A bill to authorize an additional district judgeship for the district of Idaho.

DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL - EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL - EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL - EBSA- FIN AL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC/Treasury - Joint Proposed Rule by SEC & FinCEN - Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers - 17 CFR 275, 31 CFR 1032, RIN 1506-AB66, RIN 3235-AN34. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. SEC - Final Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (S.4917/H.R.3063-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector - 89 FR 50048. Treasury - IRS - Proposed Rulemaking: Required Minimum Distributions - 89 FR 58644 - [REG-103529-23] (RIN 1545-BQ66).

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

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). Legislative proposals related to electronic delivery. Issues related to the legal and regulatory environment for retail broker-dealers.

Client expense: $610,000 · Firm income: Not reported

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

H.R. 448, Putting Investors First Act of 2023 H.R. 758, Promoting Access to Capital in Underbanked Communities Act of 2023 H.R. 835, Fair Investment Opportunities for Professional Experts Act H.R. 1010/S. 453, Prohibiting IRS Financial Surveillance Act H.R. 1410, Consumer Financial Protection Commission Act H.R. 1548, Improving Access to Small Business Information Act H.R. 1553, Helping Angels Lead our Startups (HALOS) Act H.R. 1579, Accredited Investor Definition Review Act H.R. 2608, To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes H.R. 2610, To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes H.R. 2612, Gig Worker Equity Compensation Act H.R. 2627, Increasing Investor Opportunities Act H.R. 2652, Investment Opportunity Expansion Act H.R. 2792, Small Entity Update Act H.R. 2793, Encouraging Public Offerings Act of 2023 H.R. 2795, Enhancing Multi-Class Share Disclosures Act H.R. 2796, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2797, Equal Opportunity for All Investors Act H.R. 2798, CFPB Transparency and Accountability Reform Act H.R. 2799/S. 3815, Expanding Access to Capital Act of 2023 H.R. 2812, Middle Market IPO Underwriting Cost Act H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act H.R. 3161, CDFI Fund Transparency Act H.R. 4035, Protecting Small Business Information Act of 2023 H.R. 4168/S. 2005, Mandatory Materiality Requirement Act of 2023 H.R. 4177/S. 2007, Improving Corporate Governance Through Diversity Act of 2023 H.R. 4366, Consolidated Appropriations Act, 2024, including provisions related to Senate Amendment 1217 and Senate Amendments 1092 H.R. 4664/S. 2309, Making appropriations for financial services and general government for the fiscal year ending September 30, 2024, and for other purposes H.R. 4790, Prioritizing Economic Growth Over Woke Policies Act H.R. 4823, American Financial Institution Regulator Sovereignty and Transparency Act H.R. 5488/S. 2805, Protecting Our Courts from Foreign Manipulation Act of 2023 H.R. 7000/S. 3592, Business of Insurance Regulatory Reform Act of 2024 H.R. 7092/S. 3676, Protecting Private Job Creators Act H.R. 7470/S.3823, Secure U.S. Leadership in Space Act of 2024 H.R. 8337, Bank Resilience and Regulatory Improvement Act H.R. 8338, Clarity in Lending Act H.R. 8339, SEC Reform and Restructuring Act H.R. 8773, Financial Services and General Government Appropriations Act, 2025 S. 638, Disclosure of Tax Havens and Offshoring Act S. 3541, Fair Audits and Inspections for Regulators Exams Act S. 5139, Empowering Main Street in America Act of 2024 H.J.Res. 100/S.J.Res. 50, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to "Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure" H.J.Res. 120, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Financial Stability Oversight Council related to "Guidance on Nonbank Financial Company Determinations" H.J.Res. 122/H.J.Res.121/S.J.Res.70, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Bureau of Consumer Financial Protection relating to "Credit Card Penalty Fees (Regulation Z)" H.J.Res. 201, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Bureau of Consumer Financial Protection relating to "Registry of Nonbank Covered Persons Subject to Certain Agency and Court Orders" Potential legislation similar to H.R. 5598, Access to Small Business Investor Capital Act Potential legislation similar to H.R. 2025/S. 840, Litigation Funding Transparency Act SEC Proposed Rule on the 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; Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (87 Fed. Reg. 77,172-77,296, December 16, 2022) Proposed Rule, Public Company Accounting Oversight Board; Amendments to Reporting Requirements for Registered Firms (PCAOB Release No. 2024-003, April 9, 2024; PCAOB Rulemaking Docket Matter No. 055) Proposed Rule, Public Company Accounting Oversight Board; Amendments to False or Misleading Statements Concerning PCAOB Registration and Oversight and Constructive Requests to Withdraw from Registration (PCAOB Release No. 2024-001, February 27, 2024; PCAOB Rulemaking Docket Matter No. 054) Proposed Rule, Public Company Accounting Oversight Board; Amendments to Firm and Engagement Metrics (PCAOB Release No. 2024-002, April 9, 2024; PCAOB Rulemaking Docket Matter No. 041) Adopting Order of the Securities and Exchange Commission: Public Company Accounting Oversight Board Amendments to QC 1000, A Firms System of Quality Control and Related Amendments to PCAOB Standards, Rules, and Forms (SEC Release No 34-100968; PCAOB File No. PCAOB-2024-002) Request for Information, U.S. Treasury, Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector (TREAS-DO-2024-0011, June 12, 2024) Request for Comment, Commodity Futures Trading Commission (CFTC), The Use of Artificial Intelligence (AI) in CFTC-regulated derivatives markets (Fed. Reg. 89, 65,606, August 12, 2024) Final Rule, Security Exchange Commission, on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (88 Fed. Reg. 51,896-51,945, September 5, 2023) Proposed Rule, Security Exchange Commission, on Changes to 14a-8 (87 Fed. Reg. 45,052-45,075, July 27, 2022) Final Rule, Security Exchange Commission, on Share Repurchase Disclosure Modernization (88 Fed. Reg. 36,002-36,063, July 31, 2023) 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. 63,016-63,017, October 18, 2022) Proposed Rule, Securities and Exchange Commission, Outsourcing by Investment Advisers (87 Fed. Reg. 68,816-68,883, November 16, 2022) Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (88 Fed. Reg. 53,960- 54,024, August 9, 2023) Proposed Rule, Security Exchange Commission, on Private Fund Advisers (87 FR 16,886, February 9, 2022) Proposed Rule, Security Exchange Commission, on Safeguarding Advisory Client Assets (88 Fed. Reg 14,672-14,792, March 9, 2023) Proposed Rule, Public Company Accounting Oversight Board; Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations (PCAOB Release No. 2023-003/PCAOB Rulemaking Docket Matter No. 051, June 6, 2023) 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; 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 activities, including the approach to and designation of systemic importance and risk of nonbank financial companies and firms; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; 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) (P.L. 95-128); 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; 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; modernization of the Credit Repair Organizations Act (enacted as Title IV of the Consumer Credit Protection Act, P.L. 90-321); Internal Revenue Service Priority Guidance Plan; Financial Accounting Standards Board improvements to income tax disclosures; climate-related financial risk management for large banks; 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; CFPB Small Business Advisory Review Panels Rulemaking on Personal Financial Data Rights; CFPB implementation of the Small Business Lending Data Collection Rule (the 1071 Rule); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (File Number S7-26-22); Federal Deposit Insurance Corporation Proposal on Corporate Governance and Risk Management; Basel III Endgame Rule; FDIC Monitoring of Investment Funds Passivity Agreements; issues related to the Export-Import Bank of the United States; European Commission debates over stricter rules on third-party delegation; European Union Capital Markets Union; retail participation in capital markets; United Kingdom pensions reform; European Unions Corporate Sustainability Due Diligence Directive (CSDDD); EU sustainable finance action plan and incorporating ESG factors into financial services; reporting metrics of American companies under the EUs Corporate Sustainability Reporting Directive and Corporate Sustainability Due Diligence Directive; reporting metrics of American companies under the California climate disclosure laws; reporting metrics of American companies on diversity, equity, and inclusion; reporting metrics of American companies on executive compensation; reporting metrics for private companies under Securities and Exchange Commission rules; reform to the function of the Public Company Accounting Oversight Board; interconnectedness of the SECs rulemaking agenda; potential rulemaking regarding Section 956 of the Dodd-Frank Act (P.L. 111-203); SEC Staff Report Review of the Accredited Investor Definition under the Dodd Frank Act; index fund passivity; oversight issues and potential legislation on third party litigation funding (including its national security implications)

Client expense: $14,750,000 · 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, U.S. Trade Representative (USTR)

Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (S.4917/H.R.3063-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). The Improving Retirement Security for Family Caregivers Act (S.5148-118th Congress). The Catching Up Family Caregivers Act (S.5149-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - IRS - Proposed Rulemaking: Required Minimum Distributions - 89 FR 58644 - [REG-103529-23] (RIN 1545-BQ66).

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

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC/Treasury - Joint Proposed Rule by SEC & FinCEN - Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers - 17 CFR 275, 31 CFR 1032, RIN 1506-AB66, RIN 3235-AN34. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (S.4917/H.R.3063-118th Congress). The Empowering Main Street in America Act (S.5139-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector - 89 FR 50048. Treasury - IRS - Proposed Rulemaking: Required Minimum Distributions - 89 FR 58644 - [REG-103529-23] (RIN 1545-BQ66).

