for Firearms, Ammunition; 45.Minnesota Senate Lead Ammo Ban Question; 46.Modernizing Access to Our Public Land Act (S.904/H.R.3113); 47.Multiple Firearm Sales Reporting Modernization Act of 2022 (H.R.7904); 48.National Defense Authorization Act for FY23 (H.R.7900); 49.No ESG at TSP Act (H.R.7896); 50.No User Fees for Gun Owners Act (H.R.7366); 51.Nomination of Rachel Bloomekatz (United States Circuit Judge for the Sixth Circuit); 52.Nomination of Steve Dettelbach (ATF Director); 53.Pistol Brace Protection Act (S.4069); 54.Pittman-Robertson Wildlife Conservation Funding; 55.Preventing Unjust Red Flag Laws Act of 2021 (H.R.5417); 56.Protect Our Military Families 2nd Amendment Rights Act (H.R.1013); 57.Protecting Access for Hunters and Anglers Act of 2022 (S.4940/H.R.9088); 58.Protecting Our Kids Act (H.R.7910); 59.Protecting the Right To Keep and Bear Arms Act of 2021 (S.1916/H.R.1534); 60.PROTECT the Second Amendment Act (H.R.6247); 61.Protection of Lawful Commerce in Arms Act / Equal Access to Justice for Victims of Gun Violence Act of 2022 (S.1338 / H.R.2814) 62.Raise the Age Act (H.R.3015); 63.Recreational Lands Self Defense Act (S.2948); 64.Responsible Ownership of Firearms Act (H.R.4136) / Firearm Safety and Education; 65.RETURN our Constitutional Rights Act of 2022 (H.R.8167); 66.RIFLE Act (H.R.3101); 67.SAFER Voter Act (H.R.2890); 68.SAME Act (S.1373); 69.Second Amendment is Essential Act of 2021 (H.R.4060); 70.SECURE Firearm Storage Act (S.2908/ H.R.5465); 71.SOAR Act (S.1229); 72.Stop Online Ammunition Sales Act of 2021 (H.R.1207); 73.STOP Straw Purchases Act (H.R.1604); 74.To amend the Internal Revenue Code of 1986 to exempt certain silencers from regulation under the National Firearms Act (Draft Legislation); 75.Trafficking Reduction And Criminal Enforcement (TRACE) Act (H.R.6646); 76.Traveler's Gun Rights Act (S.4029/ H.R.7466); 77.Untraceable Firearms Act of 2021 (S.1558/ H.R.3088); 78.U.S. Fish and Wildlife Service (USFWS) settlement negotiations with Center for Biological Diversity; 79.U.S. Fish and Wildlife Service (USFWS) Proposed Rule to ban the use of traditional lead ammunition on National Wildlife Refuges (NWRs); 80.USML to CCL Transition (Export Control Reform); 81.U.S. Treasurys Sanctions on Russia; and 82.Veterans 2nd Amendment Protection Act (H.R.1217)

Client expense: $1,280,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1277 - Improving Corporate Governance Through Diversity; entire bill H.R. 1816 - Information Transparency and Personal Data Control Act; entire bill H.R. 2039 - To Prohibit the Securities and Exchange Commission from Requiring that Personally Identifiable Information be Collected under Consolidated Audit Trail Reporting Requirements, and for other Purposes; entire bill H.R. 2620 - Investor Choice Act of 2021; entire bill H.R. 3962 - To authorize notaries public to perform, and to establish minimum standards for, electronic notarizations and remote notarizations that occur in or affect interstate commerce, to require any Federal court to recognize notarizations performed by a notarial officer of any State, to require any State to recognize notarizations performed by a notarial officer of any other State when the notarization was performed under or relates to a public Act, record, or judicial proceeding of the notarial officer's State or when the notarization occurs in or affects interstate commerce, and for other purposes; entire bill H.R. 8152 - the American Data Privacy and Protection Act; entire bill S. 374 - Improving Corporate Governance Through Diversity Act; entire bill S. 1171 - Investor Choice Act of 2021; entire bill S. 1209 - Protecting Investors Personally Identifiable Information Act; entire bill S. 1625 - Securing and Enabling Commerce Using Remote and Electronic Notarization Act (SECURE Notarization Act); entire bill S. 4241 - INvestor DEmocracy is Expected (INDEX) Act; entire bill Not Yet Introduced: Rep. Patrick McHenry Financial Data Privacy discussion draft

