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Reported covered position: N/A
How to read the money
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.
Investment Adviser Oversight Act of 2012
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. H.R. 4624.
Investment Adviser Oversight Act of 2012
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. H.R. 4624, Investment Adviser Oversight Act of 2012.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2016 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2016 · first_quarter · Q1
Source: Senate LDA
Investment Adviser Oversight Act of 2012
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of broker-dealers and investment advisers; regualtion of securities industry and markets; investor protection and education. H.R. 4624, Investment Adviser Oversight Act of 2012.
Overseas Voting Education and Reform, Safeguarding Every American's Vote Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Financial regulatory reform, including harmonization of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. Dodd-Frank Wall Street Reform and Consumer Protection Act; H.R. 4173; S. 3217
Overseas Voting Education and Reform, Safeguarding Every American's Vote Act
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. Dodd-Frank Wall Street Reform and Consumer Protection Act; H.R. 4173; S. 3217
Investor Protection Act of 2009
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. H.R. 3817, the Investor Protection Act of 2009 H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009
Secure and Fair Enforcement for Mortgage Licensing Act of 2008
Client: FINANCIAL INDUSTRY REGULATORY AUTHORITY · Firm: FINANCIAL INDUSTRY REGULATORY AUTHORITY
Regulation of the securities industry and the structure of the self-regulatory system; investor protection and education. Licensing and regulation of mortgage brokers, including S. 2595, S.A.F.E. Mortgage Licensing Act of 2008.
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2015 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2015 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2015 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2015 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2014 · fourth_quarter · Q4
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2014 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor education and protection.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2014 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2013 · third_quarter · Q3
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2013 · second_quarter · Q2
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2013 · first_quarter · Q1
Regulation of broker-dealers, securities industry and markets. Investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2012 · fourth_quarter · Q4
Regulation of broker-dealers and investment advisers; regulation of the securities industry and markets; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2012 · third_quarter · Q3
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. H.R. 4624.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2012 · second_quarter · Q2
Regulation of broker-dealers and investment advisers; regualtion of securities industry and markets; investor protection and education. H.R. 4624, Investment Adviser Oversight Act of 2012.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2012 · first_quarter · Q1
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. H.R. 4624, Investment Adviser Oversight Act of 2012.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2012 · first_quarter · Q1
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. Cong. Spencer Bachus' discussion draft legislation authorizing National Investment Adviser Associations.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2011 · fourth_quarter · Q4
Regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. Congressman Spencer Bachus' discussion draft legislation authorizing National Investment Adviser Associations.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2011 · third_quarter · Q3
Harmonizing regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2011 · second_quarter · Q2
Harmonizing regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2011 · first_quarter · Q1
Harmonizing regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. Implementation of Dodd-Frank Wall Street and Consumer Protection Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2010 · fourth_quarter · Q4
Harmonizing regulation of broker-dealers and investment advisers; regulation of securities industry and markets; investor protection and education. Implementation of Dodd-Frank Wall Street and Consumer Protection Act.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2010 · third_quarter · Q3
Financial regulatory reform, including harmonization of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. Dodd-Frank Wall Street Reform and Consumer Protection Act; H.R. 4173; S. 3217
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2010 · second_quarter · Q2
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. Dodd-Frank Wall Street Reform and Consumer Protection Act; H.R. 4173; S. 3217
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2010 · first_quarter · Q1
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. Restoring American Financial Stability Act of 2010
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2009 · fourth_quarter · Q4
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education. H.R. 3817, the Investor Protection Act of 2009 H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2009 · third_quarter · Q3
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2009 · second_quarter · Q2
Financial regulatory reform, including harmonization of regulation of broker-dealers and investment advisers; regulation of the securities industry; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2009 · first_quarter · Q1
Financial regulatory reform; regulation of the securities industry; the role of self-regulation in financial services; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2008 · fourth_quarter · Q4
Regulation of the securities industry; the role of sel-regulation in the financial services industry; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2008 · third_quarter · Q3
Regulation of the securities industry; the role of self-regulation in the financial services industry; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2008 · second_quarter · Q2
Regulation of the securities industry and the structure of the self-regulatory system; investor protection and education. Licensing and regulation of mortgage brokers, including S. 2595, S.A.F.E. Mortgage Licensing Act of 2008.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2008 · first_quarter · 1A
Regulation of the securities industry and the structure of the self-regulatory system; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2008 · first_quarter · Q1
Regulation of the securities industry and the structure of the self-regulatory system; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
FINANCIAL INDUSTRY REGULATORY AUTHORITY via FINANCIAL INDUSTRY REGULATORY AUTHORITY
2007 · year_end · YY
Regulation of the securities markets and the structure of the self-regulatory system; investor protection and education.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)