PETER GUNAS iii

S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025 S. 1808, Access to Small Business Investor Capital Act S. 1877, Improving Disclosure for Investors Act of 2025 S. 2840, Financial Exploitation Prevention Act of 2025 H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025 H.R. 2225, Access to Small Business Investor Capital Act H.R. 2441, Improving Disclosure for Investors Act of 2025 H.R. 2478, Financial Exploitation Prevention Act of 2025 H.R. 3383, Increasing Investor Opportunities Act H.R. 3633, Digital Asset Market Clarity Act of 2025 H.R. 3682, Financial Stability Oversight Council Improvement Act of 2025 H.R. 3959, Protecting Private Job Creators Act Escheatment of securities Exempt unlisted BDCs from State regulation Investment Company Act of 1940 modernization Outbound Investment Security Program Protecting Americans Savings Act Proxy process reform

H.R. 2869, EBSA Investigations Transparency Act H.R. 2958, Balance the Scales Act H.R. 2988, Protecting Prudent Investment of Retirement Savings Act H.R. 5325, Unclaimed Retirement Rescue Plan Executive Order on Democratizing Access to Alternative Assets for 401(k) Investors ERISA litigation reform and pleading standards

S. 1526, Retirement Savings for Americans Act of 2025 S. 1839, Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act H.R. 591, Defending American Jobs and Investment Act / Section 899 H.R. 2089, Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act H.R. 2696, Retirement Savings for Americans Act of 2025 Australia Public Country-by-Country Reporting Municipal bond interest tax exemption Regulated Investment Company asset diversification requirements and good income test Tax deferral of retirement contributions

H.R. 1, One Big Beautiful Bill Act implementation (Trump Accounts)

S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025 S. 1053, Foreign Investment Guardrails to Help Thwart (FIGHT) China Act of 2025 S. 1808, Access to Small Business Investor Capital Act S. 1877, Improving Disclosure for Investors Act of 2025 H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025 H.R. 2246, Foreign Investment Guardrails to Help Thwart (FIGHT) China Act of 2025 H.R. 2441, Improving Disclosure for Investors Act of 2025 H.R. 2225, Access to Small Business Investor Capital Act H.R. 3682, Financial Stability Oversight Council Improvement Act of 2025 H.R. 3383, Increasing Investor Opportunities Act H.R. 3959, Protecting Private Job Creators Act Escheatment of securities Investment Company Act of 1940 modernization

S. 928, Protecting Americans Retirement Savings Act S. 1707, Helping Young Americans Save for Retirement Act H.R. 2869, EBSA Investigations Transparency Act H.R. 2988, Protecting Prudent Investment of Retirement Savings Act DOL Guidance on Holding Cryptocurrency in 401(k) Plans ERISA litigation reform and pleading standards

S. 424, Retirement Fairness for Charities and Educational Institutions Act of 2025 H.R. 1013, Retirement Fairness for Charities and Educational Institutions Act of 2025 H.R. 2441, Improving Disclosure for Investors Act H.R. 2478, Financial Exploitation Prevention Act Financial Stability Oversight Council Improvement Act Increasing Investor Opportunities Act Investment Company Act of 1940 modernization Outbound investment screening Escheatment of securities SEC Form N-PORT Reporting and Liquidity Risk Management Guidance

H.R. 2067, Protecting Americans Retirement Savings Act S. 928, Protecting Americans Retirement Savings Act ERISA litigation pleading standards

H.R. 500, Financial Exploitation Prevention Act of 2023 H.R. 1807, Improving Disclosure for Investors Act of 2023 H.R. 2627, Increasing Investor Opportunities Act H.R. 2799, Expanding Access to Capital Act of 2023 H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act of 2023 H.R. 3812, Financial Stability Oversight Council Improvement Act of 2023 H.R. 4645, Empowering Shareholders Act of 2023 H.R. 4790, Prioritizing Economic Growth Over Woke Policies Act H.R. 7030, Review the Expansion of Government Act of 2024 H.R. 8339, SEC Reform and Restructuring Act H.J. Res. 120, Congressional Disapproval of FSOC rule on "Guidance on Nonbank Financial Company Determinations" H. Res. 1587, Resolution recognizing the 100th anniversary of the Mutual Fund S. 1481, Financial Exploitation Prevention Act of 2023 S. 3601, Financial Stability Oversight Council Improvement Act of 2024 S. 3815, Improving Disclosure for Investors Act of 2024 S. 4917, Retirement Fairness for Charities and Educational Institutions Act of 2024 S. 5139, Empowering Main Street in America Act Comprehensive Outbound Investment National Security Act of 2024 (Title V, H.R. 10445) SEC Form N-PORT Reporting and Liquidity Risk Management Guidance

H.R. 6065, Retirement Savings for Americans Act H.R. 7293, Automatic IRA Act of 2024 S. 3102, Retirement Savings for Americans Act S. 4014, Precious Metals Parity Act S. 4398, Retirement Investment in Small Employers Act SECURE 2.0 Act technical corrections IRC section 852(b)(6) Tax deferral of retirement contributions Regulated Investment Company modernization (asset diversification, good income rule)

H.R. 5339, Protecting Americans' Investments from Woke Policies Act H.R. 9281, Helping Young Americans Save for Retirement Act S. 3305, Helping Young Americans Save for Retirement Act H.J. Res. 142, Congressional Disapproval of DOL rule relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" S.J. Res. 79, Congressional Disapproval of DOL rule relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary"

H.J. Res. 142, Congressional Disapproval of DOL rule relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary" S.J. Res. 79, Congressional Disapproval of DOL rule relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary"

H.R. 6065, Retirement Savings for Americans Act H.R. 7293, Automatic IRA Act of 2024 S. 3102, Retirement Savings for Americans Act S. 4014, Precious Metals Parity Act S. 4398, Retirement Investment in Small Employers Act Implementation of SECURE 2.0 Act of 2022 IRC section 852(b)(6) Tax deferral of retirement contributions

H.R. 4008, Protecting Americans Retirement Savings Act S. 3305, Helping Young Americans Save for Retirement Act Department of Labor QPAM proposal Department of Labor Fiduciary proposal

H.R. 448, Putting Investors First Act of 2023 H.R. 500, Financial Exploitation Prevention Act of 2023 H.R. 760, Chinese Military and Surveillance Company Sanctions Act of 2023 H.R. 1807, Improving Disclosure for Investors Act of 2023 H.R. 2627, Increasing Investor Opportunities Act H.R. 2799, Expanding Access to Capital Act of 2023 H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act of 2023 H.R. 3812, Financial Stability Oversight Council Improvement Act of 2023 H.R. 4168, Mandatory Materiality Requirement Act of 2023 H.R. 4237, Ensuring Sound Guidance Act H.R. 4600, Protecting Retail Investors Savings Act H.R. 4645, Empowering Shareholders Act of 2023 H.R. 4767, Protecting Americans Retirement Savings from Politics Act H.R. 4790, GUARDRAIL Act of 2023 H.R. 6783, Capital Markets Financing and Economic Growth Investments Act of 2023 H.R. 7030, Review the Expansion of Government Act of 2024 SEC Regulatory Accountability Act S. 1481, Financial Exploitation Prevention Act of 2023 S. 1799, Putting Investors First Act of 2023 S. 2005, Mandatory Materiality Requirement Act of 2023 S. 2700, INDEX Act S. 3601, Financial Stability Oversight Council Improvement Act of 2024 S. 3735, Protecting Innovation in Investment Act S. 3815, Improving Disclosure for Investors Act of 2024 General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals SEC mandatory swing pricing, hard close, and liquidity risk management proposal SEC predictive data analytics proposal Streamline and modernize the SEC staff no-action letter/guidance and exemptive order process

H.R. 6065, Retirement Savings for Americans Act S. 3102, Retirement Savings for Americans Act 401Kids Savings Account Act Implementation of SECURE 2.0 Act of 2022 Roth Catch-up Contributions IRC section 852(b)(6) Tax deferral of retirement contributions

H.R. 4008, Protecting Americans Retirement Savings Act H.R. 5337, Retirement Proxy Protection Act H.R. 5338, No Discrimination in My Benefits Act H.R. 5339, Roll Back ESG to Increase Retirement Earnings Act H.R. 5340, Providing Complete Information to Retirement Investors Act S. 3305, Helping Young Americans Save for Retirement Act Department of Labor QPAM proposal Department of Labor Fiduciary proposal

H.R. 4008, Protecting Americans Retirement Savings Act H.R. 5337, Retirement Proxy Protection Act H.R. 5338, No Discrimination in My Benefits Act H.R. 5339, Roll Back ESG to Increase Retirement Earnings Act H.R. 5340, Providing Complete Information to Retirement Investors Act Department of Labor QPAM proposal Department of Labor rule on ESG investing and proxy voting Department of Labor Fiduciary proposal

Implementation of SECURE 2.0 Act of 2022 Roth Catch-up Contributions Retirement Savings for Americans Act Tax deferral of retirement contributions

H.R. 4008- Protecting Americans' Retirement Savings Act (Banks) Department of Labor QPAM proposal Department of Labor rule on ESG investing and proxy voting

H.R. 448- Putting Investors First Act of 2023 (Steil) H.R. 500- Financial Exploitation Prevention Act of 2023 (Wagner) H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga) H.R. 2627- Increasing Investor Opportunities Act (Wagner) H.R. 3063- Retirement Fairness for Charities and Educational Institutions Act of 2023 (Lucas) H.R. 3812- Financial Stability Oversight Council Improvement Act of 2023 (Foster) H.R. 4168- Mandatory Materiality Requirement Act of 2023 (Huizenga) H.R. 4177- Improving Corporate Governance Through Diversity Act of 2023 (Meeks) H.R. 4237- Ensuring Sound Guidance Act (Barr) S. 1481- Financial Exploitation Prevention Act of 2023 (Hagerty) S. 1799- Putting Investors First Act of 2023 (Hagerty) S. 2005- Mandatory Materiality Requirement Act of 2023 (Rounds) S. 2007- Improving Corporate Governance Through Diversity Act of 2023 (Menendez) SEC Regulatory Accountability Act (Wagner) INDEX Act (Huizenga) General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals SEC mandatory swing pricing, hard close, and liquidity risk management proposal SEC public company climate disclosure proposal SEC money market fund proposal FSOC revised guidance on designation of nonbank SIFIs Exempting Rule 144A fixed-income securities from Rule 15c2-11

