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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.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2026 · first_quarter · Q1
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Source: Senate LDA
Protecting Investors’ Personally Identifiable Information Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Access to Small Business Investor Capital Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Foreign Investment Guardrails to Help Thwart (FIGHT) China Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
ESG Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Encouraging Public Offerings Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Fair Investment Opportunities for Professional Experts Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Middle Market IPO Cost Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Protecting Private Job Creators Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
FIGHT China Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
LOCAL Infrastructure Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
GENIUS Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2358, Insuring Sound Guidance Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST Act) of 2025; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025 & Senate amendments to H.R. 3633 CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; H.R. 2246/S. 1053, FIGHT China Act: SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; SEC exemptive relief surrounding Digital Assets; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Legislative proposal for federal escheatment standards; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act.
Disapproving the action of the District of Columbia Council in approving the D.C. Income and Franchise Tax Conformity and Revision Temporary Amendment Act of 2025.
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Disapproving the action of the District of Columbia Council in approving the D.C. Income and Franchise Tax Conformity and Revision Temporary Amendment Act of 2025.
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21; Sourcing of Certain Borrow Fees; Regulations related to Section 987; Regulations related to Basket Contract Transactions; Regulations related to the Corporate Alternative Minimum Tax.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; S.1053 - FIGHT China Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Pass Through Entity Tax; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to excise tax on certain remittances.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246/S. 1053, FIGHT China Act: S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; House Energy & Commerce data privacy legislative proposals.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R.10559 - COINS Act of 2024; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC proposed rules to modify equity market structure; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC No-Action Letter on Rule 15c2-11; Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals; Reauthorization of the Cybersecurity and Infrastructure Security Agency; Sustainable Finance - legislative proposals related to Environmental, Social, and Governance considerations in investment decisions.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20/S.852, Protecting the Right to Organize Act of 2025; H.R. 1013/S.424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R.10559 - COINS Act of 2024; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC proposed rules to modify equity market structure; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC No-Action Letter on Rule 15c2-11; Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals; Reauthorization of the Cybersecurity and Infrastructure Security Agency; Sustainable Finance - legislative proposals related to Environmental, Social, and Governance considerations in investment decisions.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246/S. 1053, FIGHT China Act: S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; House Energy & Commerce data privacy legislative proposals.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Pass Through Entity Tax; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to excise tax on certain remittances.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21; Sourcing of Certain Borrow Fees; Regulations related to Section 987; Regulations related to Basket Contract Transactions; Regulations related to the Corporate Alternative Minimum Tax.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; S.1053 - FIGHT China Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Protecting Investors’ Personally Identifiable Information Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Protecting Investors’ Personally Identifiable Information Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Protecting Investors’ Personally Identifiable Information Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Protecting Investors’ Personally Identifiable Information Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Richard L. Trumka Protecting the Right to Organize Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Richard L. Trumka Protecting the Right to Organize Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20/S.852, Protecting the Right to Organize Act of 2025; H.R. 1013/S.424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Richard L. Trumka Protecting the Right to Organize Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Generating Retirement Ownership through Long-Term Holding
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Pass Through Entity Tax; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to excise tax on certain remittances.
Generating Retirement Ownership through Long-Term Holding
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21; Sourcing of Certain Borrow Fees; Regulations related to Section 987; Regulations related to Basket Contract Transactions; Regulations related to the Corporate Alternative Minimum Tax.
Generating Retirement Ownership through Long-Term Holding
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21.
Access to Small Business Investor Capital Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Access to Small Business Investor Capital Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Access to Small Business Investor Capital Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Foreign Investment Guardrails to Help Thwart (FIGHT) China Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246/S. 1053, FIGHT China Act: S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; House Energy & Commerce data privacy legislative proposals.
Foreign Investment Guardrails to Help Thwart (FIGHT) China Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Foreign Investment Guardrails to Help Thwart (FIGHT) China Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; Discussion Draft of Responsible Financial Innovation Act.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a market structure for digital assets; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act).
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
STABLE Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a market structure for digital assets; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; S. 2281, Responsible Financial Innovation Act; Discussion Draft of Responsible Financial Innovation Act.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; S.1053 - FIGHT China Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R.10559 - COINS Act of 2024; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC proposed rules to modify equity market structure; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC No-Action Letter on Rule 15c2-11; Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals; Reauthorization of the Cybersecurity and Infrastructure Security Agency; Sustainable Finance - legislative proposals related to Environmental, Social, and Governance considerations in investment decisions.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246/S. 1053, FIGHT China Act: S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; House Energy & Commerce data privacy legislative proposals.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Improving Disclosure for Investors Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Encouraging Public Offerings Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Encouraging Public Offerings Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Encouraging Public Offerings Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Fair Investment Opportunities for Professional Experts Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Fair Investment Opportunities for Professional Experts Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Fair Investment Opportunities for Professional Experts Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Middle Market IPO Cost Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Middle Market IPO Cost Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Middle Market IPO Cost Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a market structure for digital assets; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; S. 2281, Responsible Financial Innovation Act; Discussion Draft of Responsible Financial Innovation Act.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Digital Asset Market Clarity Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; Discussion Draft of Responsible Financial Innovation Act.
Protecting Private Job Creators Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Protecting Private Job Creators Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Protecting Private Job Creators Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
Protecting American Savers and Retirees Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Pass Through Entity Tax; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to excise tax on certain remittances.
Protecting American Savers and Retirees Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21.
Protecting American Savers and Retirees Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21; Sourcing of Certain Borrow Fees; Regulations related to Section 987; Regulations related to Basket Contract Transactions; Regulations related to the Corporate Alternative Minimum Tax.
HONOR Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
HONOR Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
HONOR Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20/S.852, Protecting the Right to Organize Act of 2025; H.R. 1013/S.424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Educators for America Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Educators for America Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20/S.852, Protecting the Right to Organize Act of 2025; H.R. 1013/S.424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Educators for America Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2025 · fourth_quarter · Q4
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislative proposal to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; Discussion Draft of Responsible Financial Innovation Act.
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246/S. 1053, FIGHT China Act: S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; House Energy & Commerce data privacy legislative proposals.
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21; Sourcing of Certain Borrow Fees; Regulations related to Section 987; Regulations related to Basket Contract Transactions; Regulations related to the Corporate Alternative Minimum Tax.
H.R. 20/S.852, Protecting the Right to Organize Act of 2025; H.R. 1013/S.424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2025 · third_quarter · Q3
H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441/S. 1877, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; S. 1481, Local Infrastructure Act; S. 2281, Responsible Financial Innovation Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC No-Action Relief for SEC Rule 15c2-11; SEC approval of SROs rules limiting exchange liability; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; GSE reform; Public Law 119-27, the GENIUS Act; Discussion Draft of Responsible Financial Innovation Act.
SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a market structure for digital assets; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Public Law 119-27, the GENIUS Act; H.R. 3633, Digital Assets Market Clarity Act; S. 2281, Responsible Financial Innovation Act; Discussion Draft of Responsible Financial Innovation Act.
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 1481, Local Infrastructure Act; S. 1877, the Improving Disclosure for Investors Act of 2025; S.1053 - FIGHT China Act of 2025; SEC proposed rules to modify equity market structure; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals.
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; S. 1839, Generating Retirement Ownership through Long-Term Holding; S. 1481, LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Digital Assets Taxation; TRUMP Accounts in Public Law 119-21.
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Trump Accounts in Public Law 119-21.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2025 · second_quarter · Q2
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R, 1469, Senior Security Act of 2025; H.R. 1483, Protecting Investors Personally Identifiable Information Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2225, the Access to Small Business Investor Capital Act; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R. 3381, Encouraging Public Offerings of 2025; H.R. 3383, Increasing Investor Opportunities Act; H.R. 3394, Fair Investment Opportunities for Professional Experts Act; H.R. 3395, Middle Market IPO Cost Act; H.R. 3633, CLARITY Act of 2025; H.R. 3959, the Protecting Private Job Creators Act; Issues related to H.R.10559 - COINS Act of 2024; H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, Unlocking Capital for Small Business Act of 2025; S. 1582, GENIUS Act; S. 1877, the Improving Disclosure for Investors Act; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Act Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); Legislation to create a market structure for digital assets; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act).
H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R.10559 - COINS Act of 2024; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 3815 - the Improving Disclosure for Investors Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC proposed rules to modify equity market structure; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC No-Action Letter on Rule 15c2-11; Reintroduction of the Local Infrastructure Act; Legislation related to the municipal bond tax exemption; Data privacy legislative proposals; Reauthorization of the Cybersecurity and Infrastructure Security Agency; Sustainable Finance - legislative proposals related to Environmental, Social, and Governance considerations in investment decisions.
H.R. 684, Protecting American Savers and Retirees Act; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 2089, Generating Retirement Ownership through Long-Term Holding (GROWTH) Act; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 1453, the LOCAL Infrastructure Act; IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; Issues related to 529 plans; Information Reporting and Withholding with respect to Bitcoin ETFs; Issues relating to the Global Intangible Low-Taxed Income framework; Reconciliation legislation related to provisions in the 2017 Tax Cuts and Jobs Act; Tax Treatment of Tokenized Securities; Issues related to energy credits under the Inflation Reduction Act; Executive compensation deductibility limits; Preservation of the Municipal Bond Tax Exemption; Reintroduction of the Local Infrastructure Act; Data privacy legislative proposals; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Section 899; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to Pass Through Entity Tax; Pub. L. No. 119-21 (One Big Beautiful Bill Act) issues relating to excise tax on certain remittances.
H.R. 20, Protecting the Right to Organize Act of 2025; H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 8478, Empowering States to Protect Seniors from Bad Actors Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; S. 852, Protecting the Right to Organize Act of 2025; S. 1526, the Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; Issues relating to the preservation of private sector retirement system; Legislation to make technical corrections related to implementation of SECURE 2.0; ERISA fiduciary legislative proposals; Small business tax credit for financial literacy; MAGA/Trump accounts in H.R. 1 (the One Big Beautiful Bill Act); New Code Y for Qualified Charitable Distributions on forms 1099-R and 5498.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2025 · first_quarter · Q1
H.R. 1013/S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025; H.R. 1255, Investing in Our Communities Act; H.R. 1483, Protecting Investors Personally Identifiable Information Act H.R. 2441, Improving Disclosure for Investors Act of 2025; H.R. 2246, Foreign Investments Guardrails to Help Thwart (FIGHT) China Act; H.R.10559 - COINS Act of 2024; H.R.__, the Increasing Investor Opportunities Act H.R.__, Expands Protections for Research Reports to Cover All Securities of All Issuers; H.R.__, the Encouraging Public Offerings Act of 2025; H.R.__, the Senior Security Act of 2025; H.R.__, the Middle Market IPO Underwriting Cost Act; H.R.__, the Fair Opportunities for Professional Experts Act; H.R.__, Unlocking Capital for Small Business Act of 2025; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; SEC proposed rule regarding Open-End Fund Liquidity Risk Management Programs and Swing Pricing; SEC Staff Accounting Bulletin 121; SEC No-Action Relief for SEC Rule 15c2-11; SEC proposal on short sale reporting/13f-2 extension; SEC proposed rule regarding Security-based Swaps Large Position Reporting; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposed rules to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC Rule 192 - Securitization Conflicts of Interest; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; Sovereign Debt restructuring proposals; Legislation to enhance retail investor access to private markets; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Legislation to create a regulatory regime for payment stablecoins (H.R. 2392, STABLE Act, and S. 394, GENIUS Act); Legislation to create a market structure for digital assets; Reintroduction of the Local Infrastructure Act; Municipal Bond Tax Exemption Preservation; Data Privacy legislative proposals.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2024 · fourth_quarter · Q4
H.R. 4763, the Financial Innovation and Technology Act; S. 4760, Digital Commodities Consumer Protection Act of 2022; SEC proposal related to security-based swaps large trader reporting; SEC proposal regarding Safeguarding Advisory Client Assets; Senator Stabenow's Cryptocurrency Discussion Draft legislation.
H.R. 1807, the Improving Disclosure for Investors Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 2590, Unlocking Capital for Small Business Act; H.R. 2627 - Increasing Investor Opportunities Act (closed-end fund bill); H.R. 2799, Expanding Access to Capital Act of 2023; H.R. 3063, Retirement Fairness for Charities and Education Institutions Act; H.R. 4237, Ensuring Sound Guidance Act; HR 4551, the "Protecting Investors Personally Identifiable Information Act"; H.R. 4763, the Financial Innovation and Technology for the 21st Century Act; H.R.4766, Clarity for Payment Stablecoins Act of 2023; H.R. 4767, Protecting American's Retirement Savings from Politics Act; H.R. 5009, Servicemember Quality of Life Improvement and National Defense Authorization Act for Fiscal Year 2025; H.R. 8339, the "SEC Reform and Restructure Act; H.R. 8773, FY 2025 Financial Services and General Government Appropriations Bill (3 provisions in the FSGG Bill Report pertaining to the SEC: PDA rule withdrawal, economic analysis enhancement, sensible implementation); H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S.2678 - Outbound Investment Transparency Act of 2023; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 4628, National Defense Authorization Act for Fiscal Year 2025 (China-related provisions); S. 4760, Digital Commodities Consumer Protection Act of 2022; S. 4917 - Retirement Fairness for Charities and Educational Institutions Act of 2024; S.5139 - A bill to amend the Securities Act of 1933 to address emerging growth companies, and for other purposes (the Empowering Main Street in America Act); H.R. ___, To codify the special purpose broker dealer, and for other purposes; Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; President Biden Executive Order 14105, Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposals to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks; Senator Stabenow's Discussion Draft cryptocurrency legislation; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations; H.R. __, Comprehensive Outbound Investment National Security Coins Act of 2024; U.S. Treasury Departments Final Rule, Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern; SEC No-Action Relief for SEC Rule 15c2-11; Federal Reserve Proposal to revise its stress testing process; Congressman Fitzgerald's discussion draft GSE Reform legislation; SEC proposal on short sale reporting/13f-2 extension; Sovereign Debt restructuring proposals.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2024 · third_quarter · Q3
H.R. 4763, the Financial Innovation and Technology Act; S. 4760, Digital Commodities Consumer Protection Act of 2022; SEC proposal related to security-based swaps large trader reporting; SEC proposal regarding Safeguarding Advisory Client Assets; Senator Stabenow's Cryptocurrency Discussion Draft legislation.
