JEFF BROWN

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22). H.R. 1807, the Improving Disclosure for Investors Act. General issues regarding the Federal Reserves Overnight Reverse Repurchase Agreement Facility (ON RRP).

SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22).General issues related to the regulation of digital assets.

Retirement savings provisions in H.R. 2617, the Consolidated Appropriations Act of 2303. S. 4808, the Enhancing American Retirement Now Act, and S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.

Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics.

S. 4808, the Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.

Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics. Issues related to the treatment of digital assets. Issues related to environmental, social and governance (ESG) investing. S. 4241, the INDEX Act.

Equity market structure issues, including payment for order flow and trading mechanics. Issues related to the electronic delivery of disclosures and other documents. S. 4241, the INDEX Act.

The Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.

H.R. 6595, Accelerating Charitable Efforts Act. Legislative proposals related to the state and local tax deduction and wealth taxes.

Equity market structure issues, including payment for order flow, settlement times and trading mechanics. Draft legislation to reform securities exchanges. Issues related to the oversight of self-regulatory organizations.

Equity market structure issues, including payment for order flow, settlement times, digital engagement practices and trading mechanics. The issue of common ownership by institutional investors.

Proposals to require reporting to the Internal Revenue Service of customer bank account data when transactions exceed a certain annual threshold.

Legislative proposals (including draft proposals) related to a financial transaction tax, the taxation of unrealized gains and the taxation of in-kind redemptions.

Legislative proposals (including draft proposals) related to a financial transaction tax, the taxation of capital gains and dividends, the estate tax and taxation of in-kind redemptions.

Equity market structure issues, including payment for order flow, settlement times, digital engagement practices and on-exchange vs. off-exchange trading. Issues related to the electronic delivery of documents. The Department of Labors Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees and related guidance.

Legislative proposals related to a financial transaction tax, the taxation of capital gains and dividends and the estate tax.

Equity market structure issues, including payment for order flow, clearing requirements, options trading and settlement times. Issues related to the electronic delivery of documents. Issues related to public company disclosure on diversity and inclusion. Issues related to the regulation of cryptocurrencies.

H.R. 1996/S. 910, the SAFE Banking Act.

SEC Release 34-88216, Market Data Infrastructure. Equity market structure issues, including payment for order flow, clearing requirements, options trading and settlement times. Issues related to the electronic delivery of documents. S. 479, the LOCAL Infrastructure Act, and other legislation related to municipal finance.

Legislative proposals related to a financial transaction tax, the taxation of capital gains and dividends and the estate tax.

Federal Reserve Net Stable Funding Ratio rule (RIN 7100-AE 51). Issues related to the transition from the London Inter-bank Offered Rate (LIBOR).

Regulatory and legislative proposals relating to data aggregation, data protection and privacy.

SEC Release 34-88216, Market Data Infrastructure, and related equity market structure issues. Issues related to the electronic delivery of documents. Draft proposal to reform self-regulatory organizations.

SEC Release 34-88216, Market Data Infrastructure. Issues related to the electronic delivery of documents. Draft proposal to reform self-regulatory organizations.

Draft legislative proposals on retirement savings.

S. 3111, the Brokered Deposit Affiliate-Subsidiary Modernization Act; FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94). The Office of the Comptroller of the Currency (OCC) process for considering applications for national bank charters from non-depository financial technology companies.

S. 4103/HR 6989, the Pandemic Anti-Monopoly Act.

S. 945, the Holding Foreign Companies Accountable Act.

Retirement savings-related provisions of H.R. 6800, the Heroes Act; draft legislative proposals on retirement savings.

Draft legislation related to brokered deposits. FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94); Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).

Retirement savings-related provisions of H.R. 748, the Coronavirus Aid, Recovery and Economic Stimulus (CARES) Act.

Market data and market structure issues. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. Draft legislation related to reform of self-regulatory organizations. SEC Release 34-86031, Regulation Best Interest. SEC Release 34-86032, Form CRS Relationship Summary. Issues related to required bank leverage ratios. Issues related to the Federal Reserves Money Market Mutual Fund Liquidity Facility. Issues related to the SECs Exchange Rebate Tier Agreements.

