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How to read the money
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.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499 of 115th Congress) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery, and the various steps FINRA is taking to address the issue.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019 · first_quarter · Q1
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499 of 115th Congress) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery, and the various steps FINRA is taking to address the issue.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Source: Senate LDA
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
Financial CHOICE Act of 2017
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Financial CHOICE Act of 2017
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority.
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
2018 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets, including enforcement and whistleblower issues. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · third_quarter · Q3
A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · second_quarter · 2A
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · second_quarter · Q2
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2018 · first_quarter · Q1
Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155) - Expressed FINRAs support for Sec. 303. of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority (S. 2499) - Discussed customer recovery across various dispute resolution forums and the intersection with FINRAs February 8, 2018 publication titled, Discussion Paper-FINRA Perspectives on Customer Recovery. Financial CHOICE Act (H.R. 10) - Expressed FINRAs support for Title IV, Subtitle R, Sec. 491 - 493 of the bill (SeniorSafe Act), which would provide broker-dealers with immunity from suit for disclosure of suspected financial exploitation of senior citizens to FINRA and other regulatory agencies. Also discussed requirements proposed under Sec. 813 (Internal Risk Controls) and the implications for FINRA and compliance with Regulation SCI.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office, White House Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · third_quarter · 3A
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Copyright Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · first_quarter · 1A
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2017 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2016 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2016 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)