H.R. 1837, the Investing in Our Communities Act; S. 1695, American Infrastructure Bonds Act of 2023; S. 1453, the LOCAL Infrastructure Act; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; IRC Section 871(m); IRC Section 987; Issues related to 529 plans; BEAT QDP - regulations regarding the reporting of qualified derivative payments that are not considered base erosion payments; 2024 Proposed Regulations for the Identification of Basket Contract Transactions as Listed Transactions; 2024 Dual Consolidated Loss Regulations; Tax Treatment of Digital Assets; Appendix III of the Qualified Intermediary (QI) Agreement, Revenue Procedure 2022-43; Information Reporting and Withholding with respect to Bitcoin ETFs; GILTI; BEAT.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2024 · second_quarter · Q2
H.R. 1818/S. 1561 the Aviation Workforce Development Act; H.R. 6065/ S. 3102 Retirement Savings for Americans Act; H.R. 7293, Automatic IRA Act of 2024; H.J.Res.142 Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary"; S. 3716/ H.R. 7162 A bill to create children's lifetime savings accounts, and for other purposes; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; Amendments to H.R. 2670, the National Defense Authorization Act for Fiscal Year 2024 (FDTA exemption for state and local governments); SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (Secure 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; RIN 0985-AA18 NPRM - Adult Protective Services Functions and Grant Programs, Administration for Community Living, HHS To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to make technical corrections relating to the SECURE 2.0 Act of 2022, and for other purposes; SECURE 2.0 Implementation RIN 1210-AC23 RFI - SECURE 2.0 Reporting and Disclosure, EBSA Basel III End Game and Retirement; Employee Identification Number (EIN) / Unrelated Business Taxable Income (UBTI); Financial Fitness Act; Appropriations Rider Funds May only be Used on DOL Fiduciary.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2024 · first_quarter · Q1
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 1837, the Investing in Our Communities Act; S. 1453, the LOCAL Infrastructure Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda; H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1807 - Improving Disclosure for Investors Act of 2023; S. 1695, American Infrastructure Bond Act of 2023; H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023; S. 2251 Cybersecurity Act of 2023; H.R. 7092, S. 3676, Protecting Private Job Creators Act; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; SEC proposals to modify equity market structure; SEC proposal regarding reporting of securities loans; SEC proposal regarding position reporting of Large Security-Based Swap Positions; SEC proposal regarding safeguarding Advisory Client Assets; SEC proposal regarding prohibition of conflicts of interest in certain securitizations; Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions; Artificial intelligence and predictive data analytics; Legislation related to buying OTC securities on Margin.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · second_quarter · 2A
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837 - Investing in Our Communities Act; Implementation of the SECURE 2.0 Act, part of H.R. 2617, the Consolidated Appropriations Act of 2023; S. 1453 - the LOCAL Infrastructure Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · fourth_quarter · Q4
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 5337 Retirement Proxy Protection Act H.R. 5338 No Discrimination in My Benefits Act H.R. 5339 RETIRE Act H.R. 5340 Providing Complete Information to Retirement Investors Act Amendments to H.R. 2670, the National Defense Authorization Act for Fiscal Year 2024 DOL Fiduciary Rule Qualified Professional Asset Manager PTE Changes; Public Law 117-328 - Consolidated Appropriations Law (Secure 2.0 retirement provisions) Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions. Independent Contractor Rule RIN 0985-AA18 NPRM - Adult Protective Services Functions and Grant Programs, Administration for Community Living, HHS To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to make technical corrections relating to the SECURE 2.0 Act of 2022, and for other purposes SECURE 2.0 Implementation RIN 1210-AC23 RFI - SECURE 2.0 Reporting and Disclosure, EBSA Basel III End Game and Retirement Employee Identification Number (EIN) / Unrelated Business Taxable Income (UBTI) IRS H.R. 6640 To amend the Internal Revenue Code of 1986 for purposes of the tax on private foundation excess business holdings to treat as outstanding any employee-owned stock purchased by a business enterprise pursuant to certain employee stock ownership retirement plans. Amendment No. 83 to H.R. 5894 - Labor, Health and Human Services, Education, and Related Agencies Appropriations Act, 2024 H.R. 6065/ S. 3102 Retirement Savings for Americans Act H.R. 6007, Retirement Investment in Small Employers Act H.R.5673, Responsible Legislating Act Section 4966 Donor Advised Fund Regulations H.R. 6065, To establish the American Worker Retirement Plan, improve the financial security of working Americans by facilitating the accumulation of wealth, and for other purposes.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · second_quarter · 2A
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837 - Investing in Our Communities Act; Implementation of the SECURE 2.0 Act, part of H.R. 2617, the Consolidated Appropriations Act of 2023; S. 1453 - the LOCAL Infrastructure Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · second_quarter · Q2
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837 - Investing in Our Communities Act; Implementation of the SECURE 2.0 Act, part of H.R. 2617, the Consolidated Appropriations Act of 2023; S. 1453 - the LOCAL Infrastructure Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · first_quarter · Q1
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837, Investing in Our Communities Act; Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · fourth_quarter · Q4
Senior investors/diminished capacity investors; Sustainable Finance; Private Fund Proposals (SEC); H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Public Law 117-328, Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail).