H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.

Draft legislation related to brokered deposits. H.R. 1595 and S. 1200, the Secure and Fair Banking Enforcement Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).

H.R. 1815, the SEC Disclosure Effectiveness Testing Act. Market data and market structure issues. SEC Release 34-84875, Transaction Fee Pilot for NMS Stocks. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. Draft legislation related to reform of self-regulatory organizations. Issues related to the Federal Reserves support for the repo market. SEC Release 34-86031, Regulation Best Interest. SEC Release 34-86032, Form CRS Relationship Summary.

H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.

H.R. 1815, the SEC Disclosure Effectiveness Testing Act. H.R. 4492, the Consumer Financial Choice and Capital Markets Protection Act. Market data and market structure issues. Issues related to reform of self-regulatory organizations.

Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).

H.R. 1815, the SEC Disclosure Effectiveness Testing Act; SEC Regulation Best Interest (Proposed Rule: Release No. 34-83062; Final Rule: Release No. 34-86031). SEC Form CRS Relationship Summary and related amendments (Proposed Rule: Release No. 34-83063; Final Rule: Release No. 34-83032). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889) and Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA-5248). Market data and market structure issues. Issues related to reform of self-regulatory organizations.

Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20). FDIC Advance Notice of Proposed Rulemaking, Unsafe and Unsound Banking Practices: Brokered Deposits and Interest Rate Restrictions (RIN 3064-AE94).

Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20). FDIC Advance Notice of Proposed Rulemaking, Unsafe and Unsound Banking Practices: Brokered Deposits and Interest Rate Restrictions (RIN 3064-AE94).

H.R. 1815, the SEC Disclosure Effectiveness Testing Act; S. 733, the Consumer Financial Choice and Capital Markets Protection Act; SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Market data and market structure issues.

Implications of the new tax reform law on investment advisers and on charitable giving.

H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).

H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Proposed and Final Rule on Disclosure of Order Handling Information (Release No. 34-84528). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Regulation of exchange-traded funds, including SEC Proposed Rule on Exchange-Traded Funds (Release No. 33-10515). Financial regulatory examination consolidation and coordination. Issues related to the role and responsibilities of self-regulatory organizations.

Implications of the new tax reform law on investment advisers and on charitable giving.

H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Financial regulatory examination consolidation and coordination. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Issues related to the role and responsibilities of self-regulatory organizations.

H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Financial literacy.

H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act.

Draft legislation related to brokered deposits.

Implications of the new tax reform law on investment advisers

H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Best-interest standard for broker-dealers and investment advisers. Issues related to the structure and regulatory responsibilities of the Federal Reserve.

H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act; H.R. 3312, the Systemic Risk Designation Improvement Act. Financial regulatory examination consolidation and coordination. Equity market structure issues, including National Market System governance and oversight of self-regulatory organizations. Regulatory proposals related to the Consolidated Audit Trail. Best-interest standard for broker-dealers and investment advisers. Financial literacy and education.

Draft legislation related to brokered deposits. Bank Secrecy Act/Anti-Money Laundering regulation. Issues related to the Community Reinvestment Act.

Department of Labor Final Rule on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions. Legislative proposals related to these rules. Impact of potential tax reform on retirement savings.

Draft legislation related to brokered deposits. Bank Secrecy Act/Anti-Money Laundering regulation.

Tax reform.

Tax reform.

Department of Labor Final Rule on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions. Legislative proposals related to these rules. Impact of potential tax reform on retirement savings.

Draft legislation related to brokered deposits. Bank Secrecy Act/Anti-Money Laundering regulations. Bank Holding Company capital requirements.

Draft legislation known as the Financial CHOICE Act. Legislative proposals related to financial regulatory examination consolidation and coordination. Draft legislation related to National Market System governance and oversight of self-regulatory organizations. Options regulatory fees. Rule 611 of SEC Regulation NMS (the order protection rule.).

Draft proposals related to tax reform.

Draft legislation related to brokered deposits.

Legislative and draft proposals related to tax reform.

