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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.
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.
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
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.
Source: Senate LDA
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, 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. 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. 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. 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/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.
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. 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.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, 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.
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. 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. 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.
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, 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. 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. 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.
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. 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/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.
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.
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.
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.
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.
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.
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.
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.
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, 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
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. 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. 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/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.
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.
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.
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.
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. 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; 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. 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.
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. 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.
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. 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; 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; 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.
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.
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/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.
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.
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.
FIGHT China 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.
FIGHT China 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.
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. 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.
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. 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.
LOCAL Infrastructure 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.
LOCAL Infrastructure 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.
LOCAL Infrastructure 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.
LOCAL Infrastructure 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.
Retirement Savings for Americans 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 Savings for Americans 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.
Retirement Savings for Americans 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.
GENIUS 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.
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.
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. 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. 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, 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.
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.
Rural Recovery 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.
Rural Recovery 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.
Rural Recovery 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.
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. 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 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
2024 · fourth_quarter · Q4
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.
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; 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 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. __, Comprehensive Outbound Investment National Security Coins Act of 2024.
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 · 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.
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
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
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; H.R.5673, Responsible Legislating Act; H.R. 6065/ S. 3102 Retirement Savings for Americans Act; H.R. 6007, Retirement Investment in Small Employers Act; H.R. 7293, Automatic IRA Act of 2024 ; H.R. 1818/S. 1561 the Aviation Workforce Development Act; S. 3716/ H.R. 7162 A bill to create children's lifetime savings accounts, and for other purposes; 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; Independent Contractor Rule discussions; 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); Amendment No. 83 to H.R. 5894 - Labor, Health and Human Services, Education, and Related Agencies Appropriations Act, 2024; IRS proposed rule regarding Section 4966 Donor Advised Funds; Appropriations Rider Funds May only be Used on DOL Fiduciary; APS Funding.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · second_quarter · 2A
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; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; 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. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses 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; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - 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 Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2023 · second_quarter · 2A
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; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; 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. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses 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; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - 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 Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.
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.
S. 1308 - American Infrastructure Bonds of 2023; H.R. 1837 - Investing in Our Communities Act; S. 1453 - the LOCAL Infrastructure Act; S. 1990 - Tax on Wall Street Speculation Act.
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.
H.R. 1807 - Improving Disclosure for Investors Act of 2023; Hearings related to the failure of Silicon Valley Bank; Bank Capital Requirements; H.R. ____ - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. ____ - the "Fair Opportunities for Professional Experts Act"; H.R. ____ - the "Regulation A+ Improvement Act of 2023"; H.R. ____ - the "Unlocking Capital for Small Businesses Act of 2023"; H.R. ____ - the "Improving Disclosure for Investors Act of 2023; H.R. ____ - 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. ____ - bill to exempt 144a Fixed Income from Rule 15c2-11; S. 1038 - 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 Consolidate Audit Trail and SEC regulatory agenda; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II); H.R.2622 - To amend the Investment Advisers Act of 1940 to codify certain Securities and Exchange Commission no-action letters that exclude brokers and dealers compensated for certain research services from the definition of investment adviser, and for other purposes; 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.
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).
Self-Regulatory Organization (SRO) Reform; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ____ - Capital Markets Transparency Act; H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading; H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; S. 4147 - Financial Freedom Act of 2022; S. 1854 and H.R. 6323 - The National Critical Capabilities Defense Act; Rule 15c2-11; Public Law 117-328 - Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail); SEC 15c2-11 staff interpretation to impact 144A private securities; SEC proposals to modify equity market structure.