Implementation of SECURE 2.0 Act of 2022 Retirement Savings for Americans Act Allowing 403(b) plans to invest in collective investment trusts Capital gains and dividends taxation Excise tax on corporate stock buybacks IRC section 852(b)(6) IRS permanent relief for remote witnessing procedures Related parties wash-sale rule Tax deferral retirement contributions

Department of Labor QPAM proposal Department of Labor rule on ESG investing and proxy voting

H.R. 448- Putting Investors First Act of 2023 (Steil) H.R. 500- Financial Exploitation Prevention Act of 2023 (Wagner) H.R. 1807- Improving Disclosure for Investors Act of 2023 (Huizenga) Financial Stability Oversight Council Improvement Act Increasing Investor Opportunities Act INvestor Democracy is EXpected Act General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals SEC mandatory swing pricing, hard close, and liquidity risk management proposal SEC money market fund proposal Exempting Rule 144A fixed-income securities from Rule 15c2-11 China- investment and trade

H.R. 2617- SECURE 2.0 Act of 2022 H.R. 9462- Retirement Savings for Americans Act of 2022 (Sewell) S. 2621- Modernization of Derivatives Tax Act of 2021 (Wyden) S. 5271- Retirement Savings for Americans Act of 2022 (Hickenlooper) Allow 403(b) plans to invest in collective investment trusts Auto-IRA/Plan Requirement Capital gains and dividends taxation Certifications of US Tax Residency Excise tax on corporate stock buybacks IRC section 852(b)(6) IRS Permanent Relief for Remote Witnessing Procedures Related Parties Wash Sale Rule Tax deferral of retirement contributions

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 7151- Ensuring Sound Guidance Act (Barr) H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga) H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams) H.R. 9408- Mandatory Materiality Requirement Act of 2022 (Huizenga) H.R. 9526- Review the Expansion of Government Act (Kim) H.R. 9527- Putting Investors First Act of 2022 (Steil) H.R. 9570- Improving Disclosure for Investors Act of 2022 (Huizenga) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3948- Increasing Investor Opportunities Act (Daines) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) S. 5004- Alleviating Stress Test Burdents to Help Investors Act (Rounds) S. 5005- Mandatory Materiality Requirement Act of 2022 (Rounds) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Processing fees for delivering investment materials SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the fund names rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal SEC open-end fund liquidity rule, swing pricing, and hard close proposal SEC outsourcing by investment advisers proposal

H.R. 2954- Securing a Strong Retirement Act of 2022 (Neal) H.R. 5376- Inflation Reduction Act of 2022 S. 2621- Modernization of Derivatives Tax Act of 2021 (Wyden) S. 4808- Enhancing American Retirement Now (EARN) Act (Wyden) Allow 403(b) plans to invest in collective investment trusts Allow rollovers from 529 programs to Roth IRAs Auto-IRA/Plan Requirement Capital gains and dividends taxation Certifications of US Tax Residency Emergency savings accounts Excise tax on corporate stock buybacks IRC section 852(b)(6) Limits on large IRA balances Related Parties Wash Sale Rule Tax deferral of retirement contributions

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga) H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3919- Reporting Requirements Reduction Act of 2022 (Tillis) S. 3945- Restoring Shareholder Transparency Act of 2022 (Haggerty) S. 3948- Increasing Investor Opportunities Act (Daines) S. 3961- Access to Small Business Investor Capital Act (Daines) S. 3965- Increasing Access to Adviser Information Act (Moran) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Improving Disclosure for Investors Act (draft) Processing fees for delivering investment materials Russia Sanctions/Executive Orders SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the Fund Names Rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal

H.R. 2954- Securing a Strong Retirement Act of 2022 (Neal) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 2621- Modernization of Derivatives Tax Act of 2021 (Wyden) Allow rollovers from 529 programs to Roth IRAs Allow 403(b) plans to invest in collective investment trusts Auto-IRA/Plan Requirement Capital gains and dividends taxation Certifications of US Tax Residency Corporate stock buybacks Emergency savings accounts Enhancing American Retirement Now (EARN) Act (Wyden) IRC section 852(b)(6) Limits on large IRA balances Related Parties Wash Sale Rule Tax deferral of retirement contributions

H.R. 5891- Retirement Improvement and Savings Enhancement Act (Scott) H.R. 7151- Ensuring Sound Guidance Act (Barr) S. 4353- Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg (RISE & SHINE) Act (Murray) Department of Labor's fiduciary rulemaking Electronic Distribution of Retirement Plan Communications Retirement Savings Modernization Act (Toomey) Thrift Savings Plan Expansion Qualified Default Investment Alternatives

H.R. 5891- Retirement Improvement and Savings Enhancement Act (Scott) H.R. 7151- Ensuring Sound Guidance Act (Barr) Department of Labor's fiduciary rulemaking Electronic Distribution of Retirement Plan Communications Qualified Default Investment Alternatives

H.R. 2954- Securing a Strong Retirement Act of 2021 (Neal) H.R. 3142- Tax Parity for US Mutual Funds Act (Davis) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford) S. 2621- Modernization of Derivatives Tax Act (Wyden) Excise tax on corporate stock buybacks IRC section 852(b)(6) Auto-IRA/Plan Requirement Limits on large IRA balances Capital gains and dividends taxation Related Parties Wash Sale Rule Tax deferral of retirement contributions Certifications of US Tax Residency

H.R. 2954- Securing a Strong Retirement Act of 2021 (Neal) H.R. 3142- Tax Parity for US Mutual Funds Act (Davis) H.R. 5376- Build Back Better Act S. 1703- Improving Access to Retirement Savings Act (Grassley) S. 1730- Retirement Savings Lost and Found Act of 2021 (Warren) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford) S. 2452- Encouraging Americans to Save Act (Wyden) S. 2621- Modernization of Derivatives Tax Act (Wyden) Excise tax on corporate stock buybacks IRC section 852(b)(6) Auto-IRA/Plan Requirement Limits on large IRA balances Capital gains and dividends taxation Financial account reporting Tax deferral of retirement contributions Tax exemption for municipal bond interest

H.R. 5891- Retirement Improvement and Savings Enhancement Act (Scott) Department of Labor's fiduciary rulemaking Electronic Distribution of Retirement Plan Communications Qualified Default Investment Alternatives

H.R. 2954- Securing a Strong Retirement Act of 2021 (Neal) H.R. 3142- Tax Parity for US Mutual Funds Act (Davis) H.R. 5376- Build Back Better Act S. 1703- Improving Access to Retirement Savings Act (Grassley) S. 1730- Retirement Savings Lost and Found Act of 2021 (Warren) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford) S. 2452- Encouraging Americans to Save Act (Wyden) S. 2621- Modernization of Derivatives Tax Act (Wyden) Excise tax on corporate stock buybacks IRC section 852(b)(6) Auto-IRA/Plan Requirement Limits on large IRA balances Capital gains and dividends taxation Financial account reporting Tax deferral of retirement contributions Tax exemption for municipal bond interest

H.R. 5891- Retirement Improvement and Savings Enhancement Act (Scott) Department of Labor's fiduciary rulemaking Electronic Distribution of Retirement Plan Communications Qualified Default Investment Alternatives

H.R. 328- Wall Street Tax Act of 2021 (DeFazio) H.R. 2954- Securing a Strong Retirement Act of 2021 (Neal) H.R. 3142- Tax Parity for US Mutual Funds Act (Davis) H.R. 5334- PRIA Act of 2021 (Himes) S. 817- Wall Street Tax Act of 2021 (Schatz) S. 1703- Improving Access to Retirement Savings Act (Grassley) S. 1730- Retirement Savings Lost and Found Act of 2021 (Warren) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford) S. 2387- Small Business Tax Fairness Act (Wyden) S. 2452- Encouraging Americans to Save Act (Wyden) S. 2621- Modernization of Derivatives Tax Act (Wyden) S. 2758- Stock Buyback Accountability Act of 2021 (Brown) S. 2870- PRIA Act of 2021 (Warner) Build Back Better Act IRC section 852(b)(6) Auto-IRA/Plan Requirement Limits on large IRA balances Capital gains and dividends taxation Financial account reporting Remote notarization for retirement plans Tax deferral of retirement contributions Tax exemption for municipal bond interest Reinstate advance refunding bonds Certifications of US Tax Residency

S. 1677- EMPOWERS Act (Baldwin) S. 1762- Financial Factors in Selecting Retirement Plan Investments Act (Smith) H.R. 3308- EMPOWERS Act (Jayapal) H.R. 3387- Financial Factors in Selecting Retirement Plan Investments Act (DelBene) H.R. 3604- Retirees Sustainable Investment Opportunities Act (Levin) Electronic Distribution of Retirement Plan Communications Qualified Default Investment Alternatives

H.R. 328- Wall Street Tax Act of 2021 (DeFazio) H.R. 1584- Protecting Retirement Savers and Everyday Investors Act (McHenry) H.R. 2288- Investing in Our Communities Act (Ruppersberger) H.R. 2954- Securing a Strong Retirement Act of 2021 (Neal) H.R. 3142- Tax Parity for US Mutual Funds Act (Davis) S. 479- Lifting Our Communities through Advance Liquidity for Infrastructure Act (Wicker) S. 817- Wall Street Tax Act of 2021 (Schatz) S. 1272- SIMPLE Plan Modernization Act (Collins) S. 1703- Improving Access to Retirement Savings Act (Grassley) S. 1730- Retirement Savings Lost and Found Act of 2021 (Warren) S. 1770- Retirement Security and Savings Act of 2021 (Cardin) S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford) Automatic Retirement Plan Act (Neal) Capital Gains and Dividend Taxation Certifications of US Tax Residency Financial Account Reporting Remote Notarization for Retirement Plans Tax Deferral of Retirement Contributions Tax Exemption for Municipal Bond Interest

H.R. 1319- American Rescue Plan Act of 2021 (COLA freeze)

