NASDAQ (FORMERLY NASDAQ OMX GROUP)

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Lobbying Spend

—

Filings

Firms Hired

Active Period

2014–2016

Lobbying Spend by Year

Client-reported lobbying expenses on LDA filings

Year	Lobbying Spend	Filings	Firms
2016	—	3	1
2015	—	4	1
2014	—	6	1

Hired Firms

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

Firm Name	Reported Spend	Filings
FERGUSON STRATEGIES, LLC	—	13

Government Bodies Lobbied

Government entities explicitly identified as targets in LDA filings

Government Body	Filings
HOUSE OF REPRESENTATIVES	11
SENATE	11

Top Issues

Most frequently reported lobbying issues

Issue Code	Description	Reports
Financial Institutions/Investments/Securities	Financial Institutions/Investments/Securities	13
Taxation/Internal Revenue Code	Taxation/Internal Revenue Code	12
Immigration	Immigration	5
Homeland Security	Homeland Security	4
Intelligence	Intelligence	1

Bills Explicitly Cited (4)

Bill numbers found in source-reported LDA specific issue text; broad topic matches are excluded

H.R. 1839114th Congress

Reforming Access for Investments in Startup Enterprises Act of 2015 or the RAISE Act of 2015

2016 · second_quarter · Firm: FERGUSON STRATEGIES, LLC

Open original LDA filing ↗

Cited source text and reported amounts

Policy issues relating to transparency and conflicts of interest in the financial services' proxy advisory industry, and capital markets structure. H.R. 1839, the "Reforming Access for Investments in Startup Enterprises Act."

Client expense: — · Firm income: $40,000

Matched citations: H.R. 1839

H.R. 1839114th Congress

Reforming Access for Investments in Startup Enterprises Act of 2015 or the RAISE Act of 2015

2016 · first_quarter · Firm: FERGUSON STRATEGIES, LLC

Open original LDA filing ↗

Cited source text and reported amounts

Policy issues relating to transparency and conflicts of interest in the financial services' proxy advisory industry, and capital markets structure. H.R. 1839, the "Reforming Access for Investments in Startup Enterprises Act."

Client expense: — · Firm income: $30,000

Matched citations: H.R. 1839

H.R. 1839114th Congress

Reforming Access for Investments in Startup Enterprises Act of 2015 or the RAISE Act of 2015

2015 · fourth_quarter · Firm: FERGUSON STRATEGIES, LLC

Open original LDA filing ↗

Cited source text and reported amounts

Policy issues relating to transparency and conflicts of interest in the financial services' proxy advisory industry, and capital markets structure. H.R. 1839, the "Reforming Access for Investments in Startup Enterprises Act."

Client expense: — · Firm income: $30,000

Matched citations: H.R. 1839

H.R. 1839114th Congress

Reforming Access for Investments in Startup Enterprises Act of 2015 or the RAISE Act of 2015

2015 · third_quarter · Firm: FERGUSON STRATEGIES, LLC

Open original LDA filing ↗

Cited source text and reported amounts

Financial services, including transparency and conflicts of interest in the proxy advisory industry, capital markets structure, and policy issues relating to SEC conflicts minerals regulation. H.R. 1839, the "Reforming Access for Investments in Startup Enterprises Act."

Client expense: — · Firm income: $30,000

Matched citations: H.R. 1839

Source: Senate LDA

NASDAQ (FORMERLY NASDAQ OMX GROUP) — Lobbying Disclosure | Poliscope