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.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · second_quarter · Q2
Equity market structure issues; Self-Regulatory Organization (SRO) Reform; SEC Rule 15c2-11; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); SEC short comment periods; H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ____ - Capital Markets Transparency Act; H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading; H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; SEC Staff Accounting Bulletin 121 - SEC, House & Senate; S. 4147 - Financial Freedom Act of 2022.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · first_quarter · 1A
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; Modernization Derivatives Tax Act; Tax Incentives to preserve interest deduction related to municipal bonds; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Equity market structure issues; Self-Regulatory Organization (SRO) Reform; SEC Rule 15c2-11; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); SEC short comment periods; H.R. 4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ____ - Capital Markets Transparency Act; H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading; H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ____ "Close the ILC Loophole Act"
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2022 · first_quarter · Q1
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; Modernization Derivatives Tax Act; Tax Incentives to preserve interest deduction related to municipal bonds; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Equity market structure issues; Self-Regulatory Organization (SRO) Reform; SEC Rule 15c2-11; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); SEC short comment periods; H.R. 4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ____ - Capital Markets Transparency Act; H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading; H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ____ "Close the ILC Loophole Act"
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · 4A
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · Q4
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · third_quarter · Q3
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
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. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 4203 (116th Cong.) - American Infrastructure Bond Act; Public Law 116-136 - CARES Act (retirement and savings provisions); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; S. 479, the LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. ______ - Investing in Our Communities Act; S. ______ - Retirement Security and Savings Act; H.R. ___/S.___ - Retirement Parity for Student Loans Act; H.R. ______ - Securing a Strong Retirement Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · fourth_quarter · Q4
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; S. 4203 - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program; Net Stable Funding Ratio Regulatory Proposal; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4159 - E-SIGN Modernization Act of 2020; SEC Temporary Exemptive Order related to municipal advisors; LIBOR; Stress Testing Reform; H.R. 2923 - Inclusive Prosperity Act of 2019; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R.6395 - National Defense Authorization Act for Fiscal Year 2021; H.R. 8696, Securing a Strong Retirement Act of 2020; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act .
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · third_quarter · Q3
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 6800, The Heroes Act (retirement and savings provisions); H.R. 2, Moving Forward Act (municipal finance provisions); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4129 - LOCAL Infrastructure Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · second_quarter · Q2
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 748 - CARES Act; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 6800, The Heroes Act (retirement and savings provisions); H.R. 2, Moving Forward Act (municipal finance provisions); LOCAL Infrastructure Act (Wicker Advance Refunding); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · first_quarter · Q1
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 748 - CARES Act; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds, U.S House, U.S. Senate.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · fourth_quarter · Q4
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · 3A
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · Q3
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · second_quarter · Q2
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · first_quarter · Q1
H.R. 1516 (Wall Street Tax Act of 2019); S. 647 (Wall Street Tax Act of 2019); Tax treatment of capital gains and dividends; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues relating to IRS Rev. Proc. 2018-54: Deemed issuers, diversification requirements for variable contracts.
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. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); H.R. 6444 (Capital Gains Inflation Relief Act); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Rev. Rul. 2018-24 relating to the proposed exchange of Freddie Mac Participation Certificates for Universal Mortgage Backed Securities; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2018 · fourth_quarter · Q4
H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Structure of the U.S. Treasury.
H.R. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); H.R. 6444 (Capital Gains Inflation Relief Act); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Rev. Rul. 2018-24 relating to the proposed exchange of Freddie Mac Participation Certificates for Universal Mortgage Backed Securities; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97.
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. 1 (An Act to provide for reconciliation pursuant to titles II and V of the concurrent resolution on the budget for fiscal year 2018); H.R. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under IRC Sec. 871(m), IRC Sec. 367, and IRC Sec. 385; Regulations implementing IRC Sec. 1446(f), IRC Sec. 199(a), IRC Sec. 59A, and IRC Sec. 951A; Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97 (Tax Cuts and Jobs Act); Regulations implementing IRC Sec. 451(a), IRC Sec. 163(j), IRC Sec. 512, IRC Sec. 904, and IRC Sec. 958(b) as modified by P.L. 115-97; International tax reform.
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. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); H.R. 4790 (Volcker Rule Regulatory Harmonization Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).
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. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).
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.