H.R. 328- Wall Street Tax Act of 2021 (DeFazio) H.R. 1584- Protecting Retirement Savers and Everyday Investors Act (McHenry) H.R. 2288- Investing in Our Communities Act (Ruppersberger) S. 479- Lifting Our Communities through Advance Liquidity for Infrastructure Act (Wicker) S. 817- Wall Street Tax Act of 2021 (Schatz) Automatic Retirement Plan Act (Neal) Capital Gains and Dividend Taxation Portable Retirement and Investment Account Act (Warner/Himes) Retirement Security and Savings Act (Portman) Saver's Credit Securing a Strong Retirement Act (Neal) Tax Deferral of Retirement Contributions Tax Parity for US Mutual Funds Act (Davis)

H.R. 133 - Consolidated Appropriations Act, 2021 (Division E-Financial Services and General Government Appropriations Act, 2021) H.R. 133 - Consolidated Appropriations Act, 2021 (Division H-Labor, HHS and Education Appropriations Act, 2021)

H.R. 8990 - Lifetime Income for Employees Act (Norcross)

H.R. 7772 - Tax Parity for US Mutual Funds Act of 2020 (Davis) H.R. 8695 - Protecting Retirement Savers and Everyday Investors Act (McHenry) H.R. 8696 - Securing a Strong Retirement Act of 2020 (Neal) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) Allow 403(b) plans to invest in collective investment trusts Allow variable annuities to invest in exchange-traded funds Automatic Retirement Plan Act (Neal) Certificate of Residency processing Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Temporary coronavirus-related catch-up contribution

FY 2021 Financial Services and General Government Appropriations Act

H.R. 6800 - The Heroes Act (Lowey) H.R. 7772 - Tax Parity for US Mutual Funds Act of 2020 (Davis) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) Allow 403(b) plans to invest in collective investment trusts Allow variable annuities to invest in exchange-traded funds Automatic Retirement Plan Act (Neal) Certificate of Residency processing Financial Transaction Tax Portable Retirement and Investment Account Act (Himes) Retirement Plan Simplification and Enhancement Act (Neal) Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Temporary coronavirus-related catch-up contribution

FY 2021 Financial Services and General Government Appropriations Act FY 2021 Labor, HHS, Education, and Related Agencies Appropriations Act

Receiving Electronic Statements to Improve Retiree Earnings Act Department of Labor Electronic Disclosure Rulemaking Department of Labor Fiduciary Rulemaking ESG Investments in Retirement Plans

H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019 (Foster) H.R. 3987 - Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 4492 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Moore) H.R. 6197 - CFTC Reauthorization Act of 2019 (Peterson) H.R. 6501 - Systematic Risk Mitigation Act (Garcia) H.R. 6800 - The Heroes Act (Lowey) H.R. 7000 - Holding Foreign Companies Accountable Act (Sherman) H.R. 7440 - Hong Kong Autonomy Act (Sherman) S. 603 - Financial Stability Oversight Council Improvement Act of 2019 (Rounds) S. 733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Toomey) S. 945 - Holding Foreign Companies Accountable Act (Kennedy) S. 1200 - Secure and Fair Enforcement Banking Act of 2019 (Merkley) S. 3798 - Hong Kong Autonomy Act (Toomey) CFTC Rule 4.5 Closed-End Funds Consolidated Audit Trail Diverse Investment Advisers Act Electronic Delivery of Mutual Fund Disclosure Documents Environmental, Social, and Governance Investing Exchange-Traded Funds Federal Reserve facilities established in response to COVID-19 Money Market Mutual Funds Mutual Fund Litigation Reform Act (Emmer) Proxy Advisory Firms/Proxy Voting Retail Investor Access to Private Offerings SEC Cybersecurity and Data Protection

Receiving Electronic Statements to Improve Retiree Earnings Act Department of Labor Electronic Disclosure Rulemaking Department of Labor Fiduciary Rulemaking

H.R. 748 - Coronavirus Aid, Relief, and Economic Security Act (Sections 2202, 2203) H.R. 6257 - Public Service Retirement Fairness Act (Panetta) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) Annuities in DC Plans/Annuitization Automatic Retirement Plan Act (Neal) Capital Gains Taxation Financial Transaction Tax Portable Retirement and Investment Account Act (Himes) RIC tax return filing deadline extension relating to COVID-19 Retirement Plan Simplification and Enhancement Act (Neal) Preserving Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Tax Parity for US Mutual Funds Act

H.R. 1516 - Wall Street Tax Act of 2019 (DeFazio) H.R. 1994 - Setting Every Community Up for Retirement Enhancement Act of 2019 (Neal) H.R. 2772 - Investing in our Communities Act (Ruppersberger) H.R. 2923 - Inclusive Prosperity Act of 2019 (Lee) S. 647 - Wall Street Tax Act of 2019 (Schatz) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) S. 1587 - Inclusive Prosperity Act of 2019 (Sanders) Automatic Retirement Plan Act (Neal) Capital Gains Taxation Portable Retirement and Investment Account Act (Warner) Preserving Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Tax Parity for US Mutual Funds Act

H.R. 1158 - Consolidated Appropriations Act, 2020 (FSGG) H.R. 1865 - Further Consolidated Appropriations Act, 2020 (SECURE Act)

H.R. 1516 - Wall Street Tax Act of 2019 (DeFazio) H.R. 1994 - Setting Every Community Up for Retirement Enhancement Act of 2019 (Neal) H.R. 2772 - Investing in our Communities Act (Ruppersberger) H.R. 2923 - Inclusive Prosperity Act of 2019 (Lee) S. 647 - Wall Street Tax Act of 2019 (Schatz) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) S. 1587 - Inclusive Prosperity Act of 2019 (Sanders) Automatic Retirement Plan Act (Neal) Portable Retirement and Investment Account Act (Warner) Preserving Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Tax Parity for US Mutual Funds Act

H.R. 2367 - Lifetime Income Disclosure Act (Pocan) S. 1574 - Lifetime Income Disclosure Act (Isakson) Receiving Electronic Statements to Improve Retiree Earnings Act Department of Labor Fiduciary Rulemaking

H.R. 1516 - Wall Street Tax Act of 2019 (DeFazio) H.R. 1994 - Setting Every Community Up for Retirement Enhancement Act of 2019 (Neal) H.R. 2772 - Investing in our Communities Act (Ruppersberger) H.R. 2923 - Inclusive Prosperity Act of 2019 (Lee) S. 647 - Wall Street Tax Act of 2019 (Schatz) S. 972 - Retirement Enhancement and Savings Act of 2019 (Grassley) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) S. 1587 - Inclusive Prosperity Act of 2019 (Sanders) American Savings Account Act (Merkley) Automatic Retirement Plan Act (Neal) International Regulated Investment Company Portable Retirement and Investment Account Act (Himes) Preserving Retirement Savings Tax Incentives Retirement Plan Simplification and Enhancement Act (Neal) Tax Exemption for Municipal Bond Interest

H.R. 2367 - Lifetime Income Disclosure Act (Pocan) S. 1574 - Lifetime Income Disclosure Act (Isakson) Receiving Electronic Statements to Improve Retiree Earnings Act

H.R. 1007 - Retirement Enhancement and Savings Act of 2019 (Kind) H.R. 1516 - Wall Street Tax Act of 2019 (DeFazio) H.R. 1994 - Setting Every Community Up for Retirement Enhancement Act of 2019 (Neal) S. 647 - Wall Street Tax Act of 2019 (Schatz) Automatic Retirement Plan Act (Neal) Retirement Plan Simplification and Enhancement Act (Neal) Portable Retirement and Investment Account Act (Himes) Retirement Security and Savings Act (Portman) Preserving Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest

Receiving Electronic Statements to Improve Retiree Earnings Act Lifetime Income Disclosure Act

H.R. 2055 - Lifetime Income Disclosure Act (Messer) H.R. 4610 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) S. 868 - Lifetime Income Disclosure Act (Isakson) S. 3795 - Receiving Electronic Statements to Improve Retiree Earnings Act (Brown)

H.R. 88 - Retirement, Savings, and Other Tax Relief Act of 2018 (Brady) H.R. 4204 - International Regulated Investment Company Act of 2017 (Marchant) H.R. 4523 - Automatic Retirement Plan Act of 2017 (Neal) H.R. 4524 - Retirement Plan Simplification and Enhancement Act of 2017 (Neal) H.R. 5282 - Retirement Enhancement and Savings Act of 2018 (Kelly) H.R. 6757 - Family Savings Act of 2018 (Kelly) H.R. 6990 - Portable Retirement and Investment Account Act of 2018 (Himes) S. 2526 - Retirement Enhancement and Savings Act of 2018 (Hatch) S. 3781- Retirement Security and Savings Act of 2018 (Portman) Preserving Retirement Savings Tax Incentives Eligibility of RIC shareholders to receive 20% deduction for REIT dividends and PTP income 529 Plans Tax Exemption for Municipal Bond Interest

H.R. 4204 - International Regulated Investment Company Act of 2017 (Marchant) H.R. 4523 - Automatic Retirement Plan Act of 2017 (Neal) H.R. 4524 - Retirement Plan Simplification and Enhancement Act of 2017 (Neal) H.R. 4637 - Small Businesses Add Value for Employees Act of 2017 (Kind) H.R. 5282 - Retirement Enhancement and Savings Act of 2018 (Kelly) H.R. 6250 - Skills Investment Act of 2018 (Kilmer) H.R. 6444 - Capital Gains Inflation Relief Act (Nunes) H.R. 6757 - Family Savings Act of 2018 (Kelly) H.R. 6990 - Portable Retirement and Investment Account Act of 2018 (Himes) S. 2526 - Retirement Enhancement and Savings Act of 2018 (Hatch) S. 2688 - Capital Gains Inflation Relief Act (Cruz) S. 3145 - Skills Investment Act of 2018 (Klobuchar) S. 3197 - SIMPLE Plan Modernization Act (Collins) S. 3218 - Strengthening Financial Security through Short-term Savings Accounts Act (Heitkamp) S. 3219 - Small Business Employees Retirement Enhancement Act (Cotton) S. 3221 - Retirement Security Flexibility Act of 2018 (Young) Preserving Retirement Savings Tax Incentives H.R. 1 Clarifications 529 Plans Tax Exemption for Municipal Bond Interest