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · third_quarter · Q3
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021 (tax provisions, retirement provisions); Private Fund Proposals (SEC); H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · second_quarter · Q2
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021; Private Fund Proposals (SEC); H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · first_quarter · 1A
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021; Private Fund Proposals (SEC); H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · first_quarter · Q1
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021; Private Fund Proposals (SEC); H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · 4A
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · Q4
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · third_quarter · Q3
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · second_quarter · Q2
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · first_quarter · Q1
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · fourth_quarter · Q4
H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; P.L. 106-229 (E-Sign Act); Issues related to restitution and disgorgement (not yet introduced); Housing finance reform (general); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 1719 - Senior Security Act of 2019; Public Law 116-136, CARES Act; S. 4129 - LOCAL Infrastructure Act; S. 4203 - American Infrastructure Bonds Act of 2020; H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; H.R. 8696 - Securing a Strong Retirement Act of 2020.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · third_quarter · Q3
H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); S. 452 (Fostering Innovation Act of 2019); S. 2499 (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. 115th Cong.); Accounting standards for municipalities; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; P.L. 106-229 (E-Sign Act); Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; S. 1719 - Senior Security Act of 2019; H.R. 5336 - Investor Choice Act of 2019; Public Law 116-136, CARES Act; S. 4129 - LOCAL Infrastructure Act; S. 4203 - American Infrastructure Bonds Act of 2020; H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 3550 - Municipal Bonds Emergency Relief Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · second_quarter · Q2
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; Accounting standards for municipalities; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); P.L. 106-229 (E-Sign Act); United States-Mexico-Canada Agreement (USMCA); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest; S. 1719 - Senior Security Act of 2019; H.R. 4233 - Options Markets Stability Act; H.R. 5336 - Investor Choice Act of 2019; Fiscal Year 2021 Financial Services and General Government Appropriations bill; Public Law 116-136, CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act; LOCAL Infrastructure Act (Wicker Advance Refunding); American Infrastructure Bonds Act (Wicker direct pay bonds); H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · first_quarter · Q1
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest; S. 1719 - Senior Security Act of 2019; H.R. 4233 - Options Markets Stability Act; H.R. 5336 - Investor Choice Act of 2019; S. 2992 - Investor Choice Act of 2019; Fiscal Year 2021 Financial Services and General Government Appropriations bill; H.R. 748 - CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · fourth_quarter · Q4
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · 3A
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · Q3
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · second_quarter · Q2
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · first_quarter · Q1
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1876 (Senior Security Act of 2019); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (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. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced)' Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · fourth_quarter · 4A
H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (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. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · fourth_quarter · 4A
H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (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. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · fourth_quarter · Q4
H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (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. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · third_quarter · Q3
H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); H.R. 4061 (Financial Stability Oversight Council Improvement Act of 2017); H.R. 4785 (American Customer Information Protection Act); H.R. 6035 (Streamlining Communications for Investors Act); H.R. 6130 (Helping Startups Continue to Grow Act); H.R. 6139 (To require the Securities and Exchange Commission to carry out a study to evaluate the issues affecting the provision of and reliance upon investment research into small issuers); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); H.R. 6323 (Senior Security Act of 2018); S. 488 (Encouraging Employee Ownership Act); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (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. 3004 (Small Business Audit Correction Act of 2018); S. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Housing finance reform; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019); Vietnam cybersecurity law.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · second_quarter · Q2
H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); H.R. 4061 (Financial Stability Oversight Council Improvement Act of 2017); H.R. 4785 (American Customer Information Protection Act); H.R. 6021 (Small Business Audit Correction Act of 2018); H.R. 6035 (Streamlining Communications for Investors Act); H.R. 6130 (Helping Startups Continue to Grow Act); H.R. 6139 (To require the Securities and Exchange Commission to carry out a study to evaluate the issues affecting the provision of and reliance upon investment research into small issuers); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 488 (Encouraging Employee Ownership Act); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (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. 3004 (Small Business Audit Correction Act of 2018); S. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Housing finance reform; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019); Vietnam cybersecurity law.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · first_quarter · Q1
H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3353 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); H.R. 4785 (American Customer Information Protection Act); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 488 (Encouraging Employee Ownership Act); S. 1655 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2018); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Housing finance reform; Data Breach Notification Federal Standard; ETF Regulation.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2017 · fourth_quarter · Q4
H.R. 10 (Financial CHOICE Act of 2017); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Housing finance reform.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2017 · third_quarter · Q3
H.R. 10 (Financial CHOICE Act of 2017); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2017); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 2266 (Additional Supplemental Appropriations for Disaster Relief Requirements Act, 2017); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); S. 18 (Fair Tax Act of 2017); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Financial CHOICE Act; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Support of financial literacy.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2017 · second_quarter · Q2
H.R. 10 (Financial CHOICE Act of 2017); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); S. 18 (Fair Tax Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Financial CHOICE Act; Presidential Executive Order on Core Principles for Regulating the United States Financial System; Presidential Executive Order on Enforcing the Regulatory Reform Agenda; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Support of financial literacy.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2017 · first_quarter · Q1
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 1948 (To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); S. 18 (Fair Tax Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Financial CHOICE Act; Presidential Executive Order on Core Principles for Regulating the United States Financial System; Presidential Executive Order on Enforcing the Regulatory Reform Agenda; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2016 · fourth_quarter · Q4
