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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.
Mortgage Forgiveness Tax Relief Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · fourth_quarter · Q4
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Source: Senate LDA
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Retail Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Investor Choice Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Investor Choice Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Investor Choice Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Futures Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Futures Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Futures Investor Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Trade Preferences Extension Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
Trade Preferences Extension Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
Trade Preferences Extension Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Trade Preferences Extension Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Trade Preferences Extension Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Bipartisan Budget Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Bipartisan Budget Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Bipartisan Budget Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Holding Company Registration Threshold Equalization Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Holding Company Registration Threshold Equalization Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Holding Company Registration Threshold Equalization Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Permanent CFC Look-Through Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
Permanent CFC Look-Through Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
Permanent CFC Look-Through Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Disclosure Modernization and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Disclosure Modernization and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Disclosure Modernization and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Financial Stability Oversight Council Improvement Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Improving Access to Capital for Emerging Growth Companies Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Improving Access to Capital for Emerging Growth Companies Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Improving Access to Capital for Emerging Growth Companies Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Capital Markets Improvement Act of 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Capital Markets Improvement Act of 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Capital Markets Improvement Act of 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Small Company Simple Registration Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Small Company Simple Registration Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Small Company Simple Registration Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Bipartisan Congressional Trade Priorities and Accountability Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Bipartisan Congressional Trade Priorities and Accountability Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Bipartisan Congressional Trade Priorities and Accountability Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Restoring Main Street Investor Protection and Confidence Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Restoring Main Street Investor Protection and Confidence Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Restoring Main Street Investor Protection and Confidence Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Consolidated Appropriations Act, 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Real Estate Investment and Jobs Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
FAST Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
FAST Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Municipal Bond Market Support Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
Municipal Bond Market Support Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
Municipal Bond Market Support Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Cyber Intelligence Sharing and Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Cyber Intelligence Sharing and Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Cyber Intelligence Sharing and Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Fair Access to Investment Research Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Independent Contractor Tax Fairness and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
Independent Contractor Tax Fairness and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
Independent Contractor Tax Fairness and Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Financial Services and General Government Appropriations Act, 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Financial Services and General Government Appropriations Act, 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Financial Stability Oversight Council Reform Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Promoting Job Creation and Reducing Small Business Burdens Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Promoting Job Creation and Reducing Small Business Burdens Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Promoting Job Creation and Reducing Small Business Burdens Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Office of Financial Research Accountability Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Stolen Identity Refund Fraud Prevention Act of 2016
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
Information Reporting Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1002 (Mortgage Forgiveness Tax Relief Act of 2015); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2029 (Consolidated Appropriations Act, 2016); H.R. 2128 (Real Estate Investment and Jobs Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); H.R. 3832 (Stolen Identify Refund Fraud Prevention Act of 2015); H.R. 3856 (Information Reporting Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 351 (Mortgage Debt Tax Relief Act); S. 915 (Real Estate Investment and Jobs Act of 2015); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); S.2252 (Fair Playing Field Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts); Achieving a Better Life Experience (ABLE) Act implementation; Protecting Americans from Tax Hikes (PATH) Act; IRS regulations on dividend equivalents under Section 871(m).
First Time Homeowner Savings Plan Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Burdensome Data Collection Relief Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Burdensome Data Collection Relief Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Burdensome Data Collection Relief Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Affordable Retirement Advice Protection Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
SAVERS Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
SBIC Advisers Relief Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
SBIC Advisers Relief Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
SBIC Advisers Relief Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Unfunded Mandates Information and Transparency Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Unfunded Mandates Information and Transparency Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Unfunded Mandates Information and Transparency Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Retirement Security Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Retirement Security Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Retirement Security Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Permanent IRA Charitable Contribution Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Permanent IRA Charitable Contribution Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Permanent IRA Charitable Contribution Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Trade Facilitation and Trade Enforcement Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Trade Facilitation and Trade Enforcement Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Zika Vector Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
Zika Vector Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
Zika Vector Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Voices for Veterans Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
Voices for Veterans Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 4114 (First Time Homeowner Savings Plan Act); H.R. 4293 (Affordable Retirement Advice Protection Act); H.R. 4294 (SAVERS Act of 2015); S. 266 (Retirement Security Act of 2015); S. 2216 (Seniorsafe Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · third_quarter · Q3
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S. 1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability or risk fee of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives; Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates); IRS notice 2015-47 (Listing Notice - Basket Option Contracts); IRS notice 2015-48 (Transaction of Interest - Basket Contracts).
H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2015 · second_quarter · Q2
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.
H.R. 915 (Voices for Veterans Act); H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1430 (Permanent CFC Look-Through Act of 2015); H.R. 2229 (Municipal Bond Market Support Act of 2015); H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 174 (Stop Tax Haven Abuse Act); S. 922 (Corporate Tax Dodging Prevention Act); S.1186 (Move America Act of 2015); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Legislation Proposals; Tax issues related to standardization of credit default swaps and derivatives transactions; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Municipal Advisor Regulation; Tax Reform Act of 2014; Issues related to proposals to impose an asset tax on financial institutions; Issues related to proposals to limit the deductability of FDIC assessments; Tax characteristics of nominal negative interest payments; Income tax withholding with respect to I.R.C. 305(c) deemed dividends; Tax Reform Legislation; Financial Transaction Tax (FTT). Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals; Issues related to taxation of negative interest payments; Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities; Issues related to taxation of securities transactions, including market to market for derivatives.
H.R. 557 (Retirement Security Act of 2015); H.R. 637 (Permanent IRA Charitable Contribution Act of 2015); H.R. 1090 (Retail Investor Protection Act); H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act); S. 266 (Retirement Security Act of 2015); SAFE Retirement Act (not yet reintroduced); DOL ERISA Fiduciary Duty Rulemaking; Sense of Congress resolution to preserve tax incentives; Preservation of tax incentives for retirement plans; Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)