H.R. 854 - Retirement Security for American Workers Act (Buchanan) H.R. 2055 - Lifetime income Disclosure Act (Messer) H.R. 4158 - Retirement Plan Modernization Act (Walberg) H.R. 4610 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) S. 868 - Lifetime Income Disclosure Act (Isakson)

H.R. 4204 - International Regulated Investment Company Act of 2017 (Marchant) H.R. 4523 - Automatic Retirement Plan Act of 2017 (Neal) H.R. 4524 - Retirement Plan Simplification and Enhancement Act of 2017 (Neal) H.R. 4637 - Small Businesses Add Value for Employees Act of 2017 (Kind) H.R. 5282 - Retirement Enhancement and Savings Act of 2018 (Kelly) H.R. 6250 - Skills Investment Act of 2018 (Kilmer) S. 2526 - Retirement Enhancement and Savings Act of 2018 (Hatch) S. 3145 - Skills Investment Act of 2018 (Klobuchar) Preserving Retirement Savings Tax Incentives H.R. 1 Clarifications Taxation of Derivatives

H.R. 1625 - Consolidated Appropriations Act, 2018

H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus) H.R. 3758 - Senior Safe Act of 2017 (Sinema) H.R. 3857 - Protecting Advice for Small Savers Act of 2017 (Wagner) H.R. 4061 - Financial Stability Oversight Council Improvement Act of 2017 (Ross) H.R. 4279 - Expanding Investment Opportunities Act (Hollingsworth) H.R. 4566 - Alleviating Stress Test Burdens to Help Investors Act (Poliquin) H.R. 4738 - Mutual Fund Litigation Reform Act (Emmer) S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomey) S. 2155 - Economic Growth, Regulatory Relief and Consumer Protection Act (Crapo) FSOC Procedures for SIFI Designation of Nonbank Financial Companies Financial Stability Board Electronic Delivery of Mutual Fund Shareholder Reports Derivatives (Definition of US Person) Exchange-Traded Funds US Equity and Fixed Income Market Structure Corporate Governance Volcker Rule Cryptocurrencies

H.R. 1585 - Definition of Accredited Investor (Schweikert) H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus) H.R. 3555 - Exchange Regulatory Improvement Act (Loudermilk) H.R. 3758 - Senior Safe Act of 2017 (Sinema) H.R. 3857 - Protecting Advice for Small Savers Act of 2017 (Wagner) H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017 (Duffy) H.R. 4061 - Financial Stability Oversight Council Improvement Act of 2017 (Ross) H.R. 4279 - Expanding Investment Opportunities Act (Hollingsworth) H.R. 4566 - Alleviating Stress Test Burdens to Help Investors Act (Poliquin) S. 223 - Senior Safe Act of 2017 (Collins) S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomey) S. 2155 - Economic Growth, Regulatory Relief and Consumer Protection Act (Crapo) FSOC Procedures for SIFI Designation of Nonbank Financial Companies Financial Stability Board Electronic Delivery of Mutual Fund Shareholder Reports CFTC Rule 4.5 Exchange-Traded Funds US Equity and Fixed Income Market Structure Section 36(b) of the Investment Company Act of 1940 Volcker Rule MiFID II

H.R. 854 - Retirement Security for American Workers Act (Buchanan) H.R. 2055 - Lifetime income Disclosure Act (Messer) H.R. 2823 - Affordable Retirement Advice for Savers Act (Roe) S. 868 - Lifetime Income Disclosure Act (Isakson) S. 1321 - Affordable Retirement Advice Protection Act (Isakson) Retirement Enhancement and Savings Act (Hatch) Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act DOL Fiduciary Rule Retirement Plan Coverage Proposals QDIAs Lifetime Income Disclosure Electronic Delivery of Retirement Plan Participant Information QDIAs

S. 940 - Shrinking Emergency Account Losses Act of 2017 (Enzi) S. 1005 - Modernization of Derivatives Tax Act of 2017 (Wyden) Preserving Retirement Savings Tax Incentives International Regulated Investment Company Tax-Exemption for Municipal Bond Interest ABLE Programs

S. 940 - Shrinking Emergency Account Losses Act of 2017 (Enzi) S. 1005 - Modernization of Derivatives Tax Act of 2017 (Wyden) Preserving Retirement Savings Tax Incentives International Regulated Investment Company Tax-Exemption for Municipal Bond Interest ABLE Programs

H.R. 10 - Financial CHOICE Act of 2017 (Hensarling) H.R. 910 - Fair Access to Investment Research Act of 2017 (Hill) H.R. 1219 - Supporting America's Innovators Act of 2017 (McHenry) H.R. 1366 - US Territories Investor Protection Act of 2017 (Velazquez) H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus) S. 223 - Senior Safe Act of 2017 (Collins) S. 327 - Fair Access to Investment Research Act of 2017 (Heller) S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomney) Financial Stability Board Electronic Delivery of Mutual Fund Shareholder Reports CFTC Rule 4.5 Exchange-Traded Funds US Equity Market Structure Volcker Rule Antitrust Implications of Common Ownership Proxy Advisory Services Proxy Voting by Mutual Funds MiFID II SEC standards of conduct for investment advisers and broker-dealers

Preserving Retirement Savings Tax Incentives International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Taxation of Derivatives ABLE Programs

H.R. 854 - Reitrement SEcurity for American WOrkers Act (Buchanan) H.J. Res. 66 - Disapproving the DOL Rule on savings arrangements established by States (Walberg) H.J. Res. 67 - Disapproving the DOL Rule on savings arrangements established by state political subdivisions (Rooney) S.J. Res. 32 - Disapproving the DOL Rule on savings arrangements established by States (Hatch) S.J. Res. 33 - Disapproving the DOL Rule on savings arrangements established by state political subdivisions (Hatch) DOL Fiduciary Rule Lifetime Income Disclosure

Modernization of Derivatives Tax Act of 2016 (Wyden) Preserving Retirement Savings Tax Incentives International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax ABLE Programs

S. 3417 - Receiving Electronic Statements to Improve Retiree Earnings Act (Brown) S. 3471 - Retirement Enhancement and Savings Act of 2016 (Hatch) Retirement Improvements and Savings Enhancements Act of 2016 (Wyden) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) DOL Fiduciary Rule DOL Rule on State-Run Retirement Plans

H.R. 5184 - Expansion of Rules Related to Investment by Nonresident Aliens in Mutual Funds (Paulsen) H.R. 5731 - SAVE UP Act (Crowley) S. 3338 - Small Business Employee Retirment Savings Act of 2016 (Burr) International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax Preserving Retirement Savings Tax Incentives Impact of Dividends Paid Deduction Proposal on Retirement Plans Derivatives Taxation ABLE Programs

S. 266 - Retirement Security Act of 2015 (Collins) S. 1317 - Lifetime Income Disclosure Act (Isakson) S. 2472 - American Savings Account Act of 2016 (Merkley) S. 3078 - Retirement Savings Lost and Found Act of 2016 (Warren) Retirement Enhancement Act of 2016 (Hatch) H.R. 557 - Retirement Security Act of 2015 (Buchanan) H.R. 2317 - Lifetime Income Disclosure Act (Messer) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) H.R. 5450 - American Savings Account Act of 2016 (Huffman) H.R. 5805 - Retirement Savings Lost and Found Act of 2016 (Messer) State-Run Retirement Plans

H.R. 4706 - Interest for Others Act of 2016 (Paulsen) H.R. 5184 - Expansion of Rules Related to Investment by Nonresident Aliens in Mutual Funds (Paulsen) International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax Preserving Retirement Savings Tax Incentives Impact of Dividends Paid Deduction Proposal on Retirement Plans Derivatives Taxation ABLE Programs

S. 266 - Retirement Security Act of 2015 (Collins) S. 1317 - Lifetime Income Disclosure Act (Isakson) S. 2472 - American Savings Account Act of 2016 (Merkley) S. 2502 - Affordable Retirement Advice Protection Act (Isakson) S. 2505 - Strengthening Access to Valuable Education and Retirement Support Act (Kirk) S.J. Res. 33 - Disapproving the DOL Fiduciary Rule (Isakson) H.R. 557 - Retirement Security Act of 2015 (Buchanan) H.R. 2317 - Lifetime Income Disclosure Act (Messer) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) H.R. 4293 - Affordable Retirement Advice Protection Act (Roe) H.R. 4294 - Strengthening Access to Valuable Education and Retirement Support Act(Roskam) H.R. 5450 - American Savings Account Act of 2016 (Huffman) H.J. Res. 88 - Disapproving the DOL Fiduciary Rule (Roe) State-Run Retirement Plans

H.R. 2947 - Financial Institution Bankruptcy Act of 2015 (Trott) Treatment of Puerto Rico Bondholders

H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 1675 - Capital Markets Improvement Act of 2016 (Hultgren) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 3610 - Puerto Rico Investor Protection Act of 2015 (Velazquez) H.R. 4248 - FSOC Designation Review Act (Westmoreland) H.R. 4498 - Helping Angels Lead our Startups Act (Chabot) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act (Toomey) S. 2497 - Retail Investor Protection Act of 2016 (Blunt) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board CFTC Rule 4.5 Exchange-Traded Funds Proxy Advisory Services SEC Proposed Rule on Website Delivery of Fund Shareholder Reports SEC Proposed Rule on use of Derivatives by Registered Funds SEC Proposed Rule on Liquidity Risk Management National Market System Plans

H.R. 2029 - Consolidated Appropriations Act

S. 324 - Shrinking Emergency Account Losses Act of 2015 (Enzi) H.R. 2029 - Protecting Americans from Tax Hikes Act of 2015 Retirement Savings Tax Incentives Capital Gains and Dividend Tax Rates International Regulated Investment Company Tax-Exemption for Municipal Bond Interest ABLE Act Implementation Financial Transaction Tax