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); H.R. 5019 (Fair Access to Investment Research Act of 2016); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); H.R. 5592 (Derivatives Oversight and Taxpayer Protection Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); S. 3092 (Fair Access to Investment Research Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Financial CHOICE Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2016 · third_quarter · Q3
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); H.R. 5019 (Fair Access to Investment Research Act of 2016); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); H.R. 5592 (Derivatives Oversight and Taxpayer Protection Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); S. 3092 (Fair Access to Investment Research Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal securities disclosure regulation; Financial CHOICE Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2016 · second_quarter · Q2
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal securities disclosure regulation; Financial CHOICE Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2016 · first_quarter · Q1
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · fourth_quarter · Q4
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · third_quarter · Q3
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · second_quarter · Q2
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · first_quarter · Q1
H.R. 26 (Terrorism Risk Insurance Program Reauthorization Act of 2015); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); Trade Promotion Authority (TPA); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Computerized trading; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Office of Financial Research study (Asset Management and Financial Stability); FSOC consideration of systemically important financial institutions (SIFIs); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Cybersecurity proposals; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Small Business Credit Availability Act (not yet introduced); Startup Capital Modernization Act (not yet introduced); Fostering Innovation Act (not yet introduced).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2014 · fourth_quarter · Q4
H.R. 1 (Tax Reform Act of 2014); H.R. 25 (Fair Tax Act of 2013); H.R. 30 (Small Business Investment Enhancement and Tax Relief Act); H.R. 122 (Creating Jobs From Innovative Small Businesses Act of 2013);H.R. 290 (Full Faith and Credit Act of 2013); H.R. 505 (Balancing Act); H.R. 613 (Systemic Risk Mitigation Act); H.R. 624 (Cyber Intelligence Sharing and Protection Act); H.R. 634 (Business Risk Mitigation and Price Stabilization Act); H.R. 677 (Inter-Affiliate Swap Classification Act); H.R. 694 (Corporate Tax Fairness Act); H.R. 701 (To amend a provision of the Securities Act of 1933 directing the Securities and Exchange Commission to add a particular class of securities to those exempted under such Act to provide a deadline for such action); H.R. 719 (Capital Access for Small Businesses and Jobs Act); H.R. 742 (Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013); H.R. 756 (Cybersecurity Enhancement Act of 2013); H.R. 797 (Municipal Advisor Oversight Improvement Act of 2013); H.R. 807 (Full Faith and Credit Act); H.R. 815 (To amend the Internal Revenue Code of 1986 to make certain dividends and distributions paid to individuals from certain small businesses exempt from tax to the extent of the increased wages of the small business); H.R. 880 (Wall Street Trading and Speculators Tax Act); H.R. 889 (Unfunded Mandates Information and Transparency Act of 2013); H.R. 935 (Reducing Regulatory Burdens Act of 2013); H.R. 947 (Small Business Accounting and Tax Simplification Act); H.R. 992 (Swaps Regulatory Improvement Act); H.R. 1003 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1101 (Homeowners and Taxpayers Protection Act of 2013); H.R. 1105 (Small Business Capital Access and Job Preservation Act); H.R. 1062 (SEC Regulatory Accountability Act); H.R. 1064 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1115 (To amend the Securities Exchange Act of 1934 to prohibit any national securities exchange from effecting any transaction in a security issued by a corporation unless the corporation's registration with the exchange includes a certification that the corporation currently is in compliance with the provisions of the Federal Election Campaign Act of 1971 governing contributions and expenditures by corporations which were in effect with respect to elections held during 2008); H.R. 1135 (Burdensome Data Collection Relief Act); H.R. 1155 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1221 (Basel III Capital Impact Study Act); H.R. 1256 (Swap Jurisdiction Certainty Act); H.R.1335 (Short Sale Transparency Act of 2013); H.R.1341 (Financial Competitive Act of 2013)(Credit Valuation Adjustment (CVA)); H.R. 1627 (Investment Adviser Examination Improvement Act of 2013); H.R. 1844 (Arbitration Fairness Act of 2013); H.R. 2374 (Retail Investor Protection Act); H.R. 2998 (Investor Choice Act of 2013); H.R. 3482 (Restoring Main Street Investor Protection and Confidence Act); H.R. 3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013); H.R. 4167 (Restoring Proven Financing for American Employers Act); H.CON.RES.25 (Establishing the budget for the United States Government for fiscal year 2014 and setting forth appropriate budgetary levels for fiscal years 2015 through 2023); S. 1 (Immigration Reform that Works for America's Future Act); S. 8 (End Wasteful Tax Loopholes Act); S. 21 (Cybersecurity and American Cyber Competitiveness Act of 2013); S. 122 (Fair Tax Act of 2013); S. 169 (I-Squared Act of 2013)(Immigration reform); S. 173 (Simplified, Manageable, And Responsible Tax Act); S. 249 (Responsible Homeowner Refinancing Act of 2013);S. 277 (Job Preservation and Economic Certainty Act of 2013); S. 278 (Job Preservation and Sequester Replacement Act of 2013); S. 321 (Paying a Fair Share Act of 2013); S. 387 (American Infrastructure Investment Fund Act); S. 399 (American Job Protection Act); S. 410 (Wall Street Trading and Speculators Tax Act); S. 450 (Financial Regulatory Responsibility Act of 2013); S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013); S. 474 (Swaps Regulatory Improvement Act); S. 534 (National Association of Registered Agents and Brokers Reform Act of 2013); S. 798 (TBTF Act); S. 1725 (Restoring Main Street Investor Protection and Confidence Act); S. 1999 (SCRA Rights Protection Act of 2014); S. 2588 (Cybersecurity Information Sharing Act of 2014); S.AMDT.2006 (Amends H.CON.RES.25); FINRA Regulatory Notice 2013-002; Market data rule proposals (SR-NASDAQ-2012-042;SR-NASDAQ-2012-044;SR-NASDAQ-2012-005); SR-NYSEArca-2011-96; Market data (Exchange Act Section 19 and related rules); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; Basel Securitization Framework; G-20; Amendments to the 2012 Indian Finance Bill; TransAtlantic Trade and Investment Partnership (TTIP); Trade Promotion Authority (TPA); India Financial Sector Reform; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach;Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds; Cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Tri-party repo; Computerized trading; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Tick-size pilot program; EU Capital and Resolution; National Institute of Standards and Technology (NIST) Framework; Incentives for the adoption of the NIST Framework; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Fee pilot program for NASDAQ last sale (File no. SR-NASDAQ-2013-126); Office of Financial Research study (Asset Management and Financial Stability); Legal Entity Identifier; Financial Stability Board; OCC, FDIC, and Federal Reserve rule proposal on Basel III Liquidity Coverage Ratio; FSOC consideration of systemically important financial institutions (SIFIs); Prudential regulators; NASDAQ and NYSE market data fee proposals; SEC draft strategic plan; Leverage capital requirements; Cybersecurity issues (general); Release No. 34-71958, SBSD Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Consumer Privacy Notices - Docket No. CFPB-2014-0010; Regulatory Notice 14019, BrokerCheck Hyperlink; Preserving America's Transit and Highways ("PATH") Act; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2014 · third_quarter · Q3