Client expense: $190,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 935, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021 H.R. 1087, Shareholder Political Transparency Act of 2021 H.R. 1187, Corporate Governance Improvement and Investor Protection Act H.R. 1277/S. 374, Improving Corporate Governance Through Diversity Act of 2021 H.R. 1602, Eliminate Barriers to Innovation Act of 2021 H.R. 2025/S. 840, To amend title 28, United States Code, to increase transparency and oversight of third-party litigation funding in certain actions, and for other purposes H.R. 2516, Promoting Diversity and Inclusion in Banking Act of 2021 H.R. 2543, Federal Reserve Racial and Economic Equity Act H.R. 2547, Comprehensive Debt Collection Improvement Act H.R. 2570, Climate Risk Disclosure Act of 2021 H.R. 2620, Investor Choice Act of 2021 H.R. 3007, Disclosure of Tax Havens and Offshoring Act H.R. 3448, Helping Startups Continue to Grow Act H.R. 3454, Modernizing Disclosures for Investors Act H.R. 3843, Merger Filing Fee Modernization Act of 2022 H.R. 4277, Overdraft Protection Act of 2021 H.R. 4345, Financial Services and General Government Appropriations Act, 2022 H.R. 4521, America Creating Opportunities for Manufacturing, Pre-Eminence in Technology, and Economic Strength (America COMPETES) Act of 2022, including provisions related to House Amendment 218 H.R. 4590, Promoting New and Diverse Depository Institutions Act H.R. 4616, Adjustable Interest Rate (LIBOR) Act of 2021 H.R. 4773, Consumer Financial Protection Commission Act H.R. 5586/S. 3056, Prohibiting IRS Financial Surveillance Act H.R. 5648/S. 3022, Stop Wall Street Looting Act H.R. 5910, Holding SPACs Accountable Act of 2021 H.R. 5911, Fair Hiring in Banking Act H.R. 7151, Ensuring Sound Guidance Act H.R. 7900, National Defense Authorization Act for Fiscal Year 2023 H.R. 7977, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 8254/S. 4685, Financial Services and General Government Appropriations Act, 2023 H.R. 8521, Investor Democracy is Expected (INDEX) Act S. 479, Lifting Our Communities through Advance Liquidity for (LOCAL) Infrastructure Act S. 2417, Credit Access and Inclusion Act of 2021 S. 2508, Veterans and Consumers Fair Credit Act S. 2621, Modernization of Derivatives Tax Act of 2021 S. 3410, The Consumer Protection and Due Process Act S. 3755, Arbitration Fairness for Consumers Act S. 3844, Economic Continuity and Stability Act S. 3914, Developing and Empowering our Aspiring Leaders Act of 2022 S. 4241, Investor Democracy is Expected (INDEX) Act Draft legislation titled Jumpstart our Business Startups (JOBS) Act 4.0 of 2022 Draft legislation titled Mandatory Materiality Requirement Act of 2022 Potential legislation to foster economic growth and job creation through capital formation Potential legislation to further economic growth through environmental, social, and governance factors Potential legislation to make changes to the Exchange Act Rule 14a-8 shareholder proposal process Potential legislation to hold proxy voting advice businesses accountable Potential legislation to expressing a sense of Congress reaffirming the Supreme Court materiality standard Potential legislation to require the SEC to consider additional standards in the rulemaking process Potential legislation to study the term small entity Potential legislation regarding a new regulatory framework for stablecoins Potential legislation dealing with third party litigation financing and lawsuit lending Potential legislation dealing with securities litigation Nomination of Mark Uyeda to be Commissioner of the U.S. Securities and Exchange Commission (SEC) Proposed rule regarding SEC Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Proposed Rule (86 Fed. Reg. 57,478-57,524, October 15, 2021) Proposed rule regarding Position Reporting of Large Security-Based Swap Positions (87 Fed. Reg. 6,652-6,706, December 15, 2021) SEC Money Market Fund