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
H.R. 1837, the Investing in Our Communities Act; H.R.7024 - Tax Relief for American Families and Workers Act of 2024; 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 Tax Treatment of Digital Assets; 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); OECD BEPS 2.0; 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; Issues related to 529 plans; OMB Number: 1545-2313, Form 15397 (November 2023), Application for Extension of Time to Furnish Recipient Statements; Appendix III of the Qualified Intermediary (QI) Agreement, Revenue Procedure 2022-43.
SEC proposal related to security-based swaps large trader reporting; SEC proposal regarding Safeguarding Advisory Client Assets CFTC Rule 4.7 amendments - comment letter
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.
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
S. 1308 - American Infrastructure Bonds of 2023; H.R. 1837 - Investing in Our Communities Act; S. 1453 - the LOCAL Infrastructure Act; S. 1990 - Tax on Wall Street Speculation Act.
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
S. 1308 - American Infrastructure Bonds of 2023; H.R. 1837 - Investing in Our Communities Act; S. 1453 - the LOCAL Infrastructure Act; S. 1990 - Tax on Wall Street Speculation Act.
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
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; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; 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. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses 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; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - 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 Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.
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
S. 1308, American Infrastructure Bonds of 2023; H.R. 1837, Investing in Our Communities 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
Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Proposals to expand bank information reporting requirements; H.R. 5376 - Build Back Better Act; Modernization Derivatives Tax Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; S. 817/H.R. 328 - Wall Street Tax Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 2634 - the LIFT Act; Public Law 117-328, Consolidated Appropriations Law (Secure 2.0 retirement provisions).
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
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; Modernization Derivatives Tax Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 2634 - the LIFT Act; H.R. 5376 - Inflation Reduction Act.
Self-Regulatory Organization (SRO) Reform; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ____ - Capital Markets Transparency Act; H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading; H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; S. 4147 - Financial Freedom Act of 2022; Cyber incident notification issues; S. 1854 and H.R. 6323 - The National Critical Capabilities Defense Act; Electronic delivery of retail investor's SEC-required disclosures.
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
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; Modernization Derivatives Tax Act; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
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
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
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
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
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America 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
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
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
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.
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
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)
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
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)
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288, to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Financial Services and General Government Appropriations Fiscal Year 2022 bill; Secure 2.0 Legislation; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; H.R. ______ - Investing in Our Communities Act; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R. ___/S.___ - Retirement Parity for Student Loans Act.
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.
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)
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 2, Moving Forward Act (municipal finance provisions); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4129 - LOCAL Infrastructure Act; H.R. 8696 - Securing a Strong Retirement Act of 2020.
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)
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.
Equity market structure issues; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; H.R. 3967, Municipal Bond Market Support Act of 2019; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; S. 4203 - American Infrastructure Bonds Act of 2020; S. 3798 - Hong Kong Autonomy Act; Federal government market support programs (e.g. TALF); H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); H.R. 6800, The Heroes Act (retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program; Net Stable Funding Ratio Regulatory Proposal; Off-Cycle CCAR; Financial Stability Board TooBigToFail Paper; Foreign Banking Organization RRP and Tailoring Proposal; Large Institution Supervision Coordinating Committee (LISCC) Review; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4159 - E-SIGN Modernization Act of 2020; SEC Temporary Exemptive Order related to municipal advisors; LIBOR; Federal Reserve G-SIB capital surcharge; Stress Testing Reform; Foreign Banking Organizations Tailoring Proposal Comment Letter; H.R. 2923 - Inclusive Prosperity Act of 2019; Increase in the bank qualified bond limit - Rep. Sewell Bill.
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)
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.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019; H.R. 748 - The CARES Act; Federal Reserve Board and Prudential Agency Covid-19 Actions; Brokered Deposit Comment Proposal from the FDIC; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; Increase in the bank qualified bond limit, Rep. Sewell Bill; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; American Infrastructure Bond Act (Wicker direct pay bonds) ; S. 3798 - Hong Kong Autonomy Act; Federal government market support programs (e.g. TALF); GSE Credit Risk Transfer Securities; H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); H.R. 6800, The Heroes Act (retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program.