HR 1090, the Retail Investor Protection Act. HR 5983, the Financial CHOICE Act. HR 6392, the Systemic Risk Designation Improvement Act. Draft legislation related to National Market System governance and oversight of self-regulatory organizations. SEC File No. S7-14-16, Disclosure of Order Handling Information. Joint regulatory proposal from multiple agencies on Incentive-based Compensation Arrangements under the Dodd-Frank Act.

Department of Labor Final Rule on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions and proposed amendments to existing rules, and legislation related to the rule.

HR 4216, the Consumer Financial Choice and Capital Markets Protection Act. HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. Draft legislation known as the Financial CHOICE Act. Draft legislation related to National Market System governance and oversight of self-regulatory organizations SEC File No. S7-14-16, Disclosure of Order Handling Information. Joint regulatory proposal from multiple agencies on Incentive-based Compensation Arrangements under the Dodd-Frank Act. Fixed-income price transparency.

Department of Labor Final Rule on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions and proposed amendments to existing rules.

Department of Labor Rule Proposal and Final Rule on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions and proposed amendments to existing rules.

Legislative and regulatory proposals related to cybersecurity and cyberexam coordination.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. Draft legislation known as the Financial CHOICE Act. Draft legislation related to National Market System governance and oversight of self-regulatory organizations. Regulatory proposals related to asset management regulation, including SEC File No. S7-16-15, Open-End Fund Liquidity Risk Management Programs. Investment adviser oversight.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. S. 1484, the Financial Regulatory Improvement Act. S. 1802, the Consumer Financial Choice and Capital Markets Protection Act. Regulatory proposals related to asset management regulation, including SEC File No. S7-16-15, Open-End Fund Liquidity Risk Management Programs. Regulatory proposals related to fixed income market structure and price transparency; to National Market System governance and oversight of self-regulatory organizations.

Department of Labor Rule Proposal on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions and proposed amendments to existing rules.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. S. 1484, the Financial Regulatory Improvement Act. Regulatory proposals related to asset management regulation, including SEC File No. S7-16-15, Open-End Fund Liquidity Risk Management Programs. Regulatory proposals related to fixed income market structure and price transparency; to National Market System governance and oversight of self-regulatory organizations; and to the designation of financial institutions as systemically important. Legislative proposals related to the oversight and transparency of the Federal Reserve.

Legislation related to expired and expiring tax provisions, including H.R. 2029, the Consolidated Appropriations Act.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. H.R. 1216, Maker-Taker Conflict of Interest Reform Act of 2015. S. 1484, the Financial Regulatory Improvement Act. Regulatory proposals related to asset management regulation, including SEC File No. S7-08-15, Investment Company Reporting Modernization; SEC File No. S7-09-15, Amendments to Form ADV and Investment Advisers Act Rules; SEC File No. S7-11-15, Request for Comment on Exchange-Traded Products and SEC File No. S7-16-15, Open-End Fund Liquidity Risk Management Programs. Regulatory proposals related to fixed income market structure; to National Market System governance and oversight of self-regulatory organizations; and to the designation of financial institutions as systemically important. Legislative proposals related to oversight and transparency of the Federal Reserve.

Legislation related to expired and expiring tax provisions. Senate Finance Committee draft legislation to prevent identity theft and tax refund fraud.

Department of Labor Rule Proposal on the Definition of the Term Fiduciary and Conflicts of Interest - Retirement Investment Advice (RIN 1210-AB32) and its related Proposed Best Interest Contract Exemption, Proposed Class Exemption for Principal Transactions and proposed amendments to existing rules. Tax reform proposals as they relate to retirement savings tax incentives.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. H.R. 1216, Maker-Taker Conflict of Interest Reform Act of 2015. S. 1484, the Financial Regulatory Improvement Act. Regulatory proposals related to equity market structure, including SEC File No. 4-657, a proposed National Market System Plan to Implement a Tick Size Pilot Program. Regulatory proposals related to asset management regulation, including SEC File No. S7-08-15, Investment Company Reporting Modernization; SEC File No. S7-09-15, Amendments to Form ADV and Investment Advisers Act Rules; and SEC File No. S7-11-15, Request for Comment on Exchange-Traded Products. Regulatory proposals related to fixed income market structure. Regulatory proposals related to National Market System governance and oversight of self-regulatory organizations. Regulatory proposals related to the harmonization of broker-dealers and investment advisers under a fiduciary standard. Legislative proposals related to the oversight of the Federal Reserve and the Financial Stability Oversight Council.