H.R. 25 (Fair Tax Act of 2013); H.R. 30 (Small Business Investment Enhancement and Tax Relief Act); H.R. 122 (Creating Jobs From Innovative Small Businesses Act of 2013); H.R. 290 (Full Faith and Credit Act of 2013);H.R. 505 (Balancing Act); H.R. 613 (Systemic Risk Mitigation Act); H.R. 624 (Cyber Intelligence Sharing and Protection Act); H.R. 634 (Business Risk Mitigation and Price Stabilization Act); H.R. 677 (Inter-Affiliate Swap Classification Act); H.R. 694 (Corporate Tax Fairness Act); H.R. 701 (To amend a provision of the Securities Act of 1933 directing the Securities and Exchange Commission to add a particular class of securities to those exempted under such Act to provide a deadline for such action); H.R. 719 (Capital Access for Small Businesses and Jobs Act); H.R. 742 (Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013); H.R. 756 (Cybersecurity Enhancement Act of 2013); H.R. 807 (Full Faith and Credit Act); H.R. 815 (To amend the Internal Revenue Code of 1986 to make certain dividends and distributions paid to individuals from certain small businesses exempt from tax to the extent of the increased wages of the small business); H.R. 880 (Wall Street Trading and Speculators Tax Act); H.R. 889 (Unfunded Mandates Information and Transparency Act of 2013); H.R. 935 (Reducing Regulatory Burdens Act of 2013); H.R. 947 (Small Business Accounting and Tax Simplification Act); H.R. 992 (Swaps Regulatory Improvement Act); H.R. 1003 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1101 (Homeowners and Taxpayers Protection Act of 2013); H.R. 1105 (Small Business Capital Access and Job Preservation Act); H.R. 1062 (SEC Regulatory Accountability Act); H.R. 1064 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1115 (To amend the Securities Exchange Act of 1934 to prohibit any national securities exchange from effecting any transaction in a security issued by a corporation unless the corporation's registration with the exchange includes a certification that the corporation currently is in compliance with the provisions of the Federal Election Campaign Act of 1971 governing contributions and expenditures by corporations which were in effect with respect to elections held during 2008); H.R. 1135 (Burdensome Data Collection Relief Act); H.R. 1155 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1221 (Basel III Capital Impact Study Act); H.R. 1256 (Swap Jurisdiction Certainty Act); H.R.1335 (Short Sale Transparency Act of 2013); H.R.1341 (Financial Competitive Act of 2013)(Credit Valuation Adjustment (CVA)); H.R. 1627 (Investment Adviser Examination Improvement Act of 2013); H.R. 1844 (Arbitration Fairness Act of 2013); H.R. 2374 (Retail Investor Protection Act); H.R. 2998 (Investor Choice Act of 2013); H.R. 3482 (Restoring Main Street Investor Protection and Confidence Act); H.R. 3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013); H.R. 4167 (Restoring Proven Financing for American Employers Act); H.CON.RES.25 (Establishing the budget for the United States Government for fiscal year 2014 and setting forth appropriate budgetary levels for fiscal years 2015 through 2023); S. 1 (Immigration Reform that Works for America's Future Act); S. 8 (End Wasteful Tax Loopholes Act); S. 21 (Cybersecurity and American Cyber Competitiveness Act of 2013); S. 122 (Fair Tax Act of 2013); S. 169 (I-Squared Act of 2013)(Immigration reform); S. 173 (Simplified, Manageable, And Responsible Tax Act); S. 249 (Responsible Homeowner Refinancing Act of 2013); S. 277 (Job Preservation and Economic Certainty Act of 2013); S. 278 (Job Preservation and Sequester Replacement Act of 2013);S. 321 (Paying a Fair Share Act of 2013); S. 387 (American Infrastructure Investment Fund Act); S. 399 (American Job Protection Act); S. 410 (Wall Street Trading and Speculators Tax Act); S. 450 (Financial Regulatory Responsibility Act of 2013); S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013); S. 474 (Swaps Regulatory Improvement Act); S. 534 (National Association of Registered Agents and Brokers Reform Act of 2013); S. 798 (TBTF Act); S. 1725 (Restoring Main Street Investor Protection and Confidence Act); S. 1999 (SCRA Rights Protection Act of 2014); S. 2588 (Cybersecurity Information Sharing Act of 2014); S.AMDT.2006 (Amends H.CON.RES.25); FINRA Regulatory Notice 2013-002; Market data rule proposals (SR-NASDAQ-2012-042;SR-NASDAQ-2012-044;SR-NASDAQ-2012-005); SR-NYSEArca-2011-96; Market data (Exchange Act Section 19 and related rules); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; Basel Securitization Framework; G-20; Amendments to the 2012 Indian Finance Bill; TransAtlantic Trade and Investment Partnership (TTIP); Trade Promotion Authority (TPA); India Financial Sector Reform; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities;Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds; Cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Tri-party repo; Computerized trading; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Tick-size pilot program; EU Capital and Resolution; National Institute of Standards and Technology (NIST) Framework; Incentives for the adoption of the NIST Framework; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Fee pilot program for NASDAQ last sale (File no. SR-NASDAQ-2013-126); Office of Financial Research study (Asset Management and Financial Stability); Legal Entity Identifier; Financial Stability Board; OCC, FDIC, and Federal Reserve rule proposal on Basel III Liquidity Coverage Ratio; FSOC consideration of systemically important financial institutions (SIFIs); Prudential regulators; NASDAQ and NYSE market data fee proposals; SEC draft strategic plan; Leverage capital requirements; Cybersecurity issues (general); Release No. 34-71958, SBSD Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Consumer Privacy Notices - Docket No. CFPB-2014-0010; Regulatory Notice 14019, BrokerCheck Hyperlink; Preserving America's Transit and Highways ("PATH") Act; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1807, the Improving Disclosure for Investors Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 2590, Unlocking Capital for Small Business Act; H.R. 2627 - Increasing Investor Opportunities Act (closed-end fund bill); H.R. 2799, Expanding Access of Capital Act of 2023; H.R. 3063, Retirement Fairness for Charities and Education Institutions Act; H.R. 3136 - The National Critical Capabilities Defense Act; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; HR 4551, the "Protecting Investors Personally Identifiable Information Act" (attached to Capital Markets Subcommittee hearing on 3/20/24); H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act; H.R.4766 - Clarity for Payment Stablecoins Act of 2023; H.R. 4767 - Protecting American's Retirement Savings from Politics Act; H.R. 8339, the "SEC Reform and Restructure Act; H.R. 8773, FY 2025 Financial Services and General Government Appropriations Bill (3 provisions in the FSGG Bill Report pertaining to the SEC: PDA rule withdrawal, economic analysis enhancement, sensible implementation); H.R. 8818, American Privacy Rights Act; H.J. Res. 109. Providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121."; H.J. Res. 116, providing for congressional disapproval of DOL's independent contractor rule; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; S.2678 - Outbound Investment Transparency Act of 2023; S. 3815 - the Improving Disclosure for Investors Act of 2024; S. 4628, National Defense Authorization Act for Fiscal Year 2025 (China-related provisions); S. 4760, Digital Commodities Consumer Protection Act of 2022; S. 4917 - Retirement Fairness for Charities and Educational Institutions Act of 2024; S.5139 - A bill to amend the Securities Act of 1933 to address emerging growth companies, and for other purposes (the Empowering Main Street in America Act); S.J. Res.__, a Joint Resolution providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121."; H.R. ___, To codify the special purpose broker dealer, and for other purposes; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; HR ____, to require an assessment and report to Congress on the adequacy of the SECs cost-benefit analysis with respect to major rulemakings (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to mandate minimum comment periods of at least 60 days for all SEC-initiated rulemakings, with certain exceptions, calculated from the date published in the Federal Register (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the Commission to review certain reviewable actions by SEC staff (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the semi-annual testimony of the Chairman of the SEC before the Committee on Financial Services of the House of Representatives and the Committee on Banking, Housing, and Urban Affairs of the Senate, with testimony on at least one instance to include the testimony of the entire Commission (attached to Capital Markets Subcommittee hearing on 3/20/24); Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Biden Administration executive order related to China; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposal regarding reporting of Securities Loans; SEC proposals to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks; Senator Stabenow's Discussion Draft cryptocurrency legislation; SEC CAT Fee filings by the SROs; SEC approval of SROs rules limiting exchange liability; SEC enforcement cases related to off-channel communications; CFPB enforcement action relating to the National Collegiate Student Loan Trusts; FDIC Brokered Deposit Proposal; FDIC Proposal to amend change in Bank Control Action Regulations.