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

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

General education on climate change and sustainability efforts of the U.S. pork industry. General education on pork production and water quality. Reporting of air emissions from livestock farms under environmental statutes. Completion of the National Air Emissions Monitoring Study. Implementation of P.L. 115-141, the Consolidated Appropriations Act, 2018, specifically provisions of TITLE XI, Fair Agricultural Reporting Method (FARM) Act. FARM Act provisions. Amendment to Emergency Release Notification Regulations on Reporting Exemption for Air Emissions From Animal Waste at Farms; Emergency Planning and Community Right-to-Know Act; RIN 2050-AH00; June 13, 2019; 84 CFR 27533. General engagement on development of climate change and sustainability policy proposals. General engagement on development of environmental justice policy proposals. Engagement on status and implementation of Waters of United States Rule and Navigable Waters Protection Rule. The Enhancement and Standardization of Climate-Related Disclosures for Investors, 87 FR 21334. Monitor implementation of P.L. 117-169 - Inflation Reduction Act of 2022, provisions related to agriculture, farms, and food production. General engagement on the EPA Integrated Risk Information System (IRIS) assessment on formaldehyde. General engagement on rodenticides. General engagement on PFAS chemicals and proposed Safe Drinking Water Act Maximum Contaminant Regulation and CERCLA listing. US Environmental Protection Agency: Effluent Limitation Guidelines for Meat and Poultry Processing 89 FR 4474 (Jan 23, 2024); EPA-HQ-OW-2021-0736; FRL-8885-01-OW. US Securities and Exchange Commission: SEC Enhancement and Standardization of Climate Related Disclosures for Investors 87 21334 (April 11, 2022); Release Nos. 33-11042; 34-94478; File No. S7-10-22. US Environmental Protection Agency Clean Water Act Concentrated Animal Feeding Operations (40 CFR part 412), Effluent Guidelines Program Plan 15. Engagement over Implementation of Inflation Reduction Act tax credits for 40B (Sustainable Aviation Fuel), 45Q (Carbon Sequestration), 45Z (Clean Fuel Production Tax Credit) and GREET (Greenhouse Gases, Regulated Emissions, and Energy use in Technologies) modeling.

Client expense: $660,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

General issues related to multiple areas of the tax law and code including: Legislative proposals on tax simplification, tax reform, and technical tax changes; Individual, S corporation, partnership, trust and estate implementation issues in the Tax Cuts and Jobs Act, P.L.115-97, including SALT cap passthrough entity-level taxes; Virtual currency and digital assets reporting, including section 6045 broker basis reporting; Disaster relief, including the Filing Relief for Natural Disasters Act (H.R. 3861 / S. 1815), the Casualty Loss Deduction Restoration Act (H.R. 4539), the Federal Disaster Responsibility Act (H.R. 5343 / S. 2721), and the Disaster Tax Lookback Parity Act of 2024 (H.R. 8007); 529 plan expansion legislation, the Freedom to Invest in Tomorrows Workforce Act (H.R. 1477 / S. 7.22), legislative proposals related to the farmers and fishers tax deadline; Energy tax credits; Excise tax on repurchases of corporate stock; IRS priority guidance plan; E-signature; Tax administration issues, including appeals, first-time abatement penalty relief, electronic filing, regulation of tax return preparers, credit and refund lookback period, mailbox rule for electronic submissions and payments and the Electronic Communications Uniformity Act (S. 1338), IRS user fees, IRS Form 1099-K reporting and the Saving Gig Economy Taxpayers Act (H.R. 190) and the Red Tape Reduction Act (S. 1761), IRS strategic operating plan, contingency plan for possible government shutdown, extension simplification and the Simplify Automatic Filing Extensions (SAFE) Act of 2023 (H.R. 3566), filing flexibility, quarterly estimated payments and the Tax Deadline Simplification Act (H.R. 3708), the Tax Administration Simplification Act (H.R. 8864), and Improving IRS Customer Service Act (S. 5280); Trust and estate issues, including foreign trust reporting, domestic grantor trust reporting, generation-skipping transfer taxes, purpose trusts, and section 645; Mobile workforce and state income tax simplification issues; State remote sales tax issues; Methods and periods issues, including section 174 research and experimentation expensing and the Tax Relief for American Families and Workers Act of 2024 (H.R. 7024) the American Innovation and Jobs Act (S. 866) and the American Innovation and R&D Competitiveness Act of 2023 (H.R. 2673) and other expired and expiring provisions, section 473 relief including the Supply Chain Disruptions Relief Act (H.R. 700 / S. 443), credit for increasing research activities, and automatic changes in methods of accounting, including change to required section 174 method; Corporate taxation issues, including the corporate alternative minimum tax (CAMT) and the Book Minimum Tax Repeal Act (H.R. 3210 / S. 1559) and legislative proposals related to CAMT simplification; Partnership taxation issues, including the centralized partnership audit regime, basis-shifting transactions; S corporation taxation issues, including inadvertent terminations, F reorganizations; Employee benefits tax issues, including implementation of and technical corrections to SECURE 2.0, remote work environment, the employee retention credit and the Employee Retention Tax Credit Repeal Act (S. 5079), and executive compensation; Exempt organization issues, including donor-advised funds, Form 990 series; International Code of Ethics for Professional Accountants (IESBA) rules on tax planning and related services; International tax issues, including dual residents reporting, income and currency gain or loss, report of foreign bank and financial accounts reporting extensions for disasters, and OECD Pillar One and Pillar Two issues; Individual tax issues, including section 461(l) excess business losses of noncorporate taxpayers; Taxpayer digital privacy issues; Beneficial ownership information reporting issues, including the Protecting Small Business Information Act of 2023 (H.R. 4035 / S. 2623); Emergency Capital Investment Program, Quarterly Supplemental Reporting; Taxpayer privacy.

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

Government targets: Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of

SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities FINCEN 31 CFR 1032 and RIN 1506-AB66 and Securities and Exchange Commission 17 CFR 275 and RIN 3235-AN34. Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 1505-AC82 - Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern Document no 2024-12336 - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector RIN 3038-AF25 - Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools General discussions in relation to SEC Form PF

Client expense: $180,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of

H.R. 448, Putting Investors First Act of 2023 H.R. 758, Promoting Access to Capital in Underbanked Communities Act of 2023 H.R. 835, Fair Investment Opportunities for Professional Experts Act H.R. 1010/S. 453, Prohibiting IRS Financial Surveillance Act H.R. 1410, Consumer Financial Protection Commission Act H.R. 1548, Improving Access to Small Business Information Act H.R. 1553, Helping Angels Lead our Startups (HALOS) Act H.R. 1579, Accredited Investor Definition Review Act H.R. 2608, To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes H.R. 2610, To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes H.R. 2612, Gig Worker Equity Compensation Act H.R. 2627, Increasing Investor Opportunities Act H.R. 2652, Investment Opportunity Expansion Act H.R. 2792, Small Entity Update Act H.R. 2793, Encouraging Public Offerings Act of 2023 H.R. 2795, Enhancing Multi-Class Share Disclosures Act H.R. 2796, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2797, Equal Opportunity for All Investors Act H.R. 2798, CFPB Transparency and Accountability Reform Act H.R. 2799/S. 3815, Expanding Access to Capital Act of 2023 H.R. 2812, Middle Market IPO Underwriting Cost Act H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act H.R. 3161, CDFI Fund Transparency Act H.R. 4035, Protecting Small Business Information Act of 2023 H.R. 4168/S. 2005, Mandatory Materiality Requirement Act of 2023 H.R. 4177/S. 2007, Improving Corporate Governance Through Diversity Act of 2023 H.R. 4366, Consolidated Appropriations Act, 2024, including provisions related to Senate Amendment 1217 and Senate Amendment 1092 H.R. 4664/S. 2309, Making appropriations for financial services and general government for the fiscal year ending September 30, 2024, and for other purposes H.R. 4823, American Financial Institution Regulator Sovereignty and Transparency Act H.R. 5488/S. 2805, Protecting Our Courts from Foreign Manipulation Act of 2023 H.R. 7000/S. 3592, Business of Insurance Regulatory Reform Act of 2024 H.R. 7092/S. 3676, Protecting Private Job Creators Act H.R. 7470/S.3823, Secure U.S. Leadership in Space Act of 2024 H.R. 8070, Service Member Quality of Life Improvement and National Defense Authorization for Fiscal Year 2025 H.R. 8337, Bank Resilience and Regulatory Improvement Act H.R. 8338, Clarity in Lending Act H.R. 8339, SEC Reform and Restructuring Act H.R. 8773, Financial Services and General Government Appropriations Act, 2025 S. 638, Disclosure of Tax Havens and Offshoring Act S. 3541, Fair Audits and Inspections for Regulators Exams Act H.J.Res. 100 / S.J.Res. 50, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to "Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure" H.J.Res. 120, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Financial Stability Oversight Council related to "Guidance on Nonbank Financial Company Determinations" H.J.Res. 122/H.J.Res.121/S.J.Res.70, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Bureau of Consumer Financial Protection relating to "Credit Card Penalty Fees (Regulation Z)" Draft legislation titled Accredited Investor Self-Certification Act Potential legislation on environmental, social, and governance issues Potential legislation to reform the Securities and Exchange Commission Potential legislation similar to H.R. 5598, Access to Small Business Investor Capital Act Potential legislation similar to H.R. 2025/S. 840, Litigation Funding Transparency Act SEC Proposed Rule on the 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; Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (87 Fed. Reg. 77,172-77,296, December 16, 2022) Notice of Proposed Rulemaking, Internal Revenue Service (IRS), Treasury; Excise Tax on Repurchase of Corporate Stock-Procedure and Administration (89 Fed. Reg. 25,829-25,834, April 12, 2024) Notice of Proposed Rulemaking, Section 45V Credit for Production of Clean Hydrogen; Section 48(a)(15) Election To Treat Clean Hydrogen Production Facilities as Energy Property (89 Fed. Reg. 25,551-25,553, April 11, 2024) Proposed Rule, Public Company Accounting Oversight Board; Amendments to Reporting Requirements for Registered Firms (PCAOB Release No. 2024-003, April 9, 2024; PCAOB Rulemaking Docket Matter No. 055) Proposed Rule, Public Company Accounting Oversight Board; Amendments to False or Misleading Statements Concerning PCAOB Registration and Oversight and Constructive Requests to Withdraw from Registration (PCAOB Release No. 2024-001, February 27, 2024; PCAOB Rulemaking Docket Matter No. 054) Proposed Rule, Public Company Accounting Oversight Board; Amendments to Firm and Engagement Metrics (PCAOB Release No. 2024-002, April 9, 2024; PCAOB Rulemaking Docket Matter No. 041) Final Rule, Security Exchange Commission on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (88 Fed. Reg. 51,896-51,945, September 5, 2023) Proposed Rule, Security Exchange Commission on Changes to 14a-8 (87 Fed. Reg. 45,052-45,075, July 27, 2022) Proposed Rule, Consumer Financial Protection Bureau; Overdraft Lending: Very Large Financial Institutions (89 Fed. Reg. 13,852-13,908, February 23, 2024) Final Rule, Security Exchange Commission on Share Repurchase Disclosure Modernization (88 Fed. Reg. 36,002-36,063, July 31, 2023) Proposed Rule, FSOC Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies, Proposed Interpretive Guidance (88 Fed. Reg. 26,234-26,244, April 28, 2023) Proposed Rule, FSOC Analytic Framework for Financial Stability Risk Identification, Assessment, and Response, Proposed Analytic Framework (88 Fed. Reg. 26,305-26,311, April 28, 2023) Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (88 Fed. Reg. 53,960- 54,024, August 9, 2023) Proposed Rule, Security Exchange Commission on Private Fund Advisers (87 FR 16,886, February 9, 2022) Proposed Rule, Security Exchange Commission on Safeguarding Advisory Client Assets (88 Fed. Reg 14,672-14,792, March 9, 2023) Proposed Rule, Federal Deposit Insurance Corporation; Request for Comment on Proposed Statement of Policy on Bank Merger Transactions (89 Fed. Reg. 29,222-29,244, April 19, 2024) Proposed Rule, Public Company Accounting Oversight Board; Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations (PCAOB Release No. 2023-003/PCAOB Rulemaking Docket Matter No. 051, June 6, 2023) Notice and Request for Comment, Consumer Financial Protection Bureau; Agency Information Collection Activities (89 Fed. Reg 4,281-4,282, January 23, 2024) Proposed Rule, Consumer Financial Protection Bureau; Defining Larger Participants of a Market for General Use Digital Consumer Payment Applications (88 Fed. Reg. 80,197-80,216, November 17, 2023) 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; 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 activities, including the approach to and designation of systemic importance and risk of nonbank financial companies and firms; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; 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) (P.L. 95-128); 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; 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; modernization of the Credit Repair Organizations Act (enacted as Title IV of the Consumer Credit Protection Act, P.L. 90-321); Internal Revenue Service Priority Guidance Plan; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Financial Accounting Standards Board improvements to income tax disclosures; Climate-Related Financial Risk Management for Large Banks; 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; CFPB Small Business Advisory Review Panels Rulemaking on Personal Financial Data Rights; CFPB implementation of the Small Business Lending Data Collection Rule (the 1071 Rule); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (File Number S7-26-22); Federal Deposit Insurance Corporation Proposal on Corporate Governance and Risk Management; Basel III Endgame Rule; FDIC Monitoring of Investment Funds Passivity Agreements; issues related to the Export-Import Bank of the United States; EU sustainable finance action plan and incorporating ESG factors into financial services; reporting metrics of American companies under the EUs Corporate Sustainability Reporting Directive and Corporate Sustainability Due Diligence Directive; reporting metrics of American companies under the California climate disclosure laws; interconnectedness of the SECs rulemaking agenda; potential rulemaking regarding Section 956 of the Dodd-Frank Act (P.L. 111-203); SEC Staff Report Review of the Accredited Investor Definition under the Dodd Frank Act index fund passivity; oversight issues and potential legislation on third party litigation funding (including its national security implications)

