FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA", FORMERLY NASD)

Lobbying Spend

—

Filings

Firms Hired

Active Period

2016–2020

Lobbying Spend by Year

Client-reported lobbying expenses on LDA filings

Year	Lobbying Spend	Filings	Firms
2020	—	3	1
2019	—	4	1
2018	—	6	1
2017	—	4	1
2016	—	2	1

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

Firm Name	Reported Spend	Filings
DALY CONSULTING GROUP	—	19

Government entities explicitly identified as targets in LDA filings

Government Body	Filings
HOUSE OF REPRESENTATIVES	18
SENATE	18
Securities & Exchange Commission (SEC)	18

Most frequently reported lobbying issues

Issue Code	Description	Reports
Financial Institutions/Investments/Securities	Financial Institutions/Investments/Securities	19

FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA", FORMERLY NASD) — Lobbying Disclosure | Poliscope