H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1807 - Improving Disclosure for Investors Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 7780 Safeguarding Options for Retirement Act; S. 1453, the LOCAL Infrastructure Act; S. 1695, American Infrastructure Bond Act of 2023; S.2678 - Outbound Investment Transparency Act of 2023; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC proposals to modify equity market structure; SEC proposal regarding reporting of securities loans; SEC proposal regarding position reporting of Large Security-Based Swap Positions; SEC proposal regarding safeguarding Advisory Client Assets; SEC No-Action Letter on Rule 15c2-11; Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions; Artificial intelligence and predictive data analytics; Legislation related to buying OTC securities on Margin.
H.R. 5339, the RETIRE Act; H.R. 6065/ S. 3102 Retirement Savings for Americans Act; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; H.R. 4767 - Protecting American's Retirement Savings from Politics Act; H. J. Res 142, Providing for congressional disapproval of the Department of Labor fiduciary rule; H.J. Res. 116, providing for congressional disapproval of DOL's independent contractor rule; S. 4917, a bill to amend the Federal securities laws to enhance 403(b) plans; S. 4965, the Small Nonprofit Retirement Security Act of 2024; S. 4371, Empowering States to Protect Seniors from Bad Actors Act; S. 5149/H.R. 9764, A bill to amend the Internal Revenue Code of 1986 to allow additional catch-up contributions for certain family caregivers; S.5148/H.R. 9765, A bill to amend the Internal Revenue Code of 1986 to allow certain family caregivers to contribute to a Roth IRA; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; DOL Fiduciary Rule proposed rule on retirement security and related proposed changes to prohibited transaction exemptions including Qualified Professional Asset Manager; Public Law 117-328 - Consolidated Appropriations Law (Secure 2.0 retirement provisions); Retirement Security Rule: Definition of an Investment Advice Fiduciary (EBSA) and related exemptions; SECURE 2.0 Implementation RIN 1210-AC23 RFI - SECURE 2.0 Reporting and Disclosure, EBSA Basel III End Game and Retirement; Preservation of Private Sector Retirement System; SECURE 2.0 Technical Corrections Act of 2023.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1807, the Improving Disclosure for Investors Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 2590, Unlocking Capital for Small Business Act; H.R. 2799, Expanding Access of Capital Act of 2023; H.R. 3063, Retirement Fairness for Charities and Education Institutions Act, Expanding the Protection for Research Reports to Cover all Securities of All Issuers; H.R. 3136 - The National Critical Capabilities Defense Act; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; HR 4551, the "Protecting Investors Personally Identifiable Information Act" (attached to Capital Markets Subcommittee hearing on 3/20/24); H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act; H.R.4766 - Clarity for Payment Stablecoins Act of 2023. H.R. 4767 - Protecting American's Retirement Savings from Politics Act; HR 7030, the Review the Expansion of Government Act of 2024 or the REG Act of 2024 (attached to Capital Markets Subcommittee hearing on 3/20/24); HR 7902, the "Protecting Private Job Creators Act" (exempts fixed income securities from 15c2-11 disclosure) (attached to Capital Markets Subcommittee hearing on 3/20/24); H.R. 8339, the "SEC Reform and Restructure Act; H.R. 8773, FY 2025 Financial Services and General Government Appropriations Bill (3 provisions in the FSGG Bill Report pertaining to the SEC: PDA rule withdrawal, economic analysis enhancement, sensible implementation); H.R. 8818, American Privacy Rights Act; H.J. Res. 100, Providing for congressional disapproval of SEC's Cybersecurity disclosure rule; H.J. Res. 109. Providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121."; H.J. Res. 116, providing for congressional disapproval of DOL's independent contractor rule; S. 1695, the American Infrastructure Bonds Act of 2023; S.2678 - Outbound Investment Transparency Act of 2023; S. 4760, Digital Commodities Consumer Protection Act of 2022; S.J.Res.__, a Joint Resolution providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121."; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; HR ____, to require an assessment and report to Congress on the adequacy of the SECs cost-benefit analysis with respect to major rulemakings (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to mandate minimum comment periods of at least 60 days for all SEC-initiated rulemakings, with certain exceptions, calculated from the date published in the Federal Register (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the Commission to review certain reviewable actions by SEC staff (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the semi-annual testimony of the Chairman of the SEC before the Committee on Financial Services of the House of Representatives and the Committee on Banking, Housing, and Urban Affairs of the Senate, with testimony on at least one instance to include the testimony of the entire Commission (attached to Capital Markets Subcommittee hearing on 3/20/24); Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Biden Administration executive order related to China; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC proposed rule regarding the safeguarding of client assets (custody proposal); SEC proposed rule on Predictive Data Analytics; SEC proposal regarding reporting of Securities Loans; SEC proposals to modify equity market structure; SEC final rule related to clearing of U.S. Treasury securities; SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks; SEC final rule on short sale data.
H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1807 - Improving Disclosure for Investors Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda; H.R. 7780 Safeguarding Options for Retirement Act; S. 1453, the LOCAL Infrastructure Act; S. 1695, American Infrastructure Bond Act of 2023; S.2678 - Outbound Investment Transparency Act of 2023; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC proposals to modify equity market structure; SEC proposal regarding reporting of securities loans; SEC proposal regarding position reporting of Large Security-Based Swap Positions; SEC proposal regarding safeguarding Advisory Client Assets; SEC No-Action Letter on Rule 15c2-11; Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions; Artificial intelligence and predictive data analytics; Legislation related to buying OTC securities on Margin.