Client expense: $13,930,000 · Firm income: Not reported

Government targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). The Financial Fitness Act (H.R.8944-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014.

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

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL- EBSA - Final Rule - Retirement Security Rule: Definition of an Investment Fiduciary - 29 CFR 2510, RIN 1210-AC02. DOL-EBSA- FINAL Amendments to PTE 2020-02 - 29 CFR 2550, RIN 1210-ZA32. DOL- EBSA - FINAL Amendments to PTE 84-24 - 29 CFR 2550, RIN 1210-ZA33. DOL-EBSA- FINAL Amendments to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550, RIN 1210-ZA34. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. SEC/Treasury - Joint Proposed Rule by SEC & FinCEN - Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers - 17 CFR 275, 31 CFR 1032, RIN 1506-AB66, RIN 3235-AN34. SEC - Final Rule - Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments - 17 CFR Parts 230, 232, 239, and 274, RIN 3235-AN30. The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). Departments of Labor, Health And Human Services, And Education, And Related Agencies Appropriations Bill, FY 2025 Subcommittee Mark. Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 2020-02" (H.J.Res.140-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTE 84-24" (H.J.Res.141-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Amendment to PTEs 75-1, 77-4, 80-83, 83-1, and 86-128)" (H.J.Res.143-118th Congress). Resolution providing for congressional disapproval under chapter 8 of title 5, USC, of the rule submitted by the DOL relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" (H.J.Res.142-118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014. Treasury - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector - 89 FR 50048.

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

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

General education on climate change and sustainability efforts of the U.S. pork industry. General education on pork production and water quality. Reporting of air emissions from livestock farms under environmental statutes. Completion of the National Air Emissions Monitoring Study. Implementation of P.L. 115-141, the Consolidated Appropriations Act, 2018, specifically provisions of TITLE XI, Fair Agricultural Reporting Method (FARM) Act. FARM Act provisions. Amendment to Emergency Release Notification Regulations on Reporting Exemption for Air Emissions From Animal Waste at Farms; Emergency Planning and Community Right-to-Know Act; RIN 2050-AH00; June 13, 2019; 84 CFR 27533. General engagement on development of climate change and sustainability policy proposals. General engagement on development of environmental justice policy proposals. Engagement on status and implementation of Waters of United States Rule and Navigable Waters Protection Rule. The Enhancement and Standardization of Climate-Related Disclosures for Investors, 87 FR 21334. Monitor implementation of P.L. 117-169 - Inflation Reduction Act of 2022, provisions related to agriculture, farms, and food production. General engagement on the EPA Integrated Risk Information System (IRIS) assessment on formaldehyde. General engagement on rodenticides. General engagement on PFAS chemicals and proposed Safe Drinking Water Act Maximum Contaminant Regulation and CERCLA listing. US Environmental Protection Agency: Effluent Limitation Guidelines for Meat and Poultry Processing 89 FR 4474 (Jan 23, 2024); EPA-HQ-OW-2021-0736; FRL-8885-01-OW US Securities and Exchange Commission: SEC Enhancement and Standardization of Climate Related Disclosures for Investors 87 21334 (April 11, 2022); Release Nos. 33-11042; 34-94478; File No. S7-10-22 US Environmental Protection Agency Clean Water Act Concentrated Animal Feeding Operations (40 CFR part 412), Effluent Guidelines Program Plan 15

Client expense: $610,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.

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

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

General issues related to multiple areas of the tax law and code including: Legislative proposals on tax simplification, tax reform, and technical tax changes; Individual, S corporation, partnership, trust and estate implementation issues in the Tax Cuts and Jobs Act, P.L.115-97, including SALT cap passthrough entity-level taxes; Virtual currency and digital assets reporting, including section 6045 broker basis reporting; Disaster relief, including the Filing Relief for Natural Disasters Act (H.R. 3861 / S. 1815), the Casualty Loss Deduction Restoration Act (H.R. 4539), the Federal Disaster Responsibility Act (H.R. 5343 / S. 2721), and the Disaster Tax Lookback Parity Act of 2024 (H.R. 8007); 529 plan expansion legislation, the Freedom to Invest in Tomorrows Workforce Act (H.R. 1477 / S. 7.22); Energy tax credits; Excise tax on repurchases of corporate stock; IRS priority guidance plan; E-signature; Tax administration issues, including appeals, first-time abatement penalty relief, electronic filing, regulation of tax return preparers, credit and refund lookback period, mailbox rule for electronic submissions and payments and the Electronic Communications Uniformity Act (S. 1338), IRS user fees, IRS Form 1099-K reporting and the Saving Gig Economy Taxpayers Act (H.R. 190) and the Red Tape Reduction Act (S. 1761), IRS strategic operating plan, contingency plan for possible government shutdown, extension simplification and the Simplify Automatic Filing Extensions (SAFE) Act of 2023 (H.R. 3566), filing flexibility, quarterly estimated payments and the Tax Deadline Simplification Act (H.R. 3708); Trust and estate issues, including foreign trust reporting, domestic grantor trust reporting, generation-skipping transfer taxes, purpose trusts, and section 645; Mobile workforce and state income tax simplification issues; State remote sales tax issues; Methods and periods issues, including section 174 research and experimentation expensing and the Tax Relief for American Families and Workers Act of 2024 (H.R. 7024) the American Innovation and Jobs Act (S. 866) and the American Innovation and R&D Competitiveness Act of 2023 (H.R. 2673) and other expired and expiring provisions, section 473 relief including the Supply Chain Disruptions Relief Act (H.R. 700 / S. 443), credit for increasing research activities, and automatic changes in methods of accounting, including change to required section 174 method; Corporate taxation issues, including the corporate alternative minimum tax and the Book Minimum Tax Repeal Act (H.R. 3210 / S. 1559); Partnership taxation issues, including the centralized partnership audit regime; S corporation taxation issues, including inadvertent terminations, F reorganizations; Employee benefits tax issues, including implementation of and technical corrections to SECURE 2.0, remote work environment, the employee retention credit, and executive compensation; Exempt organization issues, including donor-advised funds, Form 990 series; International Code of Ethics for Professional Accountants (IESBA) rules on tax planning and related services; International tax issues, including dual residents reporting, income and currency gain or loss, report of foreign bank and financial accounts reporting extensions for disasters, and OECD Pillar One and Pillar Two issues; Individual tax issues, including section 461(l) excess business losses of noncorporate taxpayers; Taxpayer digital privacy issues; Beneficial ownership information reporting issues, including the Protecting Small Business Information Act of 2023 (H.R. 4035 / S. 2623); Emergency Capital Investment Program, Quarterly Supplemental Reporting; Taxpayer privacy.

