Increasing Access to Adviser Information Act

Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; H.R. 4168 - a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237 - a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807 - the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190 - the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; H.R. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses Act of 2023; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - the American Infrastructure Bonds Act of 2023; H.R. 1837 - the Investing in Our Communities Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.

Client expense: $1,480,000 · Firm income: Not reported

Government targets: Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Support the reinstatement of an inflation adjustment for crop insurance agents; support funding for crop insurance in the Farm Bill; oppose cuts to the crop insurance program; Support extension of Farm bill and crop insurance programs to September 30, 2024 in H.R.6363 - Further Continuing Appropriations and Other Extensions Act, 2024; Support inclusion of report language concerning the reinstatement for crop insurance agents in S. 2141 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2024

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

Government targets: Agriculture, Dept of (USDA), HOUSE OF REPRESENTATIVES, Risk Management Agency, SENATE

H.R.6363 - Further Continuing Appropriations and Other Extensions Act, 2024; support limits on funding and activity for the Federal Insurance Office in the FY24 appropriations process; Inclusion of report language concerning the reinstatement of an inflation adjustment for crop insurance agents in the FY24 appropriations process; Inclusion of report language concerning the reinstatement of an inflation adjustment for crop insurance agents in S. 2141 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2024

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

Government targets: Agriculture, Dept of (USDA), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE

Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 4168, a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807, the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190, the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; S. 1695, the American Infrastructure Bonds Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1177/S. 427, Financial Freedom Act of 2023 H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act H.R. 4767 - Protecting American's Retirement Savings from Politics Act H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 - Cybersecurity Act of 2023 SEC Proposed Rule on Predictive Data Analytics SEC proposal regarding Reporting of Securities Loans SEC proposals to modify equity market structure Biden Administration Executive Order related to China SEC final rule related to clearing of U.S. Treasury securities SEC final rule to improve Clearing Agency Governance SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks SEC final rule on short sale data SEC final rule to increase transparency in Securities Lending Markets SEC final rules on beneficial ownership

SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 1837, the Investing in Our Communities Act; S. 1453, the LOCAL Infrastructure Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023 H.R. 1807 - Improving Disclosure for Investors Act of 2023 SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; S. 1695, American Infrastructure Bond Act of 2023, U.S. Senate H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 Cybersecurity Act of 2023 SEC 15c2-11 staff interpretation to impact 144A private securities SEC proposals to modify equity market structure SEC proposal regarding Reporting of Securities Loans SEC proposal regarding Position Reporting of Large Security-Based Swap Positions SEC proposal regarding Safeguarding Advisory Client Assets SEC proposal regarding Prohibition of Conflicts of Interest in Certain Securitizations Public Law 117-328 - Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail) Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions Fiscal Year 2024 Financial Services and General Government Appropriations bill Artificial intelligence and predictive data analytics

- Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act; Issues related to the SECs predictive data analytics proposal; Issues related to Hart-Scott-Rodino pre-merger notifications; Issues related to SEC oversight

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

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

Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; H.R. 4168 - a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237 - a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807 - the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190 - the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; H.R. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses Act of 2023; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - the American Infrastructure Bonds Act of 2023; H.R. 1837 - the Investing in Our Communities Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.

SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 1837, the Investing in Our Communities Act; S. 1453, the LOCAL Infrastructure Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023 H.R. 1807 - Improving Disclosure for Investors Act of 2023 SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R.4552 - Federal Information Security Modernization Act of 2023 S. 1695, American Infrastructure Bond Act of 2023, U.S. Senate H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 Cybersecurity Act of 2023 SEC 15c2-11 staff interpretation to impact 144A private securities SEC proposals to modify equity market structure SEC proposal regarding Reporting of Securities Loans SEC proposal regarding Position Reporting of Large Security-Based Swap Positions SEC proposal regarding Safeguarding Advisory Client Assets SEC proposal regarding Prohibition of Conflicts of Interest in Certain Securitizations Public Law 117-328 - Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail) Senior investors/diminished capacity investors regarding the event for Word Elder Abuse Awareness Day Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions FTC Hart Scott Rodino Proposal Private Fund Legislative Proposals Fiscal Year 2024 Financial Services and General Government Appropriations bill (all provisions)

Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 4168, a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807, the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190, the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; S. 1695, the American Infrastructure Bonds Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1177/S. 427, Financial Freedom Act of 2023 H.R.4552 - Federal Information Security Modernization Act of 2023 H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act H.R. 4767 - Protecting American's Retirement Savings from Politics Act H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 - Cybersecurity Act of 2023 SEC Proposed Rule on Predictive Data Analytics SEC proposal regarding Reporting of Securities Loans SEC proposals to modify equity market structure Biden Administration Executive Order related to China

- Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act; Issues related to the SECs predictive data analytics proposal; Issues related to Hart-Scott-Rodino pre-merger notifications

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

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

Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; H.R. 4168 - a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237 - a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807 - the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190 - the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; H.R. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses Act of 2023; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - the American Infrastructure Bonds Act of 2023; H.R. 1837 - the Investing in Our Communities Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.

- Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act.

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

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