H.R. 4763, the Financial Innovation and Technology Act; S. 4760, Digital Commodities Consumer Protection Act of 2022. SEC proposal related to security-based swaps large trader reporting; SEC proposal regarding Safeguarding Advisory Client Assets.
H.R. 1837, the Investing in Our Communities Act; S. 1695, American Infrastructure Bonds Act of 2023; S. 1453, the LOCAL Infrastructure Act; Public Law 117-328 - Consolidated Appropriations Law (SECURE 2.0 retirement provisions); IRS Stock Buyback Excise Tax; OECD BEPS 2.0 - an effort to address tax avoidance and ensure coherence of international tax rules; IRC Section 871(m); IRC Section 987; U.S. Taiwan Expedited Double Tax Relief Act; Issues related to 529 plans; BEAT QDP - regulations regarding the reporting of qualified derivative payments that are not considered base erosion payments.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 4168, a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807, the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190, the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; S. 1695, the American Infrastructure Bonds Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1177/S. 427, Financial Freedom Act of 2023; H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act; H.R. 4767 - Protecting American's Retirement Savings from Politics Act; H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023; S. 2251 - Cybersecurity Act of 2023 ; SEC proposed rule on Predictive Data Analytics; SEC proposal regarding reporting of Securities Loans; SEC proposals to modify equity market structure; Biden Administration executive order related to China; SEC final rule related to clearing of U.S. Treasury securities; SEC final rule to improve clearing agency governance; SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks; SEC final rule on short sale data; SEC final rules on beneficial ownership; HR ____, the SEC Regulatory Accountability Act (H.R. 9603 in 117th Congress) (attached to Capital Markets Subcommittee hearing on 3/20/24); HR 7030, the Review the Expansion of Government Act of 2024 or the REG Act of 2024 (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require an assessment and report to Congress on the adequacy of the SECs cost-benefit analysis with respect to major rulemakings (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to mandate minimum comment periods of at least 60 days for all SEC-initiated rulemakings, with certain exceptions, calculated from the date published in the Federal Register (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the Commission to review certain reviewable actions by SEC staff (attached to Capital Markets Subcommittee hearing on 3/20/24); HR ____, to require the semi-annual testimony of the Chairman of the SEC before the Committee on Financial Services of the House of Representatives and the Committee on Banking, Housing, and Urban Affairs of the Senate, with testimony on at least one instance to include the testimony of the entire Commission (attached to Capital Markets Subcommittee hearing on 3/20/24); HR 4551, the "Protecting Investors Personally Identifiable Information Act" (attached to Capital Markets Subcommittee hearing on 3/20/24); HR 7902, the "Protecting Private Job Creators Act" (exempts fixed income securities from 15c2-11 disclosure) (attached to Capital Markets Subcommittee hearing on 3/20/24); S. 3676 (Protecting Private Job Creators Act); H.R. 2799, Expanding Access of Capital Act of 2023; H.R. 2627, Increasing Investor Opportunities Act; H.R. 3063, Retirement Fairness for Charities and Education Institutions Act, Expanding the Protection for Research Reports to Cover all Securities of All Issuers; H.R. 2590, Unlocking Capital for Small Business Act; H.J. Res. 109. Providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121."; S.J.Res.__, a Joint Resolution providing for congressional disapproval of the rule submitted by the SEC related to "Staff Accounting Bulletin No. 121.".
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 4168, a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237, a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807, the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190, the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____, to exempt 144a fixed income securities from Rule 15c2-11; S. 1695, the American Infrastructure Bonds Act of 2023; H.R. 1837, the Investing in Our Communities Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023; H.R. 1177/S. 427, Financial Freedom Act of 2023 H.R. 4763 - the Financial Innovation and Technology for the 21st Century Act H.R. 4767 - Protecting American's Retirement Savings from Politics Act H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 - Cybersecurity Act of 2023 SEC Proposed Rule on Predictive Data Analytics SEC proposal regarding Reporting of Securities Loans SEC proposals to modify equity market structure Biden Administration Executive Order related to China SEC final rule related to clearing of U.S. Treasury securities SEC final rule to improve Clearing Agency Governance SEC proposed rule to address Volume-Based Exchange Transaction Pricing for NMS Stocks SEC final rule on short sale data SEC final rule to increase transparency in Securities Lending Markets SEC final rules on beneficial ownership
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 1837, the Investing in Our Communities Act; S. 1453, the LOCAL Infrastructure Act; H.R. 4664 and S. 2309, the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda. H.R.760 - Chinese Military and Surveillance Company Sanctions Act of 2023 H.R. 1807 - Improving Disclosure for Investors Act of 2023 SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; S. 1695, American Infrastructure Bond Act of 2023, U.S. Senate H.R. 3136 - The National Critical Capabilities Defense Act; S.2678 - Outbound Investment Transparency Act of 2023 S. 2251 Cybersecurity Act of 2023 SEC 15c2-11 staff interpretation to impact 144A private securities SEC proposals to modify equity market structure SEC proposal regarding Reporting of Securities Loans SEC proposal regarding Position Reporting of Large Security-Based Swap Positions SEC proposal regarding Safeguarding Advisory Client Assets SEC proposal regarding Prohibition of Conflicts of Interest in Certain Securitizations Public Law 117-328 - Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail) Sustainable Finance - Legislative proposals related to Environmental, Social, and Governance considerations in investment decisions Fiscal Year 2024 Financial Services and General Government Appropriations bill Artificial intelligence and predictive data analytics
SEC proposal related to security-based swaps large trader reporting; SEC proposal regarding Safeguarding Advisory Client Assets CFTC Rule 4.7 amendments - comment letter
H.R. 1837, the Investing in Our Communities Act; S. 1695, American Infrastructure Bonds Act of 2023 Public Law 117-328 - Consolidated Appropriations Law (Secure 2.0 retirement provisions). IRS Transmitter Control Codes and Electronic Filing of Form 1042 IRS Draft Revised W-8EXP IRS Tax Treatment of Digital Assets U.S. Senate Draft Form W-9 IRS Stock Buyback Excise Tax U.S. Treasury, IRS Request for Extension of Comment Period for REG-122793-19 Gross Proceeds and Basis Reporting by Brokers and Determination of Amount Realized and Basis for Digital Asset Transactions (proposed regulations) W-8 E-signature easing W-8 ECI OECD BEPS 2.0 Qualified Derivatives Payment Reporting Form W-9 requester instructions Proposed Regulations for Gross Proceeds and Basis Reporting by Brokers and Determination of Amount Realized and Basis for Digital Asset Transactions IRC Section 871(m) IRC Section 987 U.S. Taiwan Expedited Double Tax Relief Act 529 S. 1453, the LOCAL Infrastructure Act
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)