Client expense: $1,330,000 · Firm income: Not reported

Government targets: Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of

SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities RIN: 3235-AN02 - Shortening the Securities Transaction Settlement Cycle FINCEN-2024-0006 and RIN 1506-AB58. Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Matter No. P239300 - Request to Restart Notice and Comment Process on the Proposed Rulemaking for the HSR Filing Process File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Fed. Reg. 38,342-38,506 - Noncompete Rule General discussions relating to Nonbank Financial Institutions, private credit, digital assets and financial stability issues

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

Government targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

General education on climate change and sustainability efforts of the U.S. pork industry. General education on pork production and water quality. Reporting of air emissions from livestock farms under environmental statutes. Completion of the National Air Emissions Monitoring Study. Implementation of P.L. 115-141, the Consolidated Appropriations Act, 2018, specifically provisions of TITLE XI, Fair Agricultural Reporting Method (FARM) Act. FARM Act provisions. Amendment to Emergency Release Notification Regulations on Reporting Exemption for Air Emissions From Animal Waste at Farms; Emergency Planning and Community Right-to-Know Act; RIN 2050-AH00; June 13, 2019; 84 CFR 27533. General engagement on development of climate change and sustainability policy proposals. General engagement on development of environmental justice policy proposals. Engagement on status and implementation of Waters of United States Rule and Navigable Waters Protection Rule. The Enhancement and Standardization of Climate-Related Disclosures for Investors, 87 FR 21334. Monitor implementation of H.R. 5376 - Inflation Reduction Act of 2022, provisions related to agriculture, farms, and food production. General engagement on the EPA Integrated Risk Information System (IRIS) assessment on formaldehyde. General engagement on rodenticides. General engagement on PFAS chemicals and proposed Safe Drinking Water Act Maximum Contaminant Regulation and CERCLA listing. US Environmental Protection Agency: Effluent Limitation Guidelines for Meat and Poultry Processing 89 FR 4474 (Jan 23, 2024); EPA-HQ-OW-2021-0736; FRL-8885-01-OW US Securities and Exchange Commission: SEC Enhancement and Standardization of Climate Related Disclosures for Investors 87 21334 (April 11, 2022); Release Nos. 33-11042; 34-94478; File No. S7-10-22 US Environmental Protection Agency Clean Water Act Concentrated Animal Feeding Operations (40 CFR part 412), Effluent Guidelines Program Plan 15

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

Government targets: Agriculture, Dept of (USDA), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.

Client expense: $880,000 · Firm income: Not reported

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

H.R. 1219, Food and Agriculture Industry Cybersecurity Support Act H.R. 2670/S. 2226, National Defense Authorization Act for Fiscal Year 2024 H.R. 3932/S. 2103, Intelligence Authorization Act for Fiscal Year 2024, including provisions relating to section 702 of the Foreign Intelligence Surveillance Act H.R. 4470, Protecting and Securing Chemical Facilities from Terrorist Attacks Act of 2023 H.R. 4552, Federal Information Security Modernization Act of 2023 H.R. 5439, National Risk Management Act of 2023 S. 1631, Safeguarding the Homeland from the Threats Posed by Unmanned Aircraft Systems Act S. 2321, Commerce, Justice, Science, and Related Agencies Appropriations Act, 2024 H. Res. 11, Establishing the Select Committee on the Strategic Competition Between the United States and the Chinese Communist Party H.J.Res.100 / S.J.Res.50, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to "Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure" Draft legislation titled Contingency Plan for Critical Infrastructure Act Draft House Science, Space, and Technology Committee cybersecurity of artificial intelligence bill Draft legislation to establish the Cyber Safety Review Board Request for Information, Cybersecurity and Infrastructure Security Agency (CISA), Department of Homeland Security (DHS); Shifting the Balance of Cybersecurity Risk: Principles and Approaches for Secure by Design Software (88 Fed. Reg. 88,104-88,107, December 20, 2023) Various issues relating to cybersecurity protections; cyber incident disclosure, notification, and reporting of breaches, hacks, and other security incidents, including federal preemption and liability protections; Internet of Things (IoT) security and core capability baselines; deepening business and governmental operational collaboration against foreign cyber threats; information sharing between the public and private sectors; data breach notification; The National Cyber Directorate; continuation of the National Space Council; Executive Order 14017 on Securing Americas Critical Supply Chains; Executive Order 13984, Taking Additional Steps to Address the National Emergency with Respect to Significant Malicious Cyber-Enabled Activities; extension of section 3610 of the CARES Act (P.L. 116-134); reauthorization of the Pandemic and All-Hazards Preparedness Act, (P.L. 109-417); implementation of National Defense Authorization Act (P.L. 116-92); implementation of Section 5949 of the National Defense Authorization Act of 2023 (P.L. 117-263); Cyber Threat Information Collaboration Environment (CTICE) program; U.S. Department of Homeland Securitys SAFETY Act Program; proposed rule, Coast Guard, Cybersecurity in the Marine Transportation System; DoD Cybersecurity Maturity Model Certification (CMMC) 2.0; NIST Cybersecurity Framework 2.0 concept paper, Potential Significant Updates to the Cybersecurity Framework; section 889, National Defense Authorization Act for FY 2019 (P.L. 115-232); Consolidated Appropriations Act of 2022, Div. Y, Cyber Incident Reporting for Critical Infrastructure Act of 2022 (P.L. 117-203) and related rulemaking; DoD Early Engagement Opportunity: Implementation of National Defense Authorization Act for Fiscal Year 2023, including questions related to section 5949 (prohibition on certain semiconductor products and services) of the FY 2023 NDAA; DoD, GSA, NASA interim rule on Federal Acquisition Regulation: Implementation of Federal Acquisition Supply Chain Security Act (FASCSA) Orders; DoD, GSA, and NASA proposed rule to amend the Federal Acquisition Regulation on Cyber Threat and Incident Reporting and Information Sharing; Cybersecurity and Infrastructure Security Agency ( CISA), request for Comment on secure software development attestation common form; FCC proposed rule on Cybersecurity Labeling for Internet of Things; Office of Management and Budget (OMB) request for comments on Updated Guidance for Modernizing the Federal Risk Authorization Management Program (FedRAMP) and extension of public comment period; SEC proposed rules, Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (file no. S7-09-22); Office of National Cyber Director (ONCD) request for information on Open-Source Software Security: Areas of Long-Term Focus and Prioritization; Office of National Cyber Director (ONCD) Report Calls for Adoption of Memory Safe Programming Languages and Addressing the Hard Research Problem of Software Measurability; Request for Information on Shifting the Balance of Cybersecurity Risk: Principles and Approaches for Secure by Design Software, Federal Register, December 20, 2023, Docket # CISA-2023-0027; Advance Notice of Proposed Rulemaking on Securing the Information and Communications Technology and Services Supply Chain: Connected Vehicles, Federal Register, March 1, 2024, Docket # 240227-0060; Executive Order 14110, on Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence; White House National Cybersecurity Strategy; Issuance of Maritime Security (MARSEC) Directive 105-4; Cyber Risk Management Actions for Ship-to-Shore Cranes Manufactured by People's Republic of China Companies; Request for Comment - Taking Additional Steps to Address the National Emergency With Respect to Significant Malicious Cyber-Enabled Activities; Presidential Policy Directive 21 - Critical Infrastructure Security and Resilience; EPA Cybersecurity for the Water Sector

Client expense: $23,370,000 · Firm income: Not reported

Government targets: Bureau of Industry and Security (BIS), Commerce, Dept of (DOC), Defense, Dept of (DOD), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Justice, Dept of (DOJ), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Security Council (NSC), Natl Telecommunications & Information Administration (NTIA), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), U.S. Coast Guard (USCG), White House Office