Reforms (86 Fed. Reg. 7,248, December 15, 2021) Proposed rules regarding amendments to Form PF (87 Fed. Reg. 9,106-9,235, January 26, 2022) Proposed rule regarding Share Repurchase Disclosure Modernization (87 Fed. Reg. 8,443-8,472, February 15, 2022) Proposed Rule, Securities and Exchange Commission; Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps, Prohibition against Undue Influence over Chief Compliance Officers, Position Reporting of Large Security-Based Swap Positions (87 Fed. Reg. 6,652-6,706, February 4, 2022) Proposed rule on Enhancement and Standardization of Climate-Related Disclosures for Investors (87 Fed. Reg. 21,334-21,473, April 11,2022) Proposed Rule, Securities and Exchange Commission; Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices (87 Fed. Reg. 36,654-36,761, June 17, 2022) Proposed Rule, Securities and Exchange Commission; Investment Company Names (87 Fed. Reg. 36,594-36,651, June 17,2022) Proposed Rule, Securities and Exchange Commission; Share Repurchase Disclosure Modernization (87 Fed. Reg. 8,443-8,472, April 1, 2022) Proposed Rule, Securities and Exchange Commission; Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 (87 Fed. Reg. 45,052-45,075. July 27, 2022) Request for Comment on Certain Information Providers Acting as Investment Advisers; Securities and Exchange Commission (87 Fed. Reg. 37,254-37,262, June 22, 2022) Request for Comment, Bureau of Consumer Financial Protection; Agency Information Collection Activities, Report of Terms of Credit Card Plans (Form FR 2572) and Consumer and College Credit Card Agreements (87 Fed. Reg. 50,851-50,852, August 18, 2022) Advance Notice of Proposed Rulemaking, Bureau of Consumer Financial Protection; Credit Card Late Fees and Late Payments (87 Fed. Reg. 42,662, July 18, 2022) Joint Notice of Proposed Rulemaking, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Federal Reserve System; Community Reinvestment Act (87 Fed. Reg. 33,884-34,066, June 3, 2022) Request for Comments, Department of the Treasury; Ensuring Responsible Development of Digital Assets (87 Fed. Reg. 40,881-40,883, July 8, 2022) Request for Comment, International Trade Administration; Developing a Framework on Competitiveness of Digital Asset Technologies (87 Fed. Reg. 30450- 30452, May 19, 2022) Various issues relating to SEC Best Interest and Enhancing Investment Adviser Regulation relating to broker-dealers, registered investment advisers, conflicts of interest; potential federal preemption of state fiduciary standards; Public Company Accounting Oversight Board (PCAOB); CFTCs de minimis Exception for Swap Dealers; Securities and Exchange Commission amendments to the Commissioners whistleblower rules file no. S7-16-18; proxy process, proxy advisory firms, and other related aspects of corporate governance; corporate common ownership; adoption of the current expected credit loss (CECL) accounting standard; role of credit reporting agencies (CRAs) in the U.S. economy; debt collection practices (regulation F) under the Fair Debt Collection Practices Act (P.L. 95-109); qualified mortgage definition under the Truth in Lending Act (P.L. 90-321) (Regulation Z); Financial Stability Oversight Council and the designation of Nonbank Financial Firms as systemically important; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; potential repeal of the State and Local Tax (SALT) Cap; federal interest rate authority; Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) reform; electronic consent-based SSN Verification Service (eCBSV); environmental, social, and governance (ESG) enforcement; information Collection under the Community Reinvestment Act (CRA); potential Financial Transaction Tax (FTT); potential Treasury Department proposal relating to tax reporting by banks; investment company cross trading; potential money market fund reform measures; resolutions to establish task forces on Artificial Intelligence and Financial Technology