Tax reform proposals as they relate to retirement savings tax incentives.

HR 644, America Gives More Act of 2015. HR 637, the Permanent IRA Charitable Contribution Act of 2015. HR 1105 and S 860, the Death Tax Repeal Act of 2015. Other tax reform issues, including the taxation of capitals gains and dividends.

HR 1309, the Systemic Risk Designation Improvement Act of 2015. HR 1090, the Retail Investor Protection Act. H.R. 1216: Maker-Taker Conflict of Interest Reform Act of 2015. Regulatory proposals related to equity market structure, including SEC File No. 4-657, a proposed National Market System Plan to Implement a Tick Size Pilot Program; National Market System governance; and asset manager regulation. Regulatory proposals related to fixed income market structure. Regulatory proposals related to the definition of fiduciary, the harmonization of broker-dealers and investment advisers under a fiduciary standard, and conflicts of interest. Legislative proposals related to the oversight of the Federal Reserve and the Financial Stability Oversight Council.

HR 4619, the Permanent IRA Charitable Contribution Act. HR 5771, the tax extenders bill. House Ways & Means Committee Discussion Draft, The Tax Reform Act of 2014.

HR 4060, the Systemic Risk Designation Improvement Act. S. 2114, the Bond Transparency Act. HR 3448, the Small Cap Liquidity Reform Act. HR 4387, the FSOC Transparency and Accountability Act. SEC Release IC-31184, related to the removal of certain references to credit ratings in the Money Market Fund Rule. Regulatory proposals related to equity market structure, including SEC File No. 4-657, a proposed National Market System Plan to Implement a Tick Size Pilot Program.

HR 3448, the Small Cap Liquidity Reform Act. HR 1062, the SEC Regulatory Accountability Act. SEC Release 33-9408, Money Market Fund Reform. SEC Release 34-69013, a request for data on the duties of brokers, dealers and investment advisers. Joint rule proposal from the Federal Reserve, FDIC and the Office of the Comptroller of the Currency on Liquidity Coverage Ratio. The Treasury Office of Financial Research report Asset Management and Financial Stability. Regulatory proposals related to theimplementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to harmonizing broker-dealers and investment advisers under similar standards of care; systemic risk; and market structure. Municipal bond price transparency.

Legislation related to data breaches and cybersecurity, including S. 1353, the Cybersecurity Act. Legislation related to privacy, including S. 635, the Privacy Notice Modernization Act.

HR 3448, the Small Cap Liquidity Reform Act. HR 2374, the Retail Investor Protection Act. HR 1062, the SEC Regulatory Accountability Act. S 450, the Financial Regulatory Responsibility Act. SEC Release 33-9408, Money Market Fund Reform. SEC Release 34-69013, a request for data on the duties of brokers, dealers and investment advisers. SEC Release BHCA-1, the Volcker Rule. Regulatory proposals related to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act,including proposals related to harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; capital standards; the Liquidity Coverage Ratio; market structure. The Treasury Office of Financial Research report Asset Management and Financial Stability.

Various tax reform issues, including the House Ways & Means Committee Discussion Draft on the Taxation of Financial Products; tax incentives for retirement savings; tax incentives for charitable giving; income tax rates; and corporate taxation.

HR 2374, the Retail Investor Protection Act. HR 1062, the SEC Regulatory Accountability Act. S 450, the Financial Regulatory Responsibility Act. Draft legislation to create a pilot program to increase tick sizes for certain securities. SEC Release 33-9408, Money Market Fund Reform. SEC Release 34-69013, a request for data on the duties of brokers, dealers and investment advisers. Regulatory proposals releated to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, includingproposals related to harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; capital standards; and market structure.

Various tax reform issues, including the House Ways & Means Committee Discussion Draft on the Taxation of Financial Products; tax treatment of charitable giving; income tax rates; corporate taxation; taxation of capital gains and dividend income; and tax incentives for retirement savings.