H.R. 448, Putting Investors First Act of 2023 H.R. 835, Fair Investment Opportunities for Professional Experts Act H.R. 1010/S. 453, Prohibiting IRS Financial Surveillance Act H.R. 1410, Consumer Financial Protection Commission Act H.R. 1548, Improving Access to Small Business Information Act H.R. 1553, Helping Angels Lead our Startups (HALOS) Act H.R. 1579, Accredited Investor Definition Review Act H.R. 2608, To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes H.R. 2610, To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes H.R. 2612, Gig Worker Equity Compensation Act H.R. 2627, Increasing Investor Opportunities Act H.R. 2652, Investment Opportunity Expansion Act H.R. 2792, Small Entity Update Act H.R. 2793, Encouraging Public Offerings Act of 2023 H.R. 2795, Enhancing Multi-Class Share Disclosures Act H.R. 2796, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2797, Equal Opportunity for All Investors Act H.R. 2798, CFPB Transparency and Accountability Reform Act H.R. 2799, Expanding Access to Capital Act of 2023, H.R. 2812, Middle Market IPO Underwriting Cost Act H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act H.R. 3466, To enhance Financial Stability Oversight Council transparency H.R. 3812/S. 3601, Financial Stability Oversight Council Improvement Act of 2023 H.R. 4035, Protecting Small Business Information Act of 2023 H.R. 4168/S. 2005, Mandatory Materiality Requirement Act of 2023 H.R. 4177/S. 2007, Improving Corporate Governance Through Diversity Act of 2023 H.R. 4366, Consolidated Appropriations Act, 2024, including provisions related to Senate Amendment 1217 and Senate Amendment 1092 H.R. 4664/S. 2309, Making appropriations for financial services and general government for the fiscal year ending September 30, 2024, and for other purposes H.R. 4823, American Financial Institution Regulator Sovereignty and Transparency Act H.R. 5488/S. 2805, Protecting Our Courts from Foreign Manipulation Act of 2023 H.R. 7000/S. 3592, Business of Insurance Regulatory Reform Act of 2024 H.R. 7092/S. 3676, Protecting Private Job Creators Act S. 638, Disclosure of Tax Havens and Offshoring Act S. 3735, Protecting Innovation in Investment Act H.J.Res.100 / S.J.Res.50, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to "Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure" Draft legislation titled Accredited Investor Self-Certification Act Potential legislation on environmental, social, and governance Potential legislation to reform the Securities and Exchange Commission Potential legislation related to the Foreign Agents Registration Act Potential legislation similar to H.R. 5598, Access to Small Business Investor Capital Act Potential legislation similar to H.R. 2025/S. 840, Litigation Funding Transparency Act SEC Proposed Rule on the 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; Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (87 Fed. Reg. 77,172-77,296, December 16, 2022) SEC Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (88 Fed. Reg. 51,896-51,945, September 5, 2023) SEC Proposed Rule on Changes to 14a-8 (87 Fed. Reg. 45,052-45,075, July 27, 2022) SEC Final Rule on Share Repurchase Disclosure Modernization (88 Fed. Reg. 36,002-36,063, July 31, 2023) Proposed Rule, FSOC Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies, Proposed Interpretive Guidance (88 Fed. Reg. 26,234-26,244, April 28, 2023) Proposed Rule, FSOC Analytic Framework for Financial Stability Risk Identification, Assessment, and Response, Proposed Analytic Framework (88 Fed. Reg. 26,305-26,311, April 28, 2023) Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (88 Fed. Reg. 53,960- 54,024, August 9, 2023) Proposed Rule, Public Company Accounting Oversight Board; Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations (PCAOB Release No. 2023-003/PCAOB Rulemaking Docket Matter No. 051, June 6, 2023) Notice and Request for Comment, Consumer Financial Protection Bureau; Agency Information Collection Activities (89 Fed. Reg 4,281-4,282, January 23, 2024) Proposed Rule, Consumer Financial Protection Bureau; Defining Larger Participants of a Market for General Use Digital Consumer Payment Applications (88 Fed. Reg. 80,197-80,216, November 17, 2023) 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; 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 activities, including the approach to and designation of systemic importance and risk of nonbank financial companies and firms; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; 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) (P.L. 95-128); 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; 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; modernization of the Credit Repair Organizations Act (enacted as Title IV of the Consumer Credit Protection Act, P.L. 90-321); Internal Revenue Service Priority Guidance Plan; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Financial Accounting Standards Board improvements to income tax disclosures; Climate-Related Financial Risk Management for Large Banks; 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; CFPB Small Business Advisory Review Panels Rulemaking on Personal Financial Data Rights; CFPB implementation of the Small Business Lending Data Collection Rule (the 1071 Rule); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (File Number S7-26-22); Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (SEC Rel. Nos. 34-97990; IA-6353; File No. S7-12-23, July 26, 2023); Proposing Release: Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations; Federal Deposit Insurance Corporation Proposal on Corporate Governance and Risk Management; Basel III Endgame Rule; EU sustainable finance action plan and incorporating ESG factors into financial services; potential regulations to require public companies to disclose information related to human capital management; reporting metrics of American companies under the EUs Corporate Sustainability Reporting Directive and Corporate Sustainability Due Diligence Directive; reporting metrics of American companies under the California climate disclosure laws; interconnectedness of the SECs rulemaking agenda; potential rulemaking regarding Section 956 of the Dodd-Frank Act (P.L. 111-203); SEC Staff Report Review of the Accredited Investor Definition under the Dodd Frank Act; oversight issues and potential legislation on third party litigation funding (including its national security implications)

Client expense: $23,370,000 · Firm income: Not reported

Government targets: 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

DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information-SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). Elder Justice Reauthorization and Modernization Act of 2021 (S.1198/H.R.2718 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275, RIN: 3235-AN00 and RIN: 3235-AN14. SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress).

Client expense: $160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014.

Client expense: $160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). DOL - EBSA - Employee Benefits Security - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) - 29 CFR Part 2550 (Z-RIN 1210 ZA07). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). DOL - Proposed Rule on Automatic Portability Transactions Exemption - 29 CFR 255 (RIN 1210-AC21). DOL Guidance on Pension‑Linked Emergency Savings Accounts. Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). SEC - Stay Order - Final Rule on Enhancement and Standardization of Climate-Related Disclosures during pending litigation. The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Fitness Act (H.R.5779 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). The Automatic IRA Act of 2024 (H.R.7293-118th Congress). The Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718-118th Congress). The Ensuring Sound Guidance Act (S.2282/H.R.4237 - 118th Congress). The Expanding Access to Capital Act (H.R.2799-118th Congress). The Further Consolidated Appropriations Act, 2024 (S.2309/H.R.2882 - 118th Congress). The Improving Disclosure for Investors Act (S.3815/H.R.1807-118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions - 26 CFR Part 1 [REG-132210-18] (RIN 1545-BP11). Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23). Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief. Treasury - IRS - Guidance on Anti-Abuse Rules Under Sec. 127 of SECURE 2.0 and Other Issues for Pension-Linked Emergency Savings Accounts. Treasury - Request for Information on Financial Inclusion - 88 FR 88702 - Treas-Do-2023-0014.

Client expense: $160,000 · Firm income: Not reported

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

ASKED TO SUPPORT THE FOLLOWING: - S.391/H.R.1018, the Protect Farmers from the SEC Act, which would prohibit the SEC from requiring ag producers to report their Scope 3 greenhouse gas emissions. The Protect Farmers from the SEC Act was introduced in response to the SEC's March 2022 proposed "The Enhancement and Standardization of Climate-Related Disclosures for Investors" rule (File #: S7-10-22), which would require farmers to report their scope 3 emissions to the SEC. Encouraged PFB members to complete AFBF's S.391/H.R.1018's advocacy email to send to their legislator asking them for support. ASKED TO OPPOSE THE FOLLOWING: - - S.1016/H.R.1840, the Agriculture Resilience Act, which would aim to reduce agriculture emissions by 50% before 2030 and to achieve net zero emissions by 2040. - EPA's proposed rule (Docket #: EPA-HQ-OLEM-2019-0341) to designate PFOA and PFOS under the CERLA law or otherwise known as the Superfund law. ACTIVITIES RELATED TO SEC'S CLIMATE RELATED DISCLOSURES RULE: - Discussed consequences of Scope 3 being included in the SEC's proposed climate related disclosures rule with Senator Fetterman's banking and agriculture staff. Also, lobbied their office to get the Senator signed onto Senator Tester's (D-MI) addressing these concerns. - When final rule was published, Farm Bureau was successful in their advocacy efforts and the SEC excluded Scope 3 from the final rule. PFB published a news release thanking members and legislators for their efforts on the issue. OTHER: - General advocacy promoting farmers and ranchers' conservation efforts on ag operations as a way to express that more environmental regulations in production ag is not necessary. - Advocated PA House Members to sign onto letter to EPA Administrator Regan regarding concerns around the EPA's ESA strategies.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

General issues related to multiple areas of the tax law and code including: Legislative proposals on tax simplification and technical tax changes; Individual, S corporation, partnership, trust and estate implementation issues in the Tax Cuts and Jobs Act, P.L.115-97, including SALT cap passthrough entity-level taxes; Virtual currency and digital assets reporting, including section 6045 broker basis reporting; Disaster relief, including the Filing Relief for Natural Disasters Act (H.R. 3861 / S. 1815), the Casualty Loss Deduction Restoration Act (H.R. 4539), the Federal Disaster Responsibility Act (H.R. 5343 / S. 2721), and the Disaster Tax Lookback Parity Act of 2024; 529 plan expansion legislation, the Freedom to Invest in Tomorrows Workforce Act (H.R. 1477 / S. 7.22); Energy tax credits; Excise tax on repurchases of corporate stock; IRS priority guidance plan; E-signature; Tax administration issues, including appeals, first-time abatement penalty relief, electronic filing, regulation of tax return preparers, credit and refund lookback period, mailbox rule for electronic submissions and payments and the Electronic Communications Uniformity Act (S. 1338), IRS user fees, IRS Form 1099-K reporting and the Saving Gig Economy Taxpayers Act (H.R. 190) and the Red Tape Reduction Act (S. 1761), IRS strategic operating plan, contingency plan for possible government shutdown, extension simplification and the Simplify Automatic Filing Extensions (SAFE) Act of 2023 (H.R. 3566), filing flexibility, quarterly estimated payments and the Tax Deadline Simplification Act (H.R. 3708); Trust and estate issues, including foreign trust reporting, domestic grantor trust reporting, generation-skipping transfer taxes, and section 645; Mobile workforce and state income tax simplification issues; State remote sales tax issues; Methods and periods issues, including section 174 research and experimentation expensing and the Tax Relief for American Families and Workers Act of 2024 (H.R. 7024) the American Innovation and Jobs Act (S. 866) and the American Innovation and R&D Competitiveness Act of 2023 (H.R. 2673) and other expired and expiring provisions, section 473 relief including the Supply Chain Disruptions Relief Act (H.R. 700 / S. 443), credit for increasing research activities, and automatic changes in methods of accounting, including change to required section 174 method; Corporate taxation issues, including the corporate alternative minimum tax and the Book Minimum Tax Repeal Act (H.R. 3210 / S. 1559); Partnership taxation issues; S corporation taxation issues, including inadvertent terminations, F reorganizations; Employee benefits tax issues, including implementation of and technical corrections to SECURE 2.0, remote work environment, the employee retention credit, and executive compensation; Exempt organization issues, including donor-advised funds; International Code of Ethics for Professional Accountants (IESBA) rules on tax planning and related services; International tax issues, including dual residents reporting, income and currency gain or loss, report of foreign bank and financial accounts reporting extensions for disasters, and OECD Pillar One and Pillar Two issues; Individual tax issues, including section 461(l) excess business losses of noncorporate taxpayers; Taxpayer digital privacy issues; Beneficial ownership information reporting issues, including the Protecting Small Business Information Act of 2023 (H.R. 4035 / S. 2623); Emergency Capital Investment Program, Quarterly Supplemental Reporting; Taxpayer privacy.

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

Government targets: Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of

H.R. 903, Veterans Entrepreneurship Act of 2023. SBA proposal to amend various regulations governing SBA's 7(a) Loan Program and 504 Loan Program.

Client expense: $360,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

Small Business Administration 7(a) Loan Enhancements. SBA proposal to amend various regulations governing SBA's 7(a) Loan Program and 504 Loan Program.