S. 245 - Automatic IRA Act of 2015 (Whitehouse) S. 266 - Retirement Security Act of 2015 (Collins) S. 1317 - Lifetime Income Disclosure Act (Isakson) H.R. 506 - Automatic IRA Act of 2015 (Neal) H.R. 557 - Retirement Security Act of 2015 (Buchanan) H.R. 2317 - Lifetime Income Disclosure Act (Messer) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) H.R. 3922 - Retirement Choice Protection Act of 2015 (Kelly) H.R. 4293 - Affordable Retirement Advice Protection Act (Roe) H.R. 4294 - Strengthening Access to Valuable Education and Retirement Support Act(Roskam) Department of Labor Fiduciary-Standard Rule Proposal

H.R. 1090 - Retail Investor Protection Act (Wagner) H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 2289 - Commodity End-User Relief Act (Conaway) H.R. 2356 - Fair Access to Investment Research Act of 2015 (Hill) H.R. 3189 - Fed Oversight Reform and Modernization Act of 2015 (Huizenga) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act of 2015 (Toomey) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board Exchange-Traded Funds Structure of the U.S. Securities Markets

S. 324 - Shrinking Emergency Account Losses Act of 2015 (Enzi) S. 1371 - Inclusive Prosperity Act of 2015 (Sanders) S. 1946 - Tax Relief Extension Act of 2015 (Hatch) H.R. 1464 - Inclusive Prosperity Act of 2015 (Ellison) H.R. 2821 - Partnership Audit Simplification Act of 2015 (Renacci) Retirement Savings Tax Incentives Comprehensive Tax Reform Capital Gains and Dividend Tax Rates International Regulated Investment Company Tax-Exemption for Municipal Bond Interest ABLE Act Implementation Financial Transaction Tax

S. 245 - Automatic IRA Act of 2015 (Whitehouse) S. 266 - Retirement Security Act of 2015 (Collins) S. 1317 - Lifetime Income Disclosure Act (Isakson) H.R. 506 - Automatic IRA Act of 2015 (Neal) H.R. 557 - Retirement Security Act of 2015 (Buchanan) H.R. 2317 - Lifetime Income Disclosure Act (Messer) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) Department of Labor Fiduciary Definition SAFE Retirement Act (Hatch) Security Throughout Retirement Act (Cantwell)

FY2016 Financial Services Appropriations Bill

S. 324 - Shrinking Emergency Account Losses Act of 2015 (Enzi) S. 915 - Real Estate Investment and Jobs Act of 2015 (Hatch) S. 1371 - Inclusive Prosperity Act of 2015 (Sanders) H.R. 1464 - Inclusive Prosperity Act of 2015 (Ellison) Retirement Savings Tax Incentives Comprehensive Tax Reform Section 871(k) Flow-through of Certain Dividends Capital Gains and Dividend Tax Rates International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax

S. 174 - Stop Tax Haven Abuse Act (Whitehouse) S. 324 - Shrinking Emergency Account Losses Act of 2015 (Enzi) H.R. 644 - America Gives More Act of 2015 (Reed) H.R. 1464 - Inclusive Prosperity Act of 2015 (Ellison) Comprehensive Tax Reform Section 871(k) Flow-through of Certain Dividends Capital Gains and Dividend Tax Rates FIRPTA Stretch IRAs Contribution Limits for Retirement Plans International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax 529 Plans

H.R. 1090 - Retail Investor Protection Act (Wagner) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) FSOC Review of Asset Management Sector for Potential SIFI Designations CFTC Rule 4.5 Money Market Mutual Funds Volcker Rule Exchange-Traded Funds Eminent Domain Structure of the U.S. Securities Markets Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers Stock Tick Size

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) S. 1970 - Retirement Security Act of 2014 (Collins) S. 1979 - USA Retirement Funds Act (Harkin) H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal) H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 4376 - Retirement Security Act of 2014 (Braley) H.R. 5875 - SAVE Act of 2014 (Kind) Electronic Delivery of Retirement Plan Information Department of Labor Fiduciary Definition Security Throughout Retirement Act (Cantwell)

S. 313 - ABLE Act of 2013 (Casey) S. 606 - Shrinking Emergency Account Losses Act (Nelson) S. 2261 - Tax Technical Corrections Act of 2014 (Wyden) H.R. 647 - ABLE Act of 2013 (Crenshaw) H.R. 5528 - Tax Technical Corrections Act of 2014 (Camp) H.R. 5771 - Tax Increase Prevention Act of 2014 (Camp) H.R. 5806 - Supporting America's Charities Act (Camp) Tax Reform Stretch IRAs Annual Contribution Limits for Retirement Plans International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) S. 1970 - Retirement Security Act of 2014 (Collins) S. 1979 - USA Retirement Funds Act (Harkin)H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal) H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 4376 - Retirement Security Act of 2014 (Braley) Electronic Delivery of Retirement Plan Information SAVE Act (Kind) Department of Labor Fiduciary Definition Security Throughout Retirement Act (Cantwell)

S. 313 - ABLE Act of 2013 (Casey) S. 2261 - Tax Technical Corrections Act of 2014 (Wyden) H.R. 647 - ABLE Act of 2013 (Crenshaw) H.R. 4555 - Exemption for Certain Dividends Paid by RICs to Nonresident Aliens (Paulsen)S. 1257 - Protect American Investments Act of 2013 (Roberts) S. 2260 - EXPIRE Act of 2014 (Wyden) H.R. 2546 - Protect American Investments Act of 2013 (Price) H.R. 4619 - Permanent IRA Charitable Contribution Act of 2014 (Schock) H.R. 5528 - Tax Technical Corrections Act of 2014 (Camp) Tax Reform Stretch IRAs Annual Contribution Limits for Retirement Plans International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) S. 1970 - Retirement Security Act of 2014 (Collins) S. 1979 - USA Retirement Funds Act (Harkin) H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal) H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 4376 - Retirement Security Act of 2014 (Braley) Electronic Delivery of Retirement Plan Information Department of Labor Fiduciary Definition 401(k) Disclosure Draft - Security Throughout Retirement Act (Cantwell)

S. 1217 - Housing Finance Reform and Taxpayer Protection Act of 2013 (Corker-Warner) S. 1526 - Audit Integrity and Job Protection Act (Toomey) S. 1897 - Personal Data Privacy and Security Act of 2014 (Leahy) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway) H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters) H.R. 2733 - Defending American Taxpayers from Abusive Government Takings Act (Campbell) H.R. 3448 - Small Cap Liquidity Reform Act of 2013 (Duffy) H.R. 4387 - FSOC Transparency and Accountability Act (Garrett) H.R. 4413 - Garrett Amendment to Customer Protection and End User Relief Act H.R. 4881 - One Year Moratorium on Authority of FSOC to make SIFI Determinations (Neugebauer) Money Market Mutual Funds FSOC Review of Asset Management Sector for Potential SIFI Designations Volcker Rule Exchange-Traded Funds Eminent Domain Structure of the U.S. Securities Markets Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

S. 410 - Wall Street Trading and Speculators Tax Act (Harkin) S. 1533 - Stop Tax Haven Abuse Act (Levin) H.R. 1554 - Stop Tax haven Abuse Act (Doggett) H.R. 2546 - Protect American Investments Act of 2013 (Price)S. 268 - CUT Loopholes Act (Levin) S. 313 - ABLE Act of 2013 (Casey) S. 1257 - Protect American Investments Act of 2013 (Roberts) S. 606 - Shrinking Emergency Account Losses Act (Nelson) H.R. 880 - Wall Street Trading and Speculators Tax Act (DeFazio) H. Res. 112 - House Resolution on Municipal Bonds (Terry) Discussion Draft - Tax Reform (Camp) Section 871(k) Flow-through of Certain Dividends/Tax Extenders Annual Contribution Limits for Retirement Plans Foreign Account Tax Compliance Act International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax 28% Limit on Tax Deductions and Exemptions RIC Modernization Act Technical Corrections

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) S. 1970 - Retirement Security Act of 2014 (Collins) S. 1979 - USA Retirement Funds Act (Harkin)H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal) H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 2374 - Retail Investor Protection Act (Wagner) S. Con. Res. 12 - Sense of Congress that CUrrent Tax Incentives for Retirement Savings Provide Important Benefits (Isakson) Electronic Delivery of Retirement Plan Information DOL Fiduciary Definition 401(k) Disclosure Draft - Security Throughout Retirement Act (Cantwell)

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal)H.R. 2171 - Lifetime Income Disclosure Act (Hatch) H.R. 2374 - Retail Investor Protection Act (Wagner) S. Con. Res. 12 - Sense of Congress that Current Tax Incentives for Retirement Savings Provide Important Benefits (Isakson) Electronic Delivery of Retirement Plan Information DOL Fiduciary Definition 401(k) Disclosure Security Throughout Retirement Act (Cantwell) Retirement Security Act (Collins) "USA Retirement Funds" Proposal (Harkin)

S. 410 - Wall Street Trading and Speculators Tax Act (Harkin) S. 1257 - Protect American Investments Act of 2013 (Roberts) H.R. 880 - Wall Street Trading and Speculators Tax Act (DeFazio) H. Res. 112 - House Resolution on Municipal Bonds (Terry)S. 268 - CUT Loopholes Act (Levin) S. 313 - ABLE Act of 2013 (Casey) S. 606 - Shrinking Emergency Account Losses Act (Nelson) S. 1533 - Stop Tax Haven Abuse Act (Levin) H.R. 1554 - Stop Tax Haven Abuse Act (Doggett) H.R. 2546 - Protect American Investments Act of 2013 (Price) Section 871(k) Flow-through of Certain Dividends Annual Contribution Limits for Retirement Plans Foreign Account Tax Compliance Act International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax Tax Treatment of Financial Products (Camp) 28% Limit on Tax Deductions and Exemptions RIC Modernization Act Technical Corrections

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal)H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 2374 - Retail Investor Protection Act (Wagner) S. Con. Res. 12 - Sense of Congress that Current Tax Incentives for Retirement Savings Provide Important Benefits (Isakson) Electronic Delivery of Retirement Plan Information DOL Fiduciary Definition 401(k) Disclosure "USA Retirement Funds" Proposal (Harkin)