Legislation related to cybersecurity, including S. 21, the Cybersecurity and American Cyber Competitiveness Act; H.R. 624, the "Cyber Intelligence Sharing and Protection Act" and HR 756, the Cybersecurity Enhancement Act.

HR 2171 and S1145, the Lifetime Income Disclosure Act. S. Con. Res. 12, a concurrent resolution expressing the sense of the Senate that our current tax incentives for retirement savings provide important benefits for Americans. Regulatory proposals related to the definition of fiduciary.

Various tax reform issues, including the House Ways & Means Committee Discussion Draft on the Taxation of Financial Products; tax treatment of charitable giving; income tax rates; corporate taxation; taxation of capital gains and dividend income; and tax incentives for retirement savings. HR 880 and S 410, the Wall Street Trading and Speculators Act. S 277, the Job Preservation and Economic Certainty Act. HR 2429 and S 1183, the Death Tax Repeal Act.

HR 1062, the SEC Regulatory Accountability Act. S 450, the Financial Regulatory Responsibility Act. Regulatory proposals related to money market funds, including FSOC-2012-0003. Regulatory proposals related to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; and market structure. SEC Release 34-69013, a request for dataon the duties of brokers, dealers and investment advisers.

S 388, the American Family Economic Protection Act. S Con Res 8, the Senate's budget proposal. H. Con Res. 25, the House's budget proposal.

HR 4624, the Investment Adviser Oversight Act. HR 6204, the Investment Adviser Examination Improvement Act. HR 2308, the SEC Regulatory Accountability Act. S 1615, the Financial Regulatory Responsibility Act. S. 3637, a bill to temporarily extend the transaction account guarantee program. Regulatory proposals related to money market funds, including FSOC-2012-0003. Regulatory proposals related to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including consumer protection; systemic risk; market structure; orderly liquidation authority; and the "Volcker Rule."

Legislation related to the "fiscal cliff," including HR 8, the American Taxpayer Relief Act, and its predecessor bills. Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculators Tax Act.

Legislation related to cybersecurity, privacy and data security, including S. 2105/S. 3414, the Cybersecurity Act; S 3342, the SECURE IT Act; S 3333, the Data Security and Breach Notification Act; S 1207, the Data Security and Breach Notification Act; HR 2577, the SAFE Data Act; and S. 799, the Commercial Privacy Bill of Rights Act.

HR 4624, the Investment Adviser Oversight Act. HR 6204, the Investment Adviser Examination Improvement Act. HR 2308, the SEC Regulatory Accountability Act. S 1615, the Financial Regulatory Responsibility Act. HR 2434/HR 6020, the Financial Services and General Government Appropriations Act. HR 6317, the Terminating the Expansion of Too-Big-to-Fail Act. Regulatory proposals related to money market funds and to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; orderly liquidation authority; and the "Volcker Rule."

Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculators Tax Act. S. 2230 and HR 3903, the Paying a Fair Share Act. Other legislative proposals related to the extension of tax cuts scheduled to expire at the end of 2012.

Legislation related to retirement savings, including S 557, the Public Good IRA Rollover Act; S 267/HR 677, the Lifetime Income Disclosure Act; HR 1534, the SAVE Act; HR 3561, the Small Business Pension Promotion Act; HR 4050, the Retirement Plan Simplification and Enhancement Act; and S 1557, the Automatic IRA Act. Regulatory proposals related to retirement savings, including the Department of Labors proposed definition of fiduciary(RIN 1210-AB32) (continued) and the Department of Labors Field Assistance Bulletin 2012-02.

Legislation related to retirement savings, including S 557, the Public Good IRA Rollover Act; S 267/HR 677, the Lifetime Income Disclosure Act; HR 1534, the SAVE Act; HR 3561, the Small Business Pension Promotion Act; HR 4050, the Retirement Plan Simplification and the Enhancement Act; and S 1557, the Automatic IRA Act. Regulatory proposals related to retirement savings, including the Department of Labor's proposed definition of "fiduciary" (RIN 1210-AB32).