Client expense: $360,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Consumer Financial Protection Bureau proposed Required Rulemaking on Personal Financial Data Rights (Docket No. CFPB-2023-0052). Regulatory and legislative proposals related to electronic delivery.

Client expense: $740,000 · Firm income: Not reported

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

H.R. 448, Putting Investors First Act of 2023 H.R. 835, Fair Investment Opportunities for Professional Experts Act H.R. 1010/S. 453, Prohibiting IRS Financial Surveillance Act H.R. 1410, Consumer Financial Protection Commission Act H.R. 1548, Improving Access to Small Business Information Act H.R. 1553, Helping Angels Lead our Startups (HALOS) Act H.R. 1579, Accredited Investor Definition Review Act H.R. 2608, To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes H.R. 2610, To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes H.R. 2612, Gig Worker Equity Compensation Act H.R. 2627, Increasing Investor Opportunities Act H.R. 2652, Investment Opportunity Expansion Act H.R. 2792, Small Entity Update Act H.R. 2793, Encouraging Public Offerings Act of 2023 H.R. 2795, Enhancing Multi-Class Share Disclosures Act H.R. 2796, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2797, Equal Opportunity for All Investors Act H.R. 2798, CFPB Transparency and Accountability Reform Act H.R. 2799, Expanding Access to Capital Act of 2023 H.R. 2812, Middle Market IPO Underwriting Cost Act H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act H.R. 4035, Protecting Small Business Information Act of 2023 H.R. 4168/S. 2005, Mandatory Materiality Requirement Act of 2023 H.R. 4177/S. 2007, Improving Corporate Governance Through Diversity Act of 2023 H.R. 4366, Consolidated Appropriations Act, 2024, including provisions related to Senate Amendment 1217 and Senate Amendment 1092 H.R. 4664/S. 2309, Making appropriations for financial services and general government for the fiscal year ending September 30, 2024, and for other purposes H.R. 4767, Protecting Americans Retirement Savings from Politics Act H.R. 4790, Guiding Uniform and Responsible Disclosure Requirements and Information Limits (GUARDRAIL) Act of 2023 H.R. 4823, American Financial Institution Regulator Sovereignty and Transparency Act H.R. 5488/S. 2805, Protecting Our Courts from Foreign Manipulation Act of 2023 S. 638, Disclosure of Tax Havens and Offshoring Act H.J.Res.100 / S.J.Res.50, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to "Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure" Draft legislation titled Accredited Investor Self-Certification Act Potential legislation on environmental, social, and governance Potential legislation dealing with third party litigation funding including its national security implications Potential legislation similar to H.R. 2025/S. 840, Litigation Funding Transparency Act SEC Proposed Rule on the 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; Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (87 Fed. Reg. 77,172-77,296, December 16, 2022) SEC Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (88 Fed. Reg. 51,896-51945, September 5, 2023) SEC Proposed Rule on Changes to 14a-8 (87 FR 45,052-45,075, July 27, 2022) SEC Final Rule on Share Repurchase Disclosure Modernization (88 FR 36,002-36,063, July 31, 2023) Proposed Rule, FSOC Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies, Proposed Interpretive Guidance (88 Fed. Reg. 26,234-26,244, April 28, 2023) Proposed Rule, FSOC Analytic Framework for Financial Stability Risk Identification, Assessment, and Response, Proposed Analytic Framework (88 Fed. Reg. 26,305-26,311, April 28, 2023) Notice of Proposed Rulemaking, Internal Revenue Service and Department of the Treasury; Gross Proceeds and Basis Reporting by Brokers and Determination of Amount Realized and Basis for Digital Asset Transactions (88 Fed. Reg. 59,576-59,659, August 29, 2023) Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (88 Fed. Reg. 53,960- 54,024, August 9, 2023) 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; 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 activities, including the approach to and designation of systemic importance and risk of nonbank financial companies and firms; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; 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) (P.L. 95-128); 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; 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; modernization of the Credit Repair Organizations Act (enacted as Title IV of the Consumer Credit Protection Act, P.L. 90-321); Internal Revenue Service Priority Guidance Plan; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Financial Accounting Standards Board improvements to income tax disclosures; Climate-Related Financial Risk Management for Large Banks; 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; CFPB Small Business Advisory Review Panels Rulemaking on Personal Financial Data Rights; CFPB implementation of the Small Business Lending Data Collection Rule (the 1071 Rule); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (File Number S7-26-22); Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (SEC Rel. Nos. 34-97990; IA-6353; File No. S7-12-23, July 26, 2023); Proposing Release: Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations; the Federal Reserve Boards Supervision and regulation of Silicon Valley Bank and ongoing Holistic Capital; Federal Deposit Insurance Corporation Proposal on Corporate Governance and Risk Management; SEC Shareholder Proposals: Staff Legal Bulletin No. 14L (CF); EU sustainable finance action plan and incorporating ESG factors into financial services; potential regulations to require public companies to disclose information related to human capital management; reporting metrics of American companies under the EUs Corporate Sustainability Reporting Directive and Corporate Sustainability Due Diligence Directive; reporting metrics of American companies under the California climate disclosure laws; interconnectedness of the SECs rulemaking agenda; potential rulemaking regarding Section 956 of the Dodd-Frank Act (P.L. 111-203); oversight issues and potential legislation on third party litigation funding (including its national security implications)

Client expense: $19,080,000 · 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

General issues related to multiple areas of the tax law and code including: Legislative proposals on tax simplification and technical tax changes; Individual, S corporation, partnership, trust and estate implementation issues in the Tax Cuts and Jobs Act, P.L.115-97, including SALT cap passthrough entity-level taxes; Virtual currency and digital assets reporting; Disaster relief, including the Filing Relief for Natural Disasters Act (H.R. 3861 / S. 1815), and the Casualty Loss Deduction Restoration Act (H.R. 4539), and the Federal Disaster Responsibility Act (H.R. 5343 / S. 2721); 529 plan expansion legislation, the Freedom to Invest in Tomorrows Workforce Act (H.R. 1477 / S. 7.22); Energy tax credits; Excise tax on repurchases of corporate stock; IRS priority guidance plan; E-signature; Tax administration issues, including appeals, first-time abatement penalty relief, regulation of tax return preparers, credit and refund lookback period, mailbox rule for electronic submissions and payments and the Electronic Communications Uniformity Act (S. 1338), IRS user fees, IRS Form 1099-K reporting and the Saving Gig Economy Taxpayers Act (H.R. 190) and the Red Tape Reduction Act (S. 1761), IRS strategic operating plan, contingency plan for possible government shutdown, extension simplification and the Simplify Automatic Filing Extensions (SAFE) Act of 2023 (H.R. 3566), filing flexibility, quarterly estimated payments and the Tax Deadline Simplification Act (H.R. 3708); Trust and estate issues, including foreign trust reporting, generation-skipping transfer taxes, and section 645; Mobile workforce and state income tax simplification issues; State remote sales tax issues; Methods and periods issues, including section 174 research and experimentation expensing and the American Innovation and Jobs Act (S. 866) and the American Innovation and R&D Competitiveness Act of 2023 (H.R. 2673) and other expired and expiring provisions, section 473 relief including the Supply Chain Disruptions Relief Act (H.R. 700 / S. 443), credit for increasing research activities, and automatic changes in methods of accounting, including change to required section 174 method; Corporate taxation issues, including the corporate alternative minimum tax and the Book Minimum Tax Repeal Act (H.R. 3210 / S. 1559); Partnership taxation issues; S corporation taxation issues, including inadvertent terminations, F reorganizations; Employee benefits tax issues, including implementation of and technical corrections to SECURE 2.0, remote work environment, and the employee retention credit; Exempt organization issues; International Code of Ethics for Professional Accountants (IESBA) rules on tax planning and related services; International tax issues, including dual residents reporting, and OECD Pillar One issues; Taxpayer digital privacy issues; Beneficial ownership information reporting issues, including the Protecting Small Business Information Act of 2023 (H.R. 4035 / S. 2623); Emergency Capital Investment Program, Quarterly Supplemental Reporting; Taxpayer privacy.

Client expense: $1,270,000 · Firm income: Not reported

Government targets: Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of

Concerns and unintended consequences of SEC File No. S7-10-22 "The Enhancement and Standardization of Climate-Related Disclosures for Investors." Efforts to support access to capital across all industries and minimize federal policy seeking to limit/direct capital allocation decisions (planning only). International climate disclosure efforts - impacts and advocacy (planning only).

Client expense: $2,800,000 · Firm income: Not reported

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

DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Request for Information-SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Elder Justice Reauthorization and Modernization Act of 2021 (S.1198/H.R.2718 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275, RIN: 3235-AN00 and RIN: 3235-AN14. SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC- Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress).

Client expense: $200,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] (RIN 3235-AL85). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers - 17 CFR Parts 270 and 275 (RIN 3235-AM95). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The ESG Disclosure Simplification Act. (H.R.4759 - 118th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Exploitation Prevention Act (H.R.500 - 118th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The FY 2024 Financial Services and General Government Appropriations Act (S.2302/H.R.4664 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).

Client expense: $200,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). Build Back Better Act (Title XII, Committee on Ways and Means, Subtitle B, Part 1, Automatic Contribution Plans and Arrangements) (H.R.5367 - 117th Congress). DOL - EBSA - Employee Benefits Security - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) - 29 CFR Part 2550 (Z-RIN 1210 ZA07). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550). DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations (RIN 1210-AB20). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 2020-02 - 29 CFR Part 2550 (ZRIN 1210-ZA32). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemption 84-24 - 29 CFR Part 2550 (ZRIN 1210-ZA33). DOL - EBSA - Proposed Rule - Proposed Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86-128 - 29 CFR 2550 (ZRIN 1210-ZA34). DOL - EBSA - Proposed Rule - Retirement Security Rule: Definition of an Investment Advice Fiduciary - 29 CFR Part 2510 (RIN 1210-AC02). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718 - 118th Congress). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] (RIN 3235-AL85). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers - 17 CFR Parts 270 and 275 (RIN 3235- AM95). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The ESG Disclosure Simplification Act. (H.R.4759 - 118th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.3644 - 117th Congress). The Financial Exploitation Prevention Act (H.R.500 - 118th Congress). The Financial Fitness Act (H.R.5779 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The FY 2024 Financial Services and General Government Appropriations Act (S.2302/H.R.4664 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610 - 115th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). To amend the Internal Revenue Code of 1986 to permit the rollover contributions from Roth IRAs to designated Roth accounts (H.R.6757 - 118th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.6772 - 118th Congress). The Helping Young Americans Save for Retirement Act (S.3305 - 118th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans. Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions - 26 CFR Part 1 [REG-132210-18] (RIN 1545-BP11). Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23). Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief.