S. 1257 - Protect American Investments Act of 2013 (Roberts) H.R. 880 - Wall Street Trading and Speculators Tax Act (DeFazio) H.R. 2546 - Protect American Investments Act of 2013 (Price) H. Res. 112 - House Resolution on Municipal Bonds (Terry)H.R. 1554 - Stop Tax Haven Abuse Act (Doggett) Section 871(k) Flow-through of Certain Dividends Annual Contribution Limits for Retirement Plans Foreign Account Tax Compliance Act International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax Tax Treatment of Financial Products (Camp) 28% Limit on Tax Deductions and Exemptions RIC Modernization Act Technical Corrections S. 313 - ABLE Act of 2013 (Casey) S. 268 - CUT Loopholes Act (Levin) S. 410 - Wall Street Trading And Speculators Tax Act (Harkin) S. 606 - Shrinking Emergency Account Losses Act (Nelson) S. 1533 - Stop Tax Haven Abuse Act (Levin)

H.R. 785 - Halt Index Trading of Energy Commodities Act (Markey) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway) H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1256 - Swap Jurisdiction Certainty Act (Garrett)S.1217 - Housing Finance Reform and Taxpayer Protection Act (Corker) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1626 - Focusing the SEC on its Mission Act (Wagner) H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters) H.R. 1800 - Small Business Credit Availability Act (Grimm) H.R. 2374 - Retail Investor Protection Act (Wagner) Money Market Mutual Funds FSOC Rulemaking Volcker Rule Cross-Border Derivatives Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Traded Funds Liquidity Incentive Programs (McHenry) Stock Tick Sizes (Duffy) Housing Finance Reform Political Intelligence Activity Registration (Grassley/Slaughter) Structure of the U.S. Securities Market Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

S. 100 - Terminating the Expansion of Too-Big-To Fail Act of 2013 (Vitter) S. 450 - Financial Regulatory Responsibility Act of 2013 (Shelby) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway)H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1256 - Swap Jurisdiction Certainty Act (Garrett) Money Market Mutual Funds FSOC Rulemaking Enhanced Cost-Benefit Analysis for SEC and CFTC Rulemaking Vlocker Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Trade Funds Liquidity Incentive Programs (McHenry) Consumer Financial Protection Bureau Housing Finance Reform Market Structure Issues

S. Con. Res. 8 - FY 2014 Budget Resolution (Burr Amendment)

S. 267 - Lifetime Income Disclosure Act S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 S. 1557 - Automatic IRA Act of 2011 S. Con. Res. 62 - Sense of the Congress on Retirement Savings Incentives H.R. 677 - Lifetime Income Disclosure Act H.R. 3287 - Savings Enhancement by Alleviating Leaking in 401(k) Savngs Act of 2011 H.R. 4049 - Automatic IRA Act of 2012 H.R. 4050 - Retirement Plan Simplification and Enhancement Act of 2012 H. Con. Res. 101 - Sense of the Congress on Retirement Savings Incentives E-Delivery DOL Fiduciary Definition Target Date Funds 401(k) Disclosure

S. 1346 - Stop Tax Haven Abuse Act S. 1647 - Tax hike Prevention and Business Certainty Act S. 1787 - Wall Street Trading and Speculators Tax Act S. 2033 - Closing the Derivatives Blended Rate Loophole Act S. 2075 - CUT Loopholes Act S. 3521 - Family and Business Tax Cut Certainty Act of 2012 H.R. 8 - American Taxpayer Relief Act of 2012 H.R. 2669 - Stop Tax Have Abuse Act H.R. 3091 - Tax Hike Prevention and Business Certainty Act H.R. 4623 - Make Permanent the Exemption for Certain Dividents Paid by RICs to Nonresident Aliens H.R. 6616 - To Protect Securities Transactions in the U.S. from Enforcement of Certain Excise Taxes Imposed by any Foreign Government H.R. 6683 - Hurricane Sandy Tax Relief Act of 2012 Capital Gains/Dividends Tax Rate Extension Comprehensive Tax Reform Flow-through/Tax Extenders Annual Contribution Limits for Retirement Plans Foreign Account Tax Compliance Act International Regulated Investment Company Tax-Exemption for Municipal Bonds Tax Treatment of Financial Products/ETNs RIC Modernization Act Technical Corrections

S. 1650 Dodd-Frank Improvement Act of 2011 S. 1835 United States Covered Bond Act S. 2223 Delay Implementation Date of Volcker Rule Provisions S. 3468 Independent Agency Regulatory Analysis Act of 2012 S. 1615 - Financial Regulatory Responsiblity Act S. 1834 - Residential Mortgage Market Privatization and Standardization Act of 2011 S. 3497 - Terminating the Expansion of Too-Big-To-Fail Act of 2012 S. 3620 - Regulation of Municipal Advisors H.R. 940 - United States Covered Bond Act of 2011 H.R. 1182 - GSE Bailout Elimination and Taxpayer Protection Act H.R. 1539 - Asset-Backed Market Stabilization Act of 2011 H.R. 1573 - Delay Implemenation of Title VII of Dodd-Frank Act H.R. 1838 - Repeal DFA provision prohibitng assistance to swap dealers or participants H.R. 1840 - Consideration by the CFTC of the costs and benefits of its regulations H.R. 1859 - Housing Finance Reform Act of 2011 H.R. 2308 - SEC Regulatory Accountability Act H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 2586 - Swap Execution Facility Clarification Act H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011 H.R. 2779 - To Exempt inter-affiliate swaps from Dodd-Frank Act H.R. 2827 - Regulation of Municipal Advisors H.R. 3606 - JOBS Act H.R. 3644 - Private Mortgage Market Investment Act H.R. 3862 - Sunshine for Regulatory Decrees and Settlements Act of 2012 H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act H.R. 4624 - Investment Adviser Oversight Act H.R. 5929 - Next Steps for Credit Availability Act H.R. 6127 - Liquidity Enhancement for Small Public Companies Act H.R. 6317 - Terminating the Expansion of Too-Big-To-Fail Act of 2012 CFTC Rule 4.5 Money Market Mutual Funds SIFIs Volcker Rule Use of Commodities by Mutual Funds Exchange-Traded Funds Market Structure Extension of unlimited deposit insurance for noninterest-bearing transaction accounts Mandatory Audit Firm Rotation Tri-Party Repo Market Mortgage Eminent Domain Non-Deliverable Forwards Transaction Account Gaurantee (TAG) Extension

RIC MODERNIZATION ACT TECHNICAL CORRECTIONS

S. 1535 FINANCIAL REGULATORY RESPONSIBILITY ACT S. 1615 DODD-FRANK IMPROVEMENT ACT OF 2011 S. 2223 DELAY IMPLEMENTATION DATE OF VOLCKER RULE PROVISIONS H.R. 940 UNITED STATES COVERED BOND ACT OF 2011 S. 1434 DATA SECURITY ACT OF 2011 S. 1834 RESIDENTIAL MORTGAGE MARKET PRIVATIZATION AND STANDARDIZATION ACT OF 2011 S. 1835 UNITED STATES COVERED BOND ACT HR 1182 GSE BAILOUT ELIMINATION AND TAXPAYER PROTECTION ACT HR 1539 ASSET-BACKED MARKET STABILIZATION ACT OF 2011 HR 1573 DELAY IMPLEMENTATION OF TITLE VII OF DODD-FRANK ACT HR 1838 REPEAL DFA PROVISION PROHIBITING ASSISTANCE TO SWAP DEALERS OR PARTICIPANTS HR 1840 CONSIDERATION BY THE CFTC OF THE COSTS AND BENEFITS OF ITS REGULATIONS HR 2308 SEC REGULATORY ACCOUNTABILITY ACT HR 2483 WHISTLEBLOWER IMPROVEMENT ACT OF 2011 HR 2586 SWAP EXECUTION FACILITY CLARIFICATION ACT HR 2682 BUSINESS RISK MITIGATION AND PRICE STABILIZATON ACT OF 2011 HR 2779 TO EXEMPT INTER-AFFILIATE SWAPS FROM DODD-FRANK ACT HR 3606 JOBS ACT HR 3644 PRIVATE MORTGAGE MARKET INVESTMENT ACT HR 4624 INVESTMENT ADVISER OVERSIGHT ACT OF 2011 SEC MODERNIZATION ACT CFTC RULE 4.5 MONEY MARKET MUTAL FUNDS SIFIs VOLCKER RULE USE OF COMMODITIES BY MUTUAL FUNDS EXCHANGE-TRADED FUNDS MARKET STRUCTURE EXTENSION OF UNLIMITED DEPOSIT INSURANCE FOR NONINTEREST-BEARING TRANSACTION ACCOUNTS MANDATORY AUDIT FIRM ROTATION

S. 267 Lifetime Income Disclosure Act (Bingaman) S. 1121 Savings Enhancement by Alleviating Leakage in 401 (k) Savings Act of 2011 (Kohl) H.R. 677 Lifetime Income Disclosure Act (Holt) H.R. 3287 Savings Enhancement by Alleviating Leakage in 401 (k) Savings Act of 2011 (Johnson) H.R. 4049 Automatic IRA Act of 2012 (Neal) H.R. 4050 Retirement Plan Simplification and Enhancement Act of 2012 (Neal) H. Con. Res 101 Sense of Congresss on Tax Incentives for Retirement Savings (Gerlach/Neal) E-Delivery DOL Fiduciary Definition Target Date Funds 401 (k) Fee Disclosure