HR 3630, the Middle Class Tax Relief and Job Creation Act, and related bills focusing on the extension of the payroll tax cut. Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculators Tax Act. S. 2230, the Paying a Fair Share Act.

Legislation related to the extension of the payroll tax cut, including; HR 3630, the Middle Class Tax Relief and Job Creation Act; S 1917 and S 1944, the Middle Class Tax Cut Act; S. 1931, the Temporary Tax Holiday and Government Reduction Act; and HR 3765, the Temporary Payroll Tax Cut Continuation Act. Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculators Tax Act.

HR 1121, the Responsible Consumer Financial Protection Regulations Act. HR 2308, the SEC Regulatory Accountability Act. S 1615, the Financial Regulatory Responsibility Act. HR 557, the Consumer Financial Protection Oversight Act. Discussion drafts of the "SEC Modernization Act" and the "Investment Adviser Oversight Act." Regulatory proposals related to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to harmonizing (continue) broker-dealers and investment advisers under similar standards of care; consumer protection ; systemic risk; orderly liquidation authority; and the "Volcker Rule." Other regulatory proposals related to money-market mutual fund reforms, the Labor Department's proposal to modify the definition of "fiduciary," and other securities issues.

Legislation related to cybersecurity, including S 41, the Cybersecurity and Internet Freedom Act. Legislation related to online privacy and data security, including HR 1528, the Consumer Privacy Protection Act; S 913, the Do-Not-Track Online Act; HR 1535, the Personal Data Protection Act; S 1207, the Data Security and Breach Notification Act; S 1151, the Personal Data Privacy and Security Act; S1408, the Data Breach Notification Act; HR 2577, the SAFE Data Act; and HR1707, the Data Accountability (cont.) and Trust Act.

Issues related to comprehensive tax reform and corporate tax reform. HR 4, the Comprehensive 1099 Taxpayer Protection and Repayment of Exchange Subsidy Overpayments Act of 2011.

Issues related to comprehensive tax reform and corporate tax reform. HR 4, the Comprehensive 1099 Taxpayer Protection and Repayment of Exchange Subsidy Overpayments Act of 2011.

Legislation related to interchange fees, including S 575, the Debit Interchange Fee Study Act. HR 1121, the Responsible Consumer Financial Protection Regulations Act. Regulatory proposals related to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to investor protection; harmonizing broker-dealers and investment advisers under similar standards fo care; consumer protection; systemic risk; orderly liquidation authority; deposit insurance fees; data collection; corporate governance; references to credit ratings in various securities laws; and bank regulation. Other regulatory proposals related to money-market mutual fund reforms, the Labor Department's proposal to modify the definition of "fiduciary," and other securities issues.

Legislation related to cybersecurity, including S. 413 and HR 174; draft legislation related to online privacy, including the draft "Kerry-McCain" bill.

Legislation and regulatory proposals related to target-date funds; retirement savings (including S 557, the Public Good IRA rollover Act, and S 267/HR 677, the Lifetime Income Disclosure Act); and the impact of the Department of Labor's proposed definition of "fiduciary" (RIN 1210-AB32) on individual retirement accounts.

Legislation related to interchange fees, including S 575, the Debit Interchange Fee Study Act. HR 1121, the Responsible Consumer Financial Protection Regulations Act. Regulatory proposals related to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to investor protection; harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; orderly liquidation authority; deposit insurance fees; data collection; corporate governance; and bank regulation. Other regulatory proposals related to money-market mutual fund reforms, the Labor Department's proposal to modify the definition of "fiduciary," and other securities issues.

Bills related to extension of the expiring Bush tax cuts (including S 3793, the Job Creation and Tax Cuts Act of 2010, and HR 4853, the Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010); bills related to the extension of expired tax provisions, including HR 4213; and proposals related to the imposition of a "bank tax."

Regulatory proposals related to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to investor protection, harmonizing broker-dealer and investment advisers under similar standards of care, consumer protection, systemic risk, resolution authority, and bank regulation. Other regulatory proposals related to money-market mutual fund reforms, mutual funds fees, target-date funds, the Labor Dept's proposal to modify the definition of "fiduciary," Market sturcture, municipal securities, and other securities issues.