Client expense: $200,000 · Firm income: Not reported

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Asked PA House and Senate Members to oppose S.1016/H.R.1840, the Agriculture Resilience Act by Senators Martin Heinrich (D-NM) and Kirsten Gillibrand (D-NY) and Representatives Chellie Pingree (D-ME) and Ann Kuster (D-NH). This bill would aim to reduce agriculture emissions by 50% before 2030 and to achieve net zero emissions by 2040. Asked PA House and Senate Members to support and co-sponsor S.391/H.R.1018, the Protect Farmers from the SEC Act by Senators John Boozman (R-AR) and Mike Braun (R-IN) and Representative Frank Lucas (R-OK-03). This bill would prohibit the SEC from requiring ag producers to report their Scope 3 greenhouse gas emissions. The Protect Farmers from the SEC Act was introduced in response to the SEC's proposed climate related disclosures rule (File #: S7-10-22) in March 2022. PFB also lobbied Congressional Members to oppose the SEC's rule. Specifically, PFB asked Congressional Members if they were going to support the rule to at least support a Scope 3 exemption. Had meetings with Senator Fetterman's banking and agriculture staff on consequences of Scope 3 being included in the SEC's proposed climate related disclosures rule. Also, lobbied their office to get the Senator signed onto Senator Tester's (D-MI) addressing these concerns. Encouraged PFB members to complete AFBF's S.391/H.R.1018's advocacy email to send to their legislator asking them for support. Signed onto letter opposing Draft Herbicide Strategy Framework to Reduce Exposure of Federally Listed Endangered and Threatened Species and Designated Critical Habitats from the Use of Conventional Agricultural Herbicides Informed PA House and Senate Members that AFBF signed onto letter concerning ERP shortfalls to USDA Secretary Vilsack and asked for Congressional Members' support. Asked PA House and Senate Members to oppose EPA's proposed rule (Docket #: EPA-HQ-OLEM-2019-0341) to designate PFOA and PFOS under the CERLA law or otherwise known as the Superfund law.

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

Government targets: Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE

Asked PA House and Senate Members to support and co-sponsor S.1016/H.R.1840, the Agriculture Resilience Act by Senators Martin Heinrich (D-NM) and Kirsten Gillibrand (D-NY) and Representatives Chellie Pingree (D-ME) and Ann Kuster (D-NH). This bill would aim to reduce agriculture emissions by 50% before 2030 and to achieve net zero emissions by 2040. Asked PA House and Senate Members to support and co-sponsor S.391/H.R.1018, the Protect Farmers from the SEC Act by Senators John Boozman (R-AR) and Mike Braun (R-IN) and Representative Frank Lucas (R-OK-03). This bill would prohibit the SEC from requiring ag producers to report their Scope 3 greenhouse gas emissions. The Protect Farmers from the SEC Act was introduced in response to the SEC's proposed climate related disclosures rule (File #: S7-10-22) in March 2022. PFB also lobbied Congressional Members to oppose the SEC's rule. Encouraged PFB members to complete AFBF's S.391/H.R.1018's advocacy email to send to their legislator asking them for support. Asked PA House and Senate Members to oppose EPA's proposed rule (Docket #: EPA-HQ-OLEM-2019-0341) to designate PFOA and PFOS under the CERLA law or otherwise known as the Superfund law. Signed onto coalition comments regarding EPA's Vulnerable Species Pilot Project.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550). DOL - EBSA - Proposed Rule - Retirement Security - formerly the Definition of the Term Fiduciary (RIN 1210-AC02). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to provide favorable tax treatment for guaranteed lifetime income. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] (RIN 3235-AL85). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names (17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting - 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers - 17 CFR Parts 270 and 275 (RIN 3235-AM95). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The ESG Disclosure Simplification Act. (H.R.4759 - 118th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Financial Exploitation Prevention Act (H.R.500 - 118th Congress). The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The FY 2024 Financial Services and General Government Appropriations Act (S.2302/H.R.4664 - 118th Congress). The Improving Corporate Governance Through Diversity Act of 2023 (S.2007/H.R.4177 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The RETIRE Act (H.R.5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).

Client expense: $160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Amends IRS Code to establish Auto Reenrollment Tax Credit (S.2512 - 118th Congress). Build Back Better Act (Title XII, Committee on Ways and Means, Subtitle B, Part 1, Automatic Contribution Plans and Arrangements) (H.R.5367 - 117th Congress). DOL - EBSA - Employee Benefits Security - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) - 29 CFR Part 2550 (Z-RIN 1210 ZA07). DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Improving Investment Advice for Workers and Retirees (ZRIN 1210-ZA29). DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550). DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations (RIN 1210-AB20). DOL - EBSA - Proposed Rule - Retirement Security - formerly the Definition of the Term Fiduciary (RIN 1210-AC02). DOL - EBSA - Request for Information - SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Elder Justice Reauthorization and Modernization Act of 2023 (S.1198/H.R.2718 - 118th Congress). Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress). Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation. Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans. Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65. Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] (RIN 3235-AL85). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Final Rule Investment Company Names - 17 CFR Parts 232, 270 and 274 (RIN: 3235-AM72). SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275 (RIN: 3235-AN00 and RIN: 3235-AN14). SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98). SEC - Proposed Rule - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 (RIN 3235-AM32). SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] (RIN 3235-AN26). SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers - 17 CFR Parts 270 and 275 (RIN 3235- AM95). SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - (Release Nos. 34-92766; IA-5833; File No. S7-10-21) (RIN 3235-AN00). SEC - Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Advice and Consent Act (S. 2727 - 118th Congress). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Department of Labor Succession Act (H.R.4957 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The ESG Disclosure Simplification Act. (H.R.4759 - 118th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The Expanding Access to Retirement Savings for Caregivers Act (H.R.3644 - 117th Congress). The Financial Exploitation Prevention Act (H.R.500 - 118th Congress). The Financial Fitness Act (H.R.5779 - 117th Congress). The Financial Freedom Act of 2023 (S.427/H.R.1177 - 118th Congress). The Financial Innovation and Technology for the 21st Century Act (H.R.4763 - 118th Congress). The FY 2024 Financial Services and General Government Appropriations Act (S.2302/H.R.4664 - 118th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Lummis-Gillibrand Responsible Financial Innovation Act (S.2281 - 118th Congress). The No Discrimination in My Benefits Act (H.R.5338 - 118th Congress). The Portable Benefits for Independent Workers Pilot Program Act (S.1696/H.R.3482 - 118th Congress). The Providing Complete Information to Retirement Investors Act (H.R.5340 - 118th Congress). The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610 - 115th Congress). The RETIRE Act (H.R. 5339 - 118th Congress). The Retirement Fairness for Charities and Educational Institutions Act of 2023 (H.R.3063 - 118th Congress). The Retirement Proxy Protection Act (H.R.5337 - 118th Congress). The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress). The Senior Security Act of 2023 (S.955/H.R.2593 - 118th Congress). The Small Business Tax Fairness Act (S.2387 - 117th Congress). The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637 - 115th Congress). Treasury - IRS - Request for SECURE 2.0 Guidance. Treasury - IRS - Notice 2023-54 - Transition Relief and Guidance Relating to Certain Required Minimum Distributions. Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022. Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans. Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines. Treasury - IRS - Notice 2023-62 - Guidance on Section 603 of the SECURE 2.0 Act with Respect to Catch-Up Contributions. Treasury - IRS - Proposed Rule Required Minimum Distributions - 87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 (RIN: 1545-BP82). Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans - 26 CFR Part 1 [REG-121508-18] (RIN 1545-BO97). Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions - 26 CFR Part 1 [REG-132210-18] (RIN 1545-BP11). Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23). Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief.

Client expense: $160,000 · Firm income: Not reported

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328). DOL - EBSA - Proposed Rule - Retirement Security - formerly the Definition of the Term Fiduciary (RIN 1210-AC02). DOL - EBSA - Request for Information-SECURE 2.0 Reporting and Disclosure (RIN 1210-AC23). DOL - Wage and Hour Division - Final Rule - Employee or Independent Contractor Classification Under the Fair Labor Standards Act - 87 FR 62218 (RIN 1235-AA43). Elder Justice Reauthorization and Modernization Act of 2021 (S.1198/H.R.2718 - 118th Congress). Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws. Legislation to maintain and protect the diverse array of retirement plan structures. Legislation to provide favorable tax treatment for guaranteed lifetime income. Legislation to provide technical corrections and extension of effective dates to implement the SECURE 2.0 Act. Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions. Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions. SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] (RIN 3235-AN08). SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] (RIN 3235-AN15). SEC - Final Rule - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274 (RIN 3235-AM52). SEC - Implementation and Enforcement of Regulation BI and Form CRS. SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA - Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules. SEC - Proposed Rule - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers - 17 CFR 240 and 17 CFR 275, RIN: 3235-AN00 and RIN: 3235-AN14. SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices - 17 CFR Part 200, 230, 232, 239, 249, 274, and 279 (RIN: 3235-AM96). SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors - 17 CFR 210, 229, 232, 239, and 249 (RIN 3235-AM87). SEC- Proposed Rule - Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities - 17 CFR 230, 17 CFR 232, 17 CFR 239, and 17 CFR 274 (RIN: 3235-AN30). The Auto Reenroll Act (S.2517/H.R.4924 - 118th Congress). The Data Privacy Act (H.R.1165 - 118th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R.5914 - 117th Congress). The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress). The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress). The Lifetime Income for Employees Act of 2023 (H.R.3942 - 118th Congress). The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress). The SAFER Banking Act (S.2860 - 118th Congress). The Secure And Fair Enforcement (SAFE) Banking Act of 2023 (S.1323/H.R.2891 - 118th Congress). The Securing and Enabling Commerce Using Remote and Electronic (SECURE) Notarization Act of 2023 (S.1212/H.R.1059 - 118th Congress).