S. 913 Do-Not-Track Online Act of 2011 (Rockefeller) S. 1151 Personal Data Privacy Notification Act of 2011 (Leahey) S. 1207 Data Security and Breach Notification Act of 2011 (Pryor) S. 1408 Data Breach Notification Act of 2011 (Feinstein) S. 1434 Data Security Act of 2011 (Casper) S. 1535 Personal Data Protection and Breach Accountability Act of 2011 (Blumenthal) S. 1615 Financial Regulatory Responsibility Act (Shelby) S. 1650 Dodd-Frank Improvement Act of 2011 (Crapo) S. 1831 Access to Capital for Job Creators Act (Thune) S. 1834 Residential Mortgage Market Privatization and Standardization Act of 2011 (Corker) S. 1835 United States Covered Bond Act (Hagan) S. 2038 STOCK Act (Lieberman) S. 2101 Iran Sanctions, Accountability, and Human Rights Act of 2012 (Johnson) S. 2223 Delay Implementation of Date of Volker Rule Provisions (Crapo) Use of Commodities by Mutual Funds (Levin) Exchange-Traded Funds H.R. 940 United States Covered Bond Act of 2011 (Garrett) H.R. 1182 GSE Bailout Elimination and taxpayer Protection Act (Hensarling) H.R. 1539 Asset-Backed Market Stabilization Act of 2011 (Stivers) H.R. 1573 Delay Implementation of Title VII of Dodd-Frank Act (Lucas) H.R. 1838 Repeal DFA Provision prohibiting assistance to swap dealers or participants (Hayworth) H.R. 1840 Consideration by the CFTC of the costs and benefits of its regulations (Conaway) H.R. 1589 Housing Finance Reform Act of 20111 (Campbell) H.R. 2308 SEC Regulatory Accountability Act (Garrett) H.R. 2483 Whistleblower Improvement Act of 2011 (Grimm) H.R. 2577 Secure and Fortify Electronic Data Act (Bono Mack) H.R. 2586 Swap Execution Facility Clarification Act (Garrett) H.R. 2682 Business Risk Mitigation and Price Stabilization Act of 2011 (Grimm) H.R. 2779 To exempt inter-affo;oate swaps from Dodd-Frank Act (Stivers) H.R. 2940 Access to Capital for Job Creators (McCarthy) H.R. 3045 JOBS Act (Fincher) H.R. 3644 Private Mortgage Narket Investment Act (Garrett) Draft SEC Modernization Act (Bachus) Draft Investment Advisor Oversight Act of 2011 (Bachus) CFTC Rule 4.5 Money Market Mutual Funds Volcker Rule Mandatory Auditory Firm Rotation

S. 347 Public Employee Pension Transparency Act S. 557 Public Good IRA Rollover Act of 2011 S. 1016 Municipal Bond Market Support Act of 2011 S. 1346 Stop Tax Haven Abuse Act S. 1647 Tax Hike Prevention and Business Certainty Act (Crapo) S. 1787 Wall Street Trading and Speculators Tax Act (Harkin) H.R. 567 Public Employee Pension Transparency Act (Nunes) H.R. 2669 Stop Tax Haven Abuse Act (Doggett) H.R. 3091 Tax Hike Prevention and Business Certainty Act (Roskam) H.R. 3313 Wall Street Trading and Speculators Tax Act (DeFazio) Annual Deferral Limits for Retirement Plans Foreign Account Tax Compliance Act International Tax Reform Tax-Exemption for Municipal Bonds Tax Treatment of Financial Products/ETNs

S. 267 Lifetime Income Disclosure Act S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 S. 1557 Automatic IRA Act of 2011 E-Delivery H.R. 677 Lifetime Income Disclosure Act H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 DOL Fiduciary Definition Target Date Funds 401(k) Fee Disclosure Automatic IRA Sense of Congress on Retirement Savings

S. 347 Public Employee Pension Transparency Act S. 557 Public Good IRA Rollover Act of 2011 S. 727 Bipartisan Tax Fairness and Simplification Act of 2011 S. 1016 Municipal Bond Market Support Act of 2011 S. 1346 Stop Tax Haven Abuse Act H.R. 567 Public Employee Pension Transparency Act H.R. 2003 Taxing Speculators Out of the Oil Market Act H.R. 2669 Stop Tax Haven Abuse Act Annual Deferral Limits for Retirement Plans Foreign Account Tax Compliance Act International Tax Reform Tax-Exemption for Municipal Bonds

S. 267 Lifetime Income Disclosure Act S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 S. 1557 Automatic IRA Act of 2011 H.R. 677 Lifetime Income Disclosure Act DOL Fiduciary Definition Target Date Funds 401(k) Fee Disclosure Securities Lending in Retirement Plans

S. 267 Lifetime Income Disclosure Act (Bingaman) S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 H.R. 677 Lifetime Income Disclosure Act (Holt) DOL Fiduciary Definition Target Date Funds 401(k) Fee Disclosure Securities Lending in Retirement Plans

S. 347 Public Employee Pension Transparency Act S. 727 Bipartisan Tax Fairness and Simplification Act of 2011 H.R. 567 Public Employee Pension Transparency Act H.R. 2003 Taxing Speculators Out of the Oil Market Act

S. 267 Lifetime Income Disclosure Act H.R. 677 Lifetime Income Disclosure Act DOL Fiduciary Definition Target Date Funds 401(k) Fee Disclosure Securities Lending in Retirement Plans

S. 347 Public Employee Pension Transparency Act S. 557 Public Good IRA Rollover Act of 2011 (tax-free charitable distributions) H.R. 567 Public Employee Pension Transparency Act H.R. 1140 Senior Citizens Income Security Act of 2011 (eliminate mandatory IRA withdrawals) Tax Deferral Limits for Retirement Plans

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 3793 Job Creation and Tax Cuts Act of 2010 (flow-through) S. 3948 Regulated Investment Company Modernization Act of 2010 H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4337 Regulated Investment Company Modernization Act of 2010 H.R. 4853 Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 (capital gains/dividends, flow-through)

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2832 Lifetime Income Disclosure Act S. 3760 Automatic IRA Act of 2010 Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 4742 SAVE Act (Automatic IRA) H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller) H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline) H.R. 6099 Automatic IRA Act of 2010

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 2927 Wall Street Fair Share Act (securities transaction tax) S. 3793 Job Creation and Tax Cuts Act of 2010 (flow-through) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4191 Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax) H.R. 4337 Regulated Investment Company Modernization Act of 2009 Financial Crisis Responsibility Fee

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2832 Lifetime Income Disclosure Act S. 3760 Automatic IRA Act of 2010 Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 4742 SAVE Act (Automatic IRA) H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller) H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline) H.R. 5297 Small Business Job Creation and Access to Capital Act of 2010 (Roth accounts) H.R. 6099 Automatic IRA Act of 2010

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2932 Lifetime Income Disclosure Act Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller) H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline) H.R. 4213 American Jobs and Closing Tax Loopholes Act of 2010 (401(k) disclosure)

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 1934 Foreign Account Tax Compliance Act of 2009 S. 2927 Wall Street Fair Share Act (securities transaction tax) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 3933 Foreign Account Tax Compliance Act of 2009 H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4191 Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax) H.R. 4213 American Jobs and Closing Tax Loopholes Act of 2010 (flow-through) H.R. 4337 Regulated Investment Company Modernization Act of 2009 H.R. 4742 SAVE Act (Automatic Payroll Deduction IRA) Financial Crisis Responsibility Fee

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 1934 Foreign Account Tax Compliance Act of 2009 S. 2927 Wall Street Fair Share Act (securities transaction tax) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 3933 Foreign Account Tax Compliance Act of 2009 H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4191 Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax) H.R. 4213 Tax Extenders Act of 2009 (flow-through) H.R. 4337 Regulated Investment Company Modernization Act of 2009

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2832 Lifetime Income Disclosure Act Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 2847 HIRE Act (401(k) disclosure) H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller) H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline)

S. 1082 GROWTH ACT S. 1297Retirement Security for Life Act of 2009 (annuities) S. 1934Foreign Account Tax Compliance Act of 2009 H.R. 2748Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429GROWTH Act H.R. 3933Foreign Account Tax Compliance Act of 2009 H.R. 4126Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4191Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax) H.R. 4213Tax Extenders Act of 2009 (flow-through) H.R. 4337Regulated Investment Company Modernization Act of 2009 Automatic Payroll Deduction IRA

S. 139 Data Breach Notification Act S. 272 Derivatives Trading Integrity Act of 2009 S. 1073Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies) S. 1074Shareholder Bill of Rights Act of 2009 (proxy access) S. 1276Private Fund Transparency Act of 2009 (investment adviser registration) S. 1389Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1490Personal Data Privacy and Security Act of 2009 S. 1691Comprehensive Derivates Regulation Act of 2009 S. 1964Mutual Fund Transparency Act of 2009 S. 2799Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2009 Restoring American Financial Stability Act of 2009 (Discussion Draft) H.R. 786Make Permanent the Increase in Deposit Insurance Coverage H.R. 977Derivatives Markets Transparency and Accountability Act of 2009 H.R. 1160Money Market Fund Parity Act of 2009 H.R. 1181NRSRO Ratings for Asset Backed Securities H.R. 1327Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1669Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2221Data Accountability and Trust Act (notice of breach) H.R. 2733Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861Shareholder Empowerment Act of 2009 (proxy access) H.R. 3126Consumer Financial Protection Agency Act of 2009 H.R. 3269Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay) H.R. 3795Over-the-Counter Derivatives Markets Act of 2009 H.R. 3817Investor Protection Act of 2009 (Point of Sale Disclosure, Fiduciary Duty) H.R. 3818Private Fund Investment Advisers Registration Act of 2009 H.R. 3890Accountability and Transparency in Rating Agencies Act H.R. 3996Financial Stability Improvement Act of 2009 (Systemic Risk Regulator) H.R. 4173Wall Street Reform and Consumer Protection Act of 2009 Money Market Mutual Fund Regulation Municipal Bonds (Frank)

S. 157 Retirement Account Distribution Improvement Act of 2009 (RMD) H.R. 939 IRA Equity for Seniors Act (RMD) S. 722 Taxpayer Certainty and Relief Act of 2009 (capital gains and dividends) S. 506 Stop Tax Haven Abuse Act H.R. 1265 Stop Tax Haven Abuse Act S. 1082 GROWTH Act H.R. 3429 GROWTH Act H.R. 2022 Kids IRA Act of 2009 S. 1297 Retirement Security for Life Act of 2009 (annuities) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) Automatic Payroll Deduction IRA

S. 401 Defined Contribution Fee Disclosure Act of 2009 H.R. 1984 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021 Savings Recovery Act of 2009 H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 Target Date Funds (Kohl)

S. 157 Retirement Account Distribution Improvement Act of 2009 (RMD) H.R. 939 IRA Equity for Seniors Act (RMD) S. 722 Taxpayer Certainty and Relief Act of 2009 (capital gains and dividends) S. 506 Stop Tax Haven Abuse Act H.R. 1265 Stop Tax Haven Abuse Act S. 1082 GROWTH Act H.R. 2022 Kids IRA Act of 2009 S. 1297 Retirement Security for Life Act of 2009 (annuities) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) Automatic Payroll Deduction IRA RIC Modernization