Legislation and regulatory proposals related to target-date funds, retirement savings (including the retirement savings provisions in HR 5297), HR 6099 and S 3760 (the Automatic IRA Act), fee disclosure in 401(k) plans (including HR 2989 and HR 2779, as well as the fee disclosure provisions included in HR 4213), investment advice for 401(k) plans (including HR 1988), lifetime income options for retirees (including S 2832 and Labor Department RIN 1210-AB33).

Legislation related to cybersecurity, including S. 3480 and S. 773; draft legislation related to online privacy (including the yet-to-be-introduced "Boucher Bill"); HR 2221, Data Accountability and Trust Act.

Legislation related to a securities transaction tax, including HR 1068, HR 4191, and S 2997; bills related to the extension of expired tax provisions, including HR 4213; proposals related to the imposition of a bank tax; and proposals related to extension of the expiring Bush tax cuts, with a specific focus on the estate tax and the capital gains/dividend tax rate.

Legislation and regulatory proposals related to target-date funds, retirement savings, fee disclosure in 401(k) plans (including HR 2989 and HR 2779, as well as the fee disclosure provisions included in HR 4213), investment advice for 401(k) plans (including HR 1988), and legislation related to lifetime income options for retirees, including S 2832.

S 773, the Cybersecurity Act; bills related to data protection and privacy, including S 139, Data Breach Notification Act; S 141, Protecting the Privacy of Social Security Numbers Act; S 1490, Personal Data Privacy and Security Act; HR 2221, DATA Act.

Legislation related to a securities transaction tax, including HR 1068, HR 4191 and S 2997; bills related to the extension of expired and expiring tax provisions, including HR 4213 (Tax Extenders Act); bills related to the estate tax, including HR 436 and HR 4154; and legislation related to new taxes on unearned income, inclduing HR 4872 (Health Care and Education Reconciliation Act).

Legislation related to retirement security, including S 401 (Defined Contribution Plan Fee Disclosure Act), HR 1961 (Savings for American Families' Future Act), HR 1988 (Conflicted Investment Advice Prohibition Act), HR 1984/HR 2989 (401(k) Fair Disclosure for Retirement Security Act), HR 2779 (Defined Contribution Plan Fee Transparency Act) and HR 4126 (Retirement Fairness Act).

Bills related to data protection and privacy, including S. 139, Data Breach Notification Act; S. 141, Protecting the Privacy of Social Security Numbers Act; S. 1490, Personal Data Privacy and Security Act; HR 2221, DATA Act, and S. 773, the Cybersecurity Act.

Legislation related to data security and identity theft, including S 139 (Data Breach Notification Act); S 141 (Protecting the Privacy of Social Security Numbers Act); S 773 (Cybersecurity Act); and HR 2221 (DATA Act).

Legislation related to the capital markets, including HR 302 and S 605, bills related to short sales of securities; HR 3126, to create a Consumer Financial Protection Agency; S 1074, the Shareholder's Bill of Rights; HR 2622, the Compliance, Examinations and Inspections Act; bills related to financial literacy, including S. 638, S 1339, HR 1325, HR 1645, HR 2012 and HR 3037; and draft legislation related to harmonizing standards of broker-dealers and investment advisers.

HR 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities. S 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities. S 638/HR 1645, the Financial and Economic Literacy Improvement Act of 2009 H. Res. 65, Expressing the support of the House of Representatives for efforts to increase financial literacy in the United States. S. 331, Supplemental Anti-Fraud Enforcement for our Markets Act HR 703, To promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements. HR 1068, Let Wall Street Pay for Wall Street's Bailout Act of 2009 HR 2622, Compliance, Examinations, and Inspections Restructuring Act of 2009 S. 1074, Shareholder Bill of Rights Act of 2009 S.664/HR 1754, Financial System Stabilization and Reform Act ofd 2009

S. 401 - The Defined Contribution Plan Fee Disclosure Act H.R. 1961 - Savings for American Families' Future Act of 2009 H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009 H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009

H.R. 1106 - Helping Families Save Their Houses Act of 2009 H.R. 1726 -- Mortgage Reform and Anti-Predatory Lending Act

S. 401 - The Defined Contribution Plan Fee Disclosure Act H.R. 1961 - Savings for American Families' Future Act of 2009

HR 1068, Let Wall Street Pay for Wall Street's Bailout Act of 2009 HR 1586, To impose an additional tax on bonuses received from certain TARP recipients.