Client expense: $160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Concerns and unintended consequences of SEC File No. S7-10-22 "The Enhancement and Standardization of Climate-Related Disclosures for Investors." SEC Cybersecurity Rule, planning only. Efforts to support access to capital across all industries and minimize federal policy seeking to limit/direct capital allocation decisions (planning only). International climate disclosure efforts - impacts and advocacy (planning only).

Client expense: $920,000 · Firm income: Not reported

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

H.R. 448, Putting Investors First Act of 2023 H.R. 835, Fair Investment Opportunities for Professional Experts Act H.R. 1010/S. 453, Prohibiting IRS Financial Surveillance Act H.R. 1410, Consumer Financial Protection Commission Act H.R. 1548, Improving Access to Small Business Information Act H.R. 1553, Helping Angels Lead our Startups (HALOS) Act H.R. 1579, Accredited Investor Definition Review Act H.R. 2608, To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes H.R. 2610, To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes H.R. 2612, Gig Worker Equity Compensation Act H.R. 2627, Increasing Investor Opportunities Act H.R. 2652, Investment Opportunity Expansion Act H.R. 2792, Small Entity Update Act H.R. 2793, Encouraging Public Offerings Act of 2023 H.R. 2795, Enhancing Multi-Class Share Disclosures Act H.R. 2796, Promoting Opportunities for Non-Traditional Capital Formation Act H.R. 2797, Equal Opportunity for All Investors Act H.R. 2798, CFPB Transparency and Accountability Reform Act H.R. 2799, Expanding Access to Capital Act of 2023 H.R. 2812, Middle Market IPO Underwriting Cost Act H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act H.R. 4035, Protecting Small Business Information Act of 2023 H.R. 4177/S. 2007, Improving Corporate Governance Through Diversity Act of 2023 H.R. 4655, Business Over Activists Act H.R. 4664/S. 2309, Making appropriations for financial services and general government for the fiscal year ending September 30, 2024, and for other purposes H.R. 4767, Protecting Americans Retirement Savings from Politics Act H.R. 4790, Guiding Uniform and Responsible Disclosure Requirements and Information Limits (GUARDRAIL) Act of 2023 H.R. 4823, American Financial Institution Regulator Sovereignty and Transparency Act H.R. 5488/S. 2805, Protecting Our Courts from Foreign Manipulation Act of 2023 S. 638, Disclosure of Tax Havens and Offshoring Act Draft legislation titled Accredited Investor Self-Certification Act Potential legislation on environmental, social, and governance Potential legislation to codify certain reforms to the nonbank designation process of the Financial Stability Oversight Council Potential legislation to except quotations of Rule 144A fixed-income securities from certain regulatory requirements Potential legislation to make changes to the SEC 14a-8 shareholder proposal process Potential legislation dealing with third party litigation funding including its national security implications Potential legislation similar to H.R. 2025/S. 840, Litigation Funding Transparency Act SEC Proposed Rule on the 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; Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (87 Fed. Reg. 77,172-77,296, December 16, 2022) SEC Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (88 Fed. Reg. 51,896-51,945, September 5, 2023) Proposed Rule, SEC Safeguarding Advisory Client Assets (88 Fed. Reg. 14,672-14,792, March 9, 2023) Proposed Rule, FSOC Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies, Proposed Interpretive Guidance (88 Fed. Reg. 26,234-26,244, April 28, 2023) Proposed Rule, FSOC Analytic Framework for Financial Stability Risk Identification, Assessment, and Response, Proposed Analytic Framework (88 Fed. Reg. 26,305-26,311, April 28, 2023) Proposed Rule, SEC Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (88 Fed. Reg. 53,960, August 9, 2023) Proposed Rule, Office of the Comptroller of the Currency, Treasury, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation; Regulatory Capital Rule: Large Banking Organizations and Banking Organizations With Significant Trading Activity (88 Fed. Reg. 64,028-64,343, September 18, 2023) Request for Information, Consumer Financial Protection Bureau; Data Brokers and Other Business Practices Involving the Collection and Sale of Consumer Information (88 Fed. Reg. 16,951-16,954, March 21, 2023) Request for Information Regarding Medical Payments Products, Consumer Financial Protection Bureau, Centers for Medicare & Medicaid Services, Department of Health and Human Services, and Department of the Treasury (88 Fed. Reg. 44,281-44,290, July 12, 2023) 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; 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; Financial Stability Oversight Councils Activities-Based Approach to Nonbank Financial Company Systemic Risk; Federal Reserve Systems Large Institution Supervision Coordinating Committee; potential housing finance reform legislation; enforcement of Securities and Exchange Commission penalties; 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) (P.L. 95-128); 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; 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; modernization of the Credit Repair Organizations Act (enacted as Title IV of the Consumer Credit Protection Act, P.L. 90-321); Internal Revenue Service Priority Guidance Plan; Federal Trade Commission issues: Freedom of Information Act Requests, Penalty Offense Authority, Zombie Voting, and overall direction of the Commission under Chair Lina Khan; Financial Accounting Standards Board improvements to income tax disclosures; Climate-Related Financial Risk Management for Large Banks; 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; CFPB Small Business Advisory Review Panels Rulemaking on Personal Financial Data Rights; CFPB implementation of the Small Business Lending Data Collection Rule (the 1071 Rule); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (File Number S7-26-22); Proposed Rule, Securities and Exchange Commission; Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (SEC Rel. Nos. 34-97990; IA-6353; File No. S7-12-23, July 26, 2023); Proposing Release: Amendments to PCAOB Auditing Standards related to a Companys Noncompliance with Laws and Regulations; the Federal Reserve Boards Supervision and regulation of Silicon Valley Bank and ongoing Holistic Capital; EU sustainable finance action plan and incorporating ESG factors into financial services; potential regulations to require public companies to disclose information related to human capital management; reporting metrics of American companies under the EUs Corporate Sustainability Reporting Directive and Corporate Sustainability Due Diligence Directive; potential rulemaking regarding Section 956 of the Dodd-Frank Act (P.L. 111-203); oversight issues and potential legislation on third party litigation funding (including its national security implications)

Client expense: $13,590,000 · Firm income: Not reported

Government targets: 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

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23).

Client expense: $730,000 · Firm income: Not reported

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

General issues related to multiple areas of the tax law and code including: Legislative proposals on tax simplification and technical tax changes; Individual, S corporation, partnership, trust and estate implementation issues in the Tax Cuts and Jobs Act, P.L.115-97, including SALT cap passthrough entity-level taxes; Virtual currency and digital assets reporting; Disaster relief, including the Filing Relief for Natural Disasters Act (H.R. 3861 / S. 1815), and the Casualty Loss Deduction Restoration Act (H.R. 4539); 529 plan expansion legislation, the Freedom to Invest in Tomorrows Workforce Act (H.R. 1477 / S. 7.22); Energy tax credits; Excise tax on repurchases of corporate stock; IRS priority guidance plan; E-signature; Tax administration issues, including appeals, first-time abatement penalty relief, regulation of tax return preparers, credit and refund lookback period, mailbox rule for electronic submissions and payments and the Electronic Communications Uniformity Act (S. 1338), IRS user fees, IRS Form 1099-K reporting and the Saving Gig Economy Taxpayers Act (H.R. 190) and the Red Tape Reduction Act (S. 1761), IRS strategic operating plan, contingency plan for possible government shutdown, extension simplification and the Simplify Automatic Filing Extensions (SAFE) Act of 2023 (H.R. 3566), filing flexibility, quarterly estimated payments and the Tax Deadline Simplification Act (H.R. 3708); Trust and estate issues, including foreign trust reporting, generation-skipping transfer taxes, and section 645; Mobile workforce and state income tax simplification issues; State remote sales tax issues; Methods and periods issues, including section 174 research and experimentation expensing and the American Innovation and Jobs Act (S. 866) and the American Innovation and R&D Competitiveness Act of 2023 (H.R. 2673) and other expired and expiring provisions, section 473 relief including the Supply Chain Disruptions Relief Act (H.R. 700 / S. 443), and automatic changes in methods of accounting, including change to required section 174 method; Corporate taxation issues, including the corporate alternative minimum tax and the Book Minimum Tax Repeal Act (H.R. 3210 / S. 1559); Partnership taxation issues; S corporation taxation issues, including inadvertent terminations, F reorganizations; Employee benefits tax issues, including implementation of and technical corrections to SECURE 2.0, remote work environment, and the employee retention credit; Exempt organization issues; International Code of Ethics for Professional Accountants (IESBA) rules on tax planning and related services; International tax issues, including dual residents reporting; Taxpayer digital privacy issues; Beneficial ownership information reporting issues, including the Protecting Small Business Information Act of 2023 (H.R. 4035 / S. 2623); Emergency Capital Investment Program, Quarterly Supplemental Reporting; Taxpayer privacy.

Client expense: $1,200,000 · Firm income: Not reported

Government targets: Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Treasury, Dept of

Small Business Administration 7(a) Loan Enhancements. SBA proposal to amend various regulations governing SBA's 7(a) Loan Program and 504 Loan Program.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 903, Veterans Entrepreneurship Act of 2023. SBA proposal to amend various regulations governing SBA's 7(a) Loan Program and 504 Loan Program.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

SEC Proposed Rule S7-10-22 - The Enhancement and Standardization of Climate-Related Disclosures for Investors; and GSA, NSA and DoD Rule - Federal Acquisition Regulation: Disclosure of Greenhouse Gas Emissions and Climate-Related Financial Risk.

Client expense: $750,000 · Firm income: Not reported

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