ADAM JACOBS-DEAN

Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) Request for the Financial Stability Oversight Council to restore guidance governing the designation of non-bank financial institutions as systemically important financial institutions Petition for Rulemaking to Reinstate CFTC Regulation 4.13(a)(4) and Add Registration Exemptions for CPOs and CTAs to Harmonize with Registration Exemptions for Investment Advisers under the Investment Advisers Act of 1940 Proposals for SEC Reforms to Democratize Access to Alternative Investments Petition for Rulemaking to Amend Rule 105 of Regulation M Petition for Rulemaking to Amend Rule 3c-5 under the Investment Company Act of 1940 to Expand the Category of Employees Qualifying as Knowledgeable Employees General discussions with staff regarding digital assets, financial stability, nonbank financial institutions

Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) H.R. 3512 - Tackling Predatory Litigation Funding Act - Revisions to Section 70605 - Third Party Litigation Funding Reform Priorities and recommendations for regulatory framework reform H.R.3633 - Digital Asset Market Clarity Act of 2025 H.R.4763 - Financial Innovation and Technology for the 21st Century Act The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization Discussions with staff regarding digital assets, financial stability, nonbank financial institutions, Basel implementation

Securities Exchange Act of 1934, Section 13(f)(2) - Share Sale Disclosure Discussions with staff regarding digital assets, financial stability, valuation of investments and general market issues

SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities FINCEN 31 CFR 1032 and RIN 1506-AB66 and Securities and Exchange Commission 17 CFR 275 and RIN 3235-AN34. Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 1505-AC82 - Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern Document no 2024-12336 - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector RIN 3038-AF25 - Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools General discussions in relation to SEC Form PF

SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities RIN: 3235-AN02 - Shortening the Securities Transaction Settlement Cycle FINCEN-2024-0006 and RIN 1506-AB58. Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Matter No. P239300 - Request to Restart Notice and Comment Process on the Proposed Rulemaking for the HSR Filing Process File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Fed. Reg. 38,342-38,506 - Noncompete Rule General discussions relating to Nonbank Financial Institutions, private credit, digital assets and financial stability issues

File No. SR-CBOE-2023-063 - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend its Rules Relating to Position and Exercise Limits RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers RIN 1210-AC02 - Retirement Security Rule: Definition of an Investment Advice Fiduciary RIN 3038-AF24 - Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM32 - Safeguarding Advisory Client Assets General discussions relating to Nonbank Financial Companies, private credit and financial stability issues

RIN 3235-AN07 - Private Fund Advisers RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities RIN 1506-AB62 - Beneficial Ownership Information Reporting Deadline Extension for Reporting Companies Created or Registered in 2024 RIN 3038-AF25 - Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the Qualified Eligible Person Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments File No SR-FINRA-2023-015 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees RIN 3170-AA78 - Required Rulemaking on Personal Financial Data Rights FSOC Request for Comment - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response

RIN 3235-AM32 - SEC proposed rule on Safeguarding Advisory Client Assets RIN 3235-AN07 - Private Fund Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Reporting of Securities Loans, Position Reporting of Large Security-Based Swap Positions and Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers 12 CFR 1310 - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response FSOC Request for Comment - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response

RIN 3235-AM98 - SEC proposed rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT reporting RIN 1506-AB/49/AB59 - FinCEN proposed rule on Beneficial Ownership Access and Safeguards, and Use of FinCEN identifiers for Entities RIN 3084-AB74 - FTC proposed rulemaking on the Non-Compete Clause RIN 3235-AM32 - SEC proposed rule on Safeguarding Advisory Client Assets FRN 2022-28615 - OFR proposed rule on Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market RIN 3235-AN23 - Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Investment Advisers Act of 1940 - Section 202(a)(11) - SEC no-action letter on compensation under MiFID II arrangements

RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3038-AF31 - Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Federal Register Vol 87, No 110 - CFTC Request for information on Climate-Related Financial Risk Docket ID number: EBSA-2022-0008 - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 SEC Staff No-Action Letter - October 26, 2017 - expiry of hard dollar no action relief RIN 3325-AM98 - Open-End Fund Liquidity Risk Management Programs and Swing Pricing, Form N-PORT RIN 3235-AN18 - Outsourcing by Investment Advisers General discussions re digital assets

RIN 3235-AM96 - Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social and Governance Investment Practices TREAS-DO-2022-0012 - Notice Seeking Public Comment on Additional Transparency for Secondary Market Transactions of Treasury Securities RIN 3235-AN07 - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews RIN 3038-AF31 - Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

RIN 3235-AN02 - Shortening the Securities Transaction Settlement Cycle RIN 3235-AM93 - Modernization of Beneficial Ownership Reporting RIN 3235-AN08 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 3038-AF18 - Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates RIN 3235-AN01 - Reporting of Securities Loans RIN 3235-AN07 - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews REG-118250-20 - Guidance on Passive Foreign Investment Companies and Controlled Foreign Corporations Held by Domestic Partnerships and S Corporations and Related Person Insurance Income RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AM87 - The Enhancement and Standardization of Climate-Related Disclosures for Investors Executive Order 13959 - Chinese Military Companies Sanctions

RIN 3235-AN02 - Shortening the Securities Transaction Settlement Cycle RIN 3235-AM93 - Modernization of Beneficial Ownership Reporting RIN 3235-AN08 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 3235-AM75 - Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers RIN 3235-AK77 - Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions RIN 1506-AB49 - Beneficial Ownership Information Reporting Requirements RIN 3038-AF18 - Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates RIN 3235-AN01 - Reporting of Securities Loans

RIN 1210-AC03 - proposed rule to amend the Employment Retirement Income Security Act (ERISA) of 1974 - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Proposals to shorten the trade settlement cycle RIN 3235-AK67 - Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Sustainability and ESG disclosures for corporate issuers and investment advisers

Investment Company Act of 1940 - Proposed Rule on Good Faith Determinations of Fair Value Employee Retirement Income Security Act of 1974 - Financial Factors in Selecting Plan Investments Proposed Regulation Securities Exchange Act of 1934-Proposed Amendments to CFTC Regulation 3.10(c): Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools; Exemption From Registration for Certain Foreign Persons Investment Advisers Act of 1940 - Proposed Rule on Investment Adviser Advertisements; Compensation for Solicitations

Coronavirus Aid, Relief, and Economic Security Act - HR 748 - Main Street Lending Program ? Term Asset-Backed SEcurities Loan Facility Investment Advisers Act of 1940 - proposed amendments to the advertising rule Investment Advisers Act of 1940 - Proposed Rule Regarding Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Commodity Exchange Act - position limits for derivatives HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - proposed amendments to compliance requirements for commodity pool operators on Form CPO-PQR

HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - harmonization of registration exemptions for CPOs and CTAs with registration exemptions for investment advisers | Post-Trade Name Give-Up on Swap Execution Facilities Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Investment Advisers Act of 1940 - proposed amendments to the advertising rule Commodity Exchange Act - Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act

H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act Issues related to H.R. 5983 - Financial CHOICE Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act

Issues related to HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act

Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act

Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act