H.R. 1424 -- Emergency Economic Stabilization Act

H.R. 7327 -- Worker, Retiree and Employer Recovery Act H.R. 3185 -- Fair Disclosure for Retirement Security Act S. 2473 -- Defined Contribution Fee Disclosure Act H.R. 3765 -- Defined Contribution Plan Fee Transparency Act S. 1141/H.R. 2167 -- Automatic IRA Act H.R. 5160 -- The Small Business Add Value for Employees Act

H.R. 7201 -- Energy Improvement and Extension Act H.R. 7202 -- Temporary Tax Relief Act H.R. 7060 -- Renewable Energy and Job Creation Act

H.R. 1525, the Internet Spyware Prevention Act. H.R. 964, the Securely Protect Yourself Against Cyber Trespass Act H.R. 1685/S. 1260, the Data Security Act S. 1202, the Personal Data Protection Act S. 495, the Personal Data Privacy and Security Act S. 239, the Notification of Risk to Personal Data Act S. 1178, the Identity Tehft Protection Act S. 806, Consumer ID Protection and Security Act S. 1625, the Counter Spy Act H.R. 3046, the Social Security Number Privacy and Identity Theft Prevention Act H.R. 948, the Social Security Number Protection Act. H.R. 1967, Financial Privacy Notice Relief Act H.R. 958, the Data Accountability and Trust Act H.R. 3010/S. 1782, the Fair Arbitration Act S. 2168, the Identity Theft Enforcement and Restitution Act H.R. 4175, the Privacy and Cybercrome Enforcement Act. H.R. 5244, the Credit Cardholders Bill of Rights Act

H.R. 1424/H.R. 3997 -- Emergency Ecomomic Stablization Act

H.R. 878/ S. 601 Simplification through Additional Tax Reporting Tax (START) Act H.R.6513 To amend the Federal securities laws to enhance the effectiveness of the Securities and Exchange Commission's enforcement, corporation finance, trading and markets, investment management, and examination programs, and for other purposes.

H.R 2312/ S.502 to repeal the sunset date on the current tax rates for capital gains and dividends. H.R. 4351 The AMT Relief Act H.R. 3996 Temporary Tax Relief Act of 2007 H.R. 3056 Tax Collection Responsibility Act of 2007

H.R.1908/ S. 1145 Patent Reform Act

H.R 2312/ S.502 to repeal the sunset date on the current tax rates for capital gains and dividends. H.R. 4351 The AMT Relief Act H.R. 3996 Temporary Tax Relief Act of 2007 H.R. 3056 Tax Collection Responsibility Act of 2007

H.R. 3185 Fair Disclosure for Retirement Security Act S. 2473 Defined Contribution Fee Disclosure Act of 2007 H.R. 3765 The Defined Contribution Plan Fee Transparency Act S 819/HR 1419 The Public Good IRA Rollover Act S. 1141 Automatic IRA Act of 2007 S. 1288 Women's Retirement Security Act of 2007

H.R 2312/ S.502 to repeal the sunset date on the current tax rates for capital gains and dividends. H.R. 4351 The AMT Relief Act H.R. 3996 Temporary Tax Relief Act of 2007 H.R. 3056 Tax Collection Responsibility Act of 2007

H.R. 3185 Fair Disclosure for Retirement Security Act S. 2473 Defined Contribution Fee Disclosure Act of 2007 H.R. 3765 The Defined Contribution Plan Fee Transparency Act S 819/HR 1419 The Public Good IRA Rollover Act

H.R. 1525 Internet Spyware (I-SPY) Prevention Act of 2007 H.R. 964 Securely Protect Yourself against Cyber Trespass H.R. 1685/ S. 1260 Data Security Act of 2007 S. 1202 Personal Data Protection Act of 2007