in the House Committee on Financial Services; transition to the secured overnight financing rate; implementation of SEC Rule 15c2-11; Department of Labor fiduciary advice exemption: PTE 2020-02; benefits of risk-based pricing; mobile disclosures; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Tax Reporting Proposal by the Department of the Treasury related to a $600 or more annual account threshold; Amendment to the FY22 National Defense Authorization Act related to credit reporting; Climate-Related Financial Risk Management for Large Banks; House Committee on Financial Services request for information related to Russia sanctions; CFPB Policy Fellowship program; CFPB amendment of its Supervision and Examination Manual; CFPB conflation of Distinct Statutory Concepts of Unfairness and Discrimination; Promoting the importance of appropriate length of SEC Comment Periods; Internal Revenue Service; Priority Guidance Plan; Compliance Assistance Release, Department of Labor; 401(k) Plan Investments in Cryptocurrencies Request for Information, Consumer Financial Protection Bureau; Fees Imposed by Providers of Consumer Financial Products or Services; Notice of Inquiry, Federal Communications Commission; In the Matter of Implementing the Infrastructure Investment and Jobs Act: Prevention and Elimination of Digital Discrimination; (GN Docket No. 22-69); EU sustainable finance action plan and incorporating ESG factors into financial services; EU review of Alternative Investment Fund Managers Directive; EU review of prudential regime for investment firms; implementation and enforcement of Regulation Best Interest by the Securities and Exchange Commission; changes in the enforcement policies of the Securities and Exchange Commission; activity of the Financial Stability Oversight Council and recommendations on macro-prudential regulation; clarification in the regulatory treatment of digital assets by the Securities and Exchange Commission and the Commodity Futures Trading Commission; implementation and enforcement of proxy advisory firm regulations finalized in 2020; implementation and enforcement of SEC 14a-8 shareholder proposal process reforms finalized in 2020; EU Money Market Fund Regulation, legislative review; electronic delivery of certain investment documents and disclosures; implementation of beneficial ownership reporting requirements under the National Defense Authorization Act FY2021 (P.L. 116-283); implementation of the Social Security Administrations Electronic Consent Based Social Security Number Verification System Service; Financial Stability Board recommendations on money market fund reform; IOSCO recommendations on sustainability-related practices, polices, procedures, and disclosure in asset management; Office of Financial Research (OFR) discussions on FSOC Report on Climate-Related Financial Risk; staff legal guidance at the SEC concerning no-action letters on shareholder proposals with broad societal impact (Staff Legal Bulletin 14L-CF); SEC Reforms to regulations related to Cybersecurity Disclosures; SEC Reforms to regulations related to Human Capital Management Disclosures; SEC Reforms to regulations related to proxy voting advice businesses; SEC request for information on digital engagement practices; Written responses regarding requests for comment resulting from the March 9, 2022 Executive Order on Ensuring Responsible Development of Digital Assets; SEC Proposed Rule amending 10b5-1; SEC Proposed Rule on Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews; SEC Amended Rule 15c2-11, applicability to 144A securities; SEC Proposed Rule on the Enhancement and Standardization of Climate-Related Disclosures for Investors; SEC Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8; PCAOB 2022-2026 Draft Strategic Plan; SEC FY 22-26 Strategic Plan; FinCEN Implementation of the Beneficial Ownership Requirements of the Corporate Transparency Act (P.L. 116-283)

