FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)

Lobbying Spend

—

Filings

Firms Hired

Active Period

2011–2017

Lobbying Spend by Year

Client-reported lobbying expenses on LDA filings

Year	Lobbying Spend	Filings	Firms
2017	—	1	1
2016	—	4	1
2015	—	4	1
2014	—	4	1
2013	—	4	1
2012	—	4	1
2011	—	5	1

Lobbying firms retained by this client; amounts are client-reported expenses when available

Firm Name	Reported Spend	Filings
DAVIS & HARMAN LLP	—	26

Government entities explicitly identified as targets in LDA filings

Government Body	Filings
HOUSE OF REPRESENTATIVES	20
SENATE	13

Most frequently reported lobbying issues

Issue Code	Description	Reports
Financial Institutions/Investments/Securities	Financial Institutions/Investments/Securities	25

FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) — Lobbying Disclosure | Poliscope