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)
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019; H.R. 748 - The CARES Act; Federal Reserve Board and Prudential Agency Covid-19 Actions; Brokered Deposit Comment Proposal from the FDIC; H.R. 5336 - Investor Choice Act of 2019; Diverse Investment Advisers Act (not introduced); H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill.
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.
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)
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.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019.
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)
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).
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill; H.R. 2513 - the Corporate Transparency Act.
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)
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).
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill.
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)
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.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies.
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)
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Structure of the U.S. Treasury.
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).
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)
H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Structure of the U.S. Treasury.
H.R. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); H.R. 6444 (Capital Gains Inflation Relief Act); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Rev. Rul. 2018-24 relating to the proposed exchange of Freddie Mac Participation Certificates for Universal Mortgage Backed Securities; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97.
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)
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).
H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Structure of the U.S. Treasury.
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)
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).
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)
H.R. 1 (An Act to provide for reconciliation pursuant to titles II and V of the concurrent resolution on the budget for fiscal year 2018); H.R. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); H.R. 6444 (Capital Gains Inflation Relief Act); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Rev. Rul. 2018-24 relating to the proposed exchange of Freddie Mac Participation Certificates for Universal Mortgage Backed Securities; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform.
H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); H.R. 4790 (Volcker Rule Regulatory Harmonization Act); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda); Federal Reserve and FDIC comments on a stress capital buffer (SCB) and an enhanced Supplementary Leverage Ratio (eSLR).
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)
H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); H.R. 4790 (Volcker Rule Regulatory Harmonization Act); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda); Federal Reserve and FDIC comments on a stress capital buffer (SCB) and an enhanced Supplementary Leverage Ratio (eSLR).
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.
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)
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.
H.R. 1 (An Act to provide for reconciliation pursuant to titles II and V of the concurrent resolution on the budget for fiscal year 2018); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify or eliminate the Sec. 103 exclusion for interest on state and local debt; Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under IRC Sec. 871(m), IRC Sec. 367, and IRC Sec. 385; Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97 (Tax Cuts and Jobs Act); International tax reform.
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)
H.R. 1 (An Act to provide for reconciliation pursuant to titles II and V of the concurrent resolution on the budget for fiscal year 2018); S. 1 (An original bill to provide for reconciliation pursuant to title II of the concurrent resolution on the budget for fiscal year 2018); S. 1005 (Modernization of Derivatives Tax Act of 2017); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; International tax reform; United States individual and business taxation; Issues related to proposals to impose an asset tax on financial institutions; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); A Better Way Forward on Tax Reform Blueprint; House proposal for a destination based cash flow tax; House proposal to limit the section 162 deduction for interest expense; House proposal for a deemed repatriation tax; Proposals to modify or eliminate the Sec. 103 exclusion for interest on state and local debt; Proposals to modify tax incentives for retirement savings and investment; State and local bond exclusion; Infrastructure tax; Trump administration tax proposals; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under IRC Sec. 871(m), IRC Sec. 367, and IRC Sec. 385; Regulations under the Foreign Account Taxpayer Compliance Act (FATCA).
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.
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)
H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).
S. 1005 (Modernization of Derivatives Tax Act of 2017); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; International tax reform; United States individual and business taxation; Issues related to proposals to impose an asset tax on financial institutions; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); A Better Way Forward on Tax Reform Blueprint; House proposal for a destination based cash flow tax; House proposal to limit the section 162 deduction for interest expense; House proposal for a deemed repatriation tax; Proposals to modify or eliminate the Sec. 103 exclusion for interest on state and local debt; Proposals to modify tax incentives for retirement savings and investment; State and local bond exclusion; Infrastructure tax; Trump administration tax proposals; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under IRC Sec. 871(m), IRC Sec. 367, and IRC Sec. 385; Regulations under the Foreign Account Taxpayer Compliance Act (FATCA).
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)