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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.
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
VANGUARD GROUP via VANGUARD GROUP
2013 · second_quarter · Q2
Issues related to cybersecurity, infrastructure protection and security technology
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees) H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks
Source: Senate LDA
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues related to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees) H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Speculators Tax) (see attached addendum page)Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Issues related to tax incentives for retirement savings Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stocks and bonds
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Speculators Tax) (see attached addendum page)Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Issues related to tax incentives for retirement savings Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stocks and bonds
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues related to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues relating to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security Transaction Tax Proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Tax Hike Prevention & Business Certainty Act H.R.3091 and S.1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security transaction tax proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues related to commodity related investments Issues related to tax treatment of exchange-traded notes (ETNs)
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
Retirement Plan Simplification and Enhancement Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Retirement Plan Simplification and Enhancement Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Retirement Plan Simplification and Enhancement Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Retirement Plan Simplification and Enhancement Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
Liquidity Enhancement for Small Public Companies Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to H.R. 6127 - Liquidity Enhancement for Small Public Companies Act Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to retirement target date funds Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Liquidity Enhancement for Small Public Companies Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, orderly liquidation authority, and systemic risk Issues related to exchange-traded funds (ETFs) (see attached addendum page) Issues related to swap execution facility trading and reporting Issues related to use of derivatives by mutual funds Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Proposals related to market-maker incentive programs (H.R. 6127) Issues related to CFTC Rule 4.5 on commodity pool operators
Terminating the Expansion of Too-Big-To-Fail Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, orderly liquidation authority, and systemic risk Issues related to exchange-traded funds (ETFs) (see attached addendum page) Issues related to swap execution facility trading and reporting Issues related to use of derivatives by mutual funds Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Proposals related to market-maker incentive programs (H.R. 6127) Issues related to CFTC Rule 4.5 on commodity pool operators
Terminating the Expansion of Too-Big-To-Fail Act of 2012
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to H.R. 6127 - Liquidity Enhancement for Small Public Companies Act Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to retirement target date funds Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
To protect securities transactions in the United States from enforcement of certain excise taxes imposed by any foreign government, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors proposed fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds 401(k) fee disclosures 401(k) investment advice Issues related to electronic delivery of employee plan notices and statements Proposals to simplify retirement plan administration
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to 401(k) fee disclosures and investment advice in retirement plans Proposals to expand electronic delivery of retirement plan notices Proposals to promote creation and maintenance of employer-sponsored retirement plans Proposals to expand self-correction programs for retirement plan compliance errors
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gain and dividend tax rates as they relate to mutual funds (including draft legislation that subsequently became the Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647) (see attached addendum sheet) Issues related to a securities transaction tax Issues related to limiting the tax-free nature of municipal bond income
To make permanent the individual income tax rates for capital gains and dividends.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds (see attached addendum sheet) Transaction tax proposals Tax rules regarding mutual fund investments in commodities Tax treatment of exchange traded notes
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors proposed fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds 401(k) fee disclosures 401(k) investment advice Issues related to electronic delivery of employee plan notices and statements Proposals to simplify retirement plan administration
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations derivatives, systemic risk, and Orderly Liquidation Authority, SIFI Rules Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to systemic risk regulation Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry Issues related to standards for audited financial statement reports, auditor independence and audit firm rotation (PCAOB) Issues regarding prohibition against conflicts of interest in certain securitizations Issues relating to exchange traded funds
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations specifically, derivatives, systemic risk, and orderly liquidation authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to investment advice Issues related to municipal disclosure Issues related to adoption of rules governing communications with the public, use of investment company rankings, and requirements for the use of bond mutual fund volatility ratings Issues relating to credit risk retention Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues associated with possible revisions to the Public Company Accounting Oversight Boards standards relating to reports on audited financial statements Issues related to the Financial Stability Oversight Council and mutual funds Issues related to regulation of money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors proposed fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds 401(k) fee disclosures 401(k) investment advice Issues related to electronic delivery of employee plan notices and statements Proposals to simplify retirement plan administration
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to 401(k) fee disclosures and investment advice in retirement plans Proposals to expand electronic delivery of retirement plan notices Proposals to promote creation and maintenance of employer-sponsored retirement plans Proposals to expand self-correction programs for retirement plan compliance errors
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues related to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Issues related to reductions in the federal debt and federal budget deficit
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2013 · first_quarter · Q1
Issues related to cybersecurity
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Speculators Tax) (see attached addendum page)Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Issues related to tax incentives for retirement savings Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stocks and bonds
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues relating to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2012 · fourth_quarter · Q4
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to H.R. 6127 - Liquidity Enhancement for Small Public Companies Act Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to retirement target date funds Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2012 · third_quarter · Q3
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, orderly liquidation authority, and systemic risk Issues related to exchange-traded funds (ETFs) (see attached addendum page) Issues related to swap execution facility trading and reporting Issues related to use of derivatives by mutual funds Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Proposals related to market-maker incentive programs (H.R. 6127) Issues related to CFTC Rule 4.5 on commodity pool operators
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2012 · second_quarter · Q2
Tax Hike Prevention & Business Certainty Act H.R.3091 and S.1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security transaction tax proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues related to commodity related investments Issues related to tax treatment of exchange-traded notes (ETNs)
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Issues related to Commodity Futures Trading Commission Rule 4.5 on commodity pool operators
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Issues relevant to reductions in the federal debt and federal budget deficit
Issues related to operational and cost impact of closing an important postal facility and proposed changes to postal rate structure
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2012 · first_quarter · Q1
Issues related to operational and cost impact of closing an important postal facility and proposed changes to postal rate structure
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
VANGUARD GROUP via VANGUARD GROUP
2011 · fourth_quarter · 4A
General tax issues related to mutual funds Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds (see attached addendum sheet) Transaction tax proposals Tax rules regarding mutual fund investments in commodities Tax treatment of exchange traded notes
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations derivatives, systemic risk, and Orderly Liquidation Authority, SIFI Rules Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to systemic risk regulation Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry Issues related to standards for audited financial statement reports, auditor independence and audit firm rotation (PCAOB) Issues regarding prohibition against conflicts of interest in certain securitizations Issues relating to exchange traded funds
VANGUARD GROUP via VANGUARD GROUP
2011 · third_quarter · Q3
General tax issues related to mutual funds Capital gain and dividend tax rates as they relate to mutual funds (including draft legislation that subsequently became the Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647) (see attached addendum sheet) Issues related to a securities transaction tax Issues related to limiting the tax-free nature of municipal bond income
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to 401(k) fee disclosures and investment advice in retirement plans Proposals to expand electronic delivery of retirement plan notices Proposals to promote creation and maintenance of employer-sponsored retirement plans Proposals to expand self-correction programs for retirement plan compliance errors
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security Transaction Tax Proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives and systemic risk Issues related to securities transactions and holdings (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors proposed fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds 401(k) fee disclosures 401(k) investment advice Issues related to electronic delivery of employee plan notices and statements Proposals to simplify retirement plan administration
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC)
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations specifically, derivatives, systemic risk, and orderly liquidation authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to investment advice Issues related to municipal disclosure Issues related to adoption of rules governing communications with the public, use of investment company rankings, and requirements for the use of bond mutual fund volatility ratings Issues relating to credit risk retention Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues associated with possible revisions to the Public Company Accounting Oversight Boards standards relating to reports on audited financial statements Issues related to the Financial Stability Oversight Council and mutual funds Issues related to regulation of money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)