Client expense: $23,940,000 · Firm income: Not reported

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, Labor, Dept of (DOL), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Issues related to the INDEX Act (S. 4241).

Client expense: Not reported · Firm income: $80,000

Government targets: SENATE

Issues related to the INDEX Act (S. 4241).

Client expense: Not reported · Firm income: $80,000

Government targets: SENATE

Financial Stability Issues Hart Scott Rodino Rule Proposals Exchange Traded Products Increasing Investor Opportunities Act, HR 4262 Climate Risk ESG Disclosure Rule 15c2-11 Securities Lending Money Market Fund Reform Reg ATS U.S. Treasury Market Structure Form PF Private Fund Disclosure Short Sale Proposal Definition of Dealer S. 4241/HR 8521, INDEX Act S. 5064 Secure 2.0/EARN Act HR 2954 Secure 2.0 Digital Assets Equity Market Structure Investment Company Names Rule CCP Risk Swap Block Sizes Uncleared Margin Relief

Client expense: $690,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act and other regulatory reform issues, including regulatory treatment of G-SIBs and custodial banks, cyber issues, exchange-traded funds (ETF) regulation, anti-trust issues related to "common ownership" in asset management, and issues related to passive index investing. INDEX Act (S. 4241). Investment advisor stewardship issues including Environmental, Social and Governance (ESG) issues. Digital assets and digital asset custody. NMS plan governance. LIBOR transition. Advancement of diversity and inclusion initiatives.

Client expense: $150,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Issues related to SEC Proposed Rule on Climate Disclosures - SEC Proposed Rule 33-11042 Issues related to SEC amendments to Rules Governing Proxy Voting and Advice S.4241 - Investor Democracy is Expected Act of 2022 - All provisions

Client expense: $150,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process, including the INDEX Act (S. 4241, H.R. 8521) Issues related to fixed income funds, money market funds, including the Consumer Financial Choice and Capital Markets Protection Act of 2021 (S. 2684) Issues related to index funds Issues related to access to investment opportunities Issues related to diversity in the financial services industry, including the Diverse Investment Advisors Act Issues in support of providing for electronic delivery of fund information Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741)

Client expense: $420,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to Data Privacy, Spectrum, 5G, Aviation, Anti-Trust, Infrastructure, and TSCA related issues; S.516, Advanced Air Mobility Coordination and Leadership Act; S.1260, United States Innovation and Competition Act of 2021/H.R.4521, America COMPETES Act of 2022; H.R.1816, Information Transparency & Personal Data Control Act; H.R.5184, Advancing Americas Interests Act; H.R.8152, American Data Privacy and Protection Act; H.R.5376, Inflation Reduction Act; FY2023 National Defense Authorization Act (H.R.7900, S.4543); Right to Repair; S.3663, Kids Online Safety Act; S.4241, INDEX Act; S.4417, Patent Trial and Appeal Board Reform Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S 1260 - United States Innovation and Competition Act HR 4521 - America COMPETES Act of 2022 Issues related to the FTCs proposed amendments to the premerger notification rules that implement the Hart-Scott-Rodino Antitrust Improvements Act S. 4241 - INDEX Act S.331/H.R.1219 - ABLE Age Adjustment Act S.4808 - EARN Act

Client expense: $400,000 · Firm income: Not reported

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

Mutual fund, ETF, money market mutual fund, securities, and systemic risk issues; equity market structure; S.4241 (INDEX Act). HR 8521, INDEX Act.

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

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

Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions. (1) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.

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

Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics. Issues related to the treatment of digital assets. Issues related to environmental, social and governance (ESG) investing. S. 4241, the INDEX Act.

Client expense: $810,000 · Firm income: Not reported

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

Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act; S.4808, Enhancing American Retirement Now (EARN) Act; S.910, SAFE Banking Act of 2021; S.4241,Investor Democracy is Expected (INDEX) Act; S.4353, Enhancing American Retirement Now (EARN) Act

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

Government targets: SENATE

H.R. 5458: SEED Act of 2021Support H.R. 7151: Ensuring Sound Guidance ActSupport S. 4241: INDEX ActSupport S. 4760: Digital Commodities Consumer Protection Act of 2022 No stance

Client expense: $410,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Government Mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions. S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.

Client expense: Not reported · Firm income: $30,000