S. 401 Defined Contribution Fee Disclosure Act of 2009 H.R. 1256 Family Smoking Prevention and Tobacco Control Act (mutual fund window in TSP) H.R. 1984 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021 Savings Recovery Act of 2009 H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 Target Date Funds (Kohl)

S. 401 Defined Contribution Fee Disclosure Act of 2009 401(k) Plans (Miller) Target Date Funds (Kohl) Automatic Payroll Deduction IRA Investment Advice

H.R. 1 American Recovery and Reinvestment Act of 2009 (stimulus) S. 157 Retirement Account Distribution Improvement Act of 2009 (RMD) H.R. 939 IRA Equity for Seniors Act (RMD) H.R. 1068 Let Wall Street Pay for Wall Street's Bailout Act of 2009 (tax on securities transactions) S. 722 Taxpayer Certainty and Relief Act of 2009 (capital gains and dividends) S. 506 Stop Tax Haven Abuse Act H.R. 1265 Stop Tax Haven Abuse Act GROWTH Act RIC Modernization

H.R. 2167 Automatic IRA Act of 2007 S. 1141 Automatic IRA ACt of 2007 H.R. 5160 Small Businesses Add Value for Employees (SAVE) Act of 2008 (Auto IRA) H.R. 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 (401(k) disclosure) H.R. 3765 Defined Contribution Plan Fee Transparency Act of 2007 (401(k) disclosure) S. 2473 Defined Contributions Fee Disclosure Act of 2007 (401(k) disclosure) S. 3278 401(k) Debit Card Loans H.R. 6708 401(k) Debit Card Loans H.R. 7327 Worker, Retiree, and Employer Recovery Act of 2008 (RMD, PPA technical corrections)

H.R. 1424 Emergency Economic Stabilization Act of 2008 (cost basis reporting, flow through) H.R. 2796 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 S. 2126 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 H.R. 2205 Retirement Security for Life Act of 2007 (lifetime annuity) S. 1010 Retiremet Security for Life Act of 2007 (lifetime annuity) H.R. 4912 Taxation of Prepaid Derivative Contracts (ETN) Modernizing Tax Rules for Regulated Investment Companies

H.R. 2167 Automatic IRA Act of 2007 S. 1141 Automatic IRA Act of 2007 H.R. 5160 Small Businesses Add Value for Employees (SAVE) Act of 2008 (Auto IRA) H.R. 6382 Pension Protection Technical Corrections Act of 2008 (PPA) S. 1974 Pension Protection Technical Corrections Act of 2007 (PPA) H.R. 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 (401(k) disclosure) H.R. 3765 Defined Contribution Plan Fee Transparency Act of 2007 (401(k) disclosure) S. 2473 Defined Contribution Fee Disclosure Act of 2007 (401(k) disclosure) S. 3278 401(k) Debit Card Loans H.R. 6708 401(k) Debit Card Loans S. 3445 Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2008

H.R. 275 Global Online Freedom Act of 2007 H.R. 1171 Money Market Fund Parity Acto of 2007 (mutual fund competitiveness) H.R. 1257 Shareholder Vote on Executive Compensation Act (proxy vote disclosure) H.R. 3225 Mutual Fund Fee Reform Act (12b-1 fees) H.R. 3997 Emergency Economic Stabilization Act of 2008 (Troubled Assets) H.R. 6308 Municipal Bond Fairness Act H.R. 6333 Municipal Bond Market support Act of 2008 H.R. 6377 Energy Markets Emergency Act of 2008 H.R. 6604 Commodity Markets Transparency and Accountability Act of 2008 H.R. 6796 VULTURE Funds Act S. 2136 Helping Families Save Their homes in Bankruptcy Act of 2007 (subprime) S. 3130 Increasing Transparency and ACcountability in Oil Prices Act of 2008 S. 3268 Stop Excessive Energy Speculation Act of 2008 Commodity Index Funds (Lieberman) U.S. Capital Markets Competitiveness Financial Regulatory Structure Modernization (Treasury Blueprint) Closed-End Funds / AMPS Money Market Mutual Fund Guaranty Plan

H.R. 2167 Automatic IRA Act of 2007 S. 1141 Automatic IRA Act of 2007 H.R. 5160 Small Businesses Add Value for Employees (SAVE) Act of 2008 (auto IRA) H.R. 3361 Pension Protection Technical Corrections Act of 2007 (PPA) S. 1974 Pension Protection Technical Corrections Act of 2007 (PPA) H.R. 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 (401(k) disclosure) H.R. 3765 Defined Contribution Plan Fee Transparency Act of 2007 (401(k) disclosure) S. 2473 Defined Contribution Fee Disclosure Act of 2007 (401(k) disclosure)

H.R. 2796 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 S. 2126 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 H.R. 2205 Retirement Security for Life ACt of 2007 (lifetime annuity) S. 1010 Retirement Security for Life Act of 2007 (lifetime annuity) H.R. 3221 American Housing Rescue and Foreclosure Prevention Act of 2008 (Cost Basis Reporting) H.R. 5720 Housing Assistance Tax Act of 2008 (Cost Basis Reporting) H.R. 4912 Taxation of Prepaid Derivative Contracts (ETNs) H.R. 6049 Energy and Tax Extenders Act of 2008 (Flow-Through) S. 3125 Energy Independence and Tax Relief Act of 2008 (Flow-Through) H.R. 6081 Heros Earnings Assistance and Relief Tax Act (Penalty-Free IRA Withdrawals)

H.R. 878 Simplificiation Through Additional Reporting Tax Act of 2007 (cost basis reporting) S. 601 Simplification Through Additional Reporting Tax Act of 2007 (cost basis reporting) H.R. 2796 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Acto of 2007 S. 2126 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 H.R. 2205 Retirement Security for Life Act of 2007 (lifetime annuity) S. 1010 Retirement Security for Life Act of 2007 (lifetime annuity) H.R. 4912 Taxation of Prepaid Derivative Contracts (ETNs)

H.R. 2167 Automatic IRA Act of 2007 S. 1141 Automatic IRA Act of 2007 H.R. 5160 Small Businesses Add Value for Employees (SAVE) Act of 2008 (auto IRA) H.R. 3361 Pension Protection Technical Corrections Actof 2007 (PPA) S. 1974 Pension Protection Technical Corrections Act of 2007 (PPA) H.R. 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 (401(k) disclosure) H.R. 3765 Defined Contribution Plan Fee Transparency Actof 2007 (401(k) disclosure) S. 2473 Defined Contribution Fee Disclosure Act of 2007 (401(k) disclosure)

H.R. 6 Energy Independence and Security Act of 2007 (cost basis reporting) H.R. 3996 Tax Increase Prevention Act of 2007 (cost basis reporting, flow-through) H.R. 2796 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 (taxation of capital gains distributions) S. 2126 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007 (taxation of capital gains distributions) H.R. 2205 Retirement Security for Life Act of 2007 (lifetime annuity) S. 1010 Retirement Security for Life Act of 2007 (lifetime annuity) H.R. 4912 Taxation of Prepaid Derivative Contracts (ETNs) H.R. 878 Simplification Through Additional Reporting Tax Act of 2007 (cost basis reporting) S. 601 Simplification Through Additional Reporting Tax Act of 2007 (cost basis reporting)

H.R. 1171 Money Market Fund Parity Act of 2007 (mutual fund competitiveness) H.R. 1257 Shareholder Vote on Executive Compensation Act (proxy vote disclosure) H.R. 2347 Iran Sanctions Enabling Act of 2007 (divestiture) H.R. 3046 Social Security Number Privacy and Identity Theft Prevention Act of 2007 (privacy) H.R. 3915 Mortgage Reform and Anti-Predatory Lending Act of 2007 (subprime assignee liability) H. Res. 552 China Market Access Resolution S. 831 Sudan Divestment Authorization Act of 2007 (divestiture) S. 1563 Sudan Disclosure and Enforcement Act of 2007 (divestiture) S. 1677 Currency Reform and Financial Markets Access Act of 2007 (China market access) S. 2271 Sudan Accountability and Divestment Act of 2007 (divestiture) S. 2452 Home Ownership Preservation and Protection Act of 2007 (subprime assignee liability) H.R. 180 Darfur Accountability and Divestment Act (divestiture) H.R. 964 Securely Protect Yourself Against Cyber Trespass (SPY) Act (data security)

H.R. 1257 Shareholder Vote on Executive Compensation Act, provisions related to proxy vote disclosure H.R. 1289 Community Reinvestment Modernization Act of 2007, provisions related to applying CRA to securities H.R. 2347 Iran Sanctions Enabling Act of 2007, provistions related to divestiture H.J. Res. 20 FY 2007 Continuing Appropriations Act, provisions related to U.S. capital markets competitiveness S. 4 Improving America's Security Act of 2007, provisions related to critical infrastructure S. 761 America Competes Act, provisions related to U.S. capital markets competitiveness S. 831 Sudan Divestment Authorization Act of 2007, provisions related to divestiture S. 1260 Data Security Act of 2007, provisions related to data security S. 1563 Sudan Disclosure and Enforcement Act of 2007, provisions related to divestiture S. 1677 Currency Reform and Financial Markets Access Act of 2007, provisions related to China market access H.R. 180 Darfur Accountability and Divestment Act, provisions related to divestiture H.R. 964 Securely Protect Yourself Against Cyber Trespass (SPY) Act, provisions related to data security H.R. 1171 Money Market Fund Parity Act of 2007, provisions related to mutual fund competitiveness

H.R. 4 Pension Protection Act of 2006, provisions related to investment advice, 401(k) auto enrollment, EGTRRA permanency H.R. 2830 Pension Protection Act of 2005, provisions related to investment advice, 401(k) auto enrollment, EGTRRA permanency

H.R. 5405/S. 2824 Competitive and Open Markets that Protect and Enhance the Treatment of Entrepreneurs Act , provisions realted to SOX section 404 Issues related to Tax Reporting for Exempt Interest Dividends

H.R. 5672 FY 2007 Science, State, Justice, and Commerce Appropriations Ace, provisions related to SEC funding