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Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Financial Stability Oversight Council Improvement Act of 2021
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
VANGUARD GROUP via VANGUARD GROUP
2021 · third_quarter · Q3
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Source: Senate LDA
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Financial Stability Oversight Council Improvement Act of 2021
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899), SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
Setting Every Community Up for Retirement Enhancement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including the Retirement Enhancement Savings Act and H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2021 · second_quarter · Q2
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899), SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2021 · first_quarter · Q1
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to regulation best interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · fourth_quarter · Q4
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · third_quarter · Q3
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · second_quarter · Q2
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
VANGUARD GROUP via VANGUARD GROUP
2020 · first_quarter · Q1
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
VANGUARD GROUP via VANGUARD GROUP
2019 · fourth_quarter · Q4
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
VANGUARD GROUP via VANGUARD GROUP
2019 · third_quarter · Q3
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds
VANGUARD GROUP via VANGUARD GROUP
2019 · second_quarter · Q2
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
VANGUARD GROUP via VANGUARD GROUP
2019 · first_quarter · Q1
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including the Retirement Enhancement Savings Act and H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of