mr JEFFREY P MAHONEY

April 30, 2025 -CII letter to Committee on Financial Services opposing legislative provision to eliminate the PCAOB and related attachment May 19, 2025CII letter to Committee on Financial Services on markup of multi-class disclosure bill and related amendment, Attachment 1, Attachment 2 June 5, 2025 CII letter to Senate leadership opposing provision of budget reconciliation bill relating to the PCAOB June 5,2025 -Remarks to SEC IAC on Beyond the GAAP: Market Perspectives on Non-GAAP Financial Disclosures June 25, 2025CII letter to SEC on its June 16 Roundtable on Executive Compensation Disclosure Requirements, Attachment June 16, 2025CII explainer of H.R. 3357 Enhancing Multi-Class Disclosure Act

Jan 2, 2025 - CII letter to SEC on PCAOB Rules to Improve Information about Audit Firms March 25, 2025CII joint amicus brief in support of SECs rule on Regulation NMS March 19, 2025CII public comments to House Judiciary Committee on SB 21 March 31, 2025CII letter to Committee on Financial Services on multi-class disclosure legislative proposals, Attachment 1, Attachment 2

December 19, 2024 - CII letter to SEC on Approval of PCAOB's Audit Firm Reporting Rules

t Sep. 19, 2024CII letter to SEC on Reg Flex Agenda July 25, 2024CII letter to Treasury on proposed rule on outbound investments in China July 18, 2024CII letter to the SEC regarding SPACs

June 27, 2024CII letter to SEC on PCAOB final standards

March 14, 2024CII letter to SEC on Index Provider Consultation Processes March 12, 2024CII letter to SEC on Reg Flex Agenda Feb. 29, 2024CII rulemaking petition to SEC regarding technological solutions for traceability of shares under Section 11 Jan. 29, 2024CII comment letter to FDIC on Corporate Governance Guidelines

Dec. 22, 2023CII Joins Amicus Brief Supporting the SEC in Legal Challenge to Private Fund Advisor Rules Dec. 14, 2023CII letter to Commerce on Business Diversity Principles Nov. 2, 2023Testimony of CII Executive Director Amy Borrus at a hearing before the Subcommittee on Capital Markets Oct. 5, 2023CII letter to SEC supporting holding period for unregistered shares in IPOs

Sept. 29, 2023Joint CII, NASRA, NCPERS, NASRA letter to the U.S. Treasury Department on the Biden Administrations proposed regulations on outbound investments in China Aug. 28, 2023CII letter to SEC on reg flex agenda

May 23, 2023CII/CFA/HMA joint letter to Committee on Financial Services on bill to override expiration of SIFMA no-action letter April 25, 2023CII letter to House Committee on Financial Services on Mark-up

April 3, 2023CII letter to SEC on Nasdaq & NYSE clawback proposals March 30, 2023CII letter to SEC on equity market structure proposals March 23, 2023CII/CFA/HMA joint letter to SEC on research payment practices and expiration of SIFMA no-action letter March 16, 2023CII letter to SEC on reg flex agenda Feb. 16, 2023CII letter to PCAOB on confirmation proposal Jan. 19, 2023CII letter to PCAOB on proposed amendments on quality control

Dec. 1, 2022CII letter to SEC on NYSE proposed changes to direct listing with a capital raise Oct. 20, 2022CII letter to PCAOB on Interim Attestation Standards Oct. 19, 2022CII letter to SEC on Nasdaq proposed changes to direct listing with a capital raise

Sept 29, 2022CII letter to SEC on 2022-2026 strategic plan Sept. 15, 2022CII letter to PCAOB on Strategic Plan Sept. 7, 2022CII letter to SEC on reg flex agenda Sept. 1, 2022CII/CFA joint letter to SEC staff to regarding SEC Correspondence with Issuers in Machine-Readable Format Aug. 25, 2022CII letter to SEC on proposed Rule 14a-8 amendments Aug. 8, 2022CII letter to SEC staff on NASDAQ proposed rule regarding direct listings with a capital raise July 28, 2022CII letter to SEC staff on NYSE proposed rule on primary direct listings

June 24, 2022CII letter to SEC on clawback proposal June 9, 2022CII letter to SEC on SPAC reform proposal June 2, 2022CII letter to Senate Banking Committee on JOBS Act 4.0 May 19, 2022CII letter to SEC Generally Supporting SEC's Climate Disclosure Proposal, with Some Revisions May 9, 2022CII letter to SEC on Cyber Security April 13, 2022CII letter to Chair of Committee on Financial Services on Russia sanctions April 8, 2022CII letter to SEC on proposal to modernize beneficial ownership reporting April 7, 2022CII letter to SEC on proposal on Private Fund Advisers April 5, 2022CII letter to Chair and Ranking Member of Committee on Financial Services on Multi-class Bill

April 13, 2022CII letter to Chair of Committee on Financial Services on Russia sanctions April 8, 2022CII letter to SEC on proposal to modernize beneficial ownership reporting April 7, 2022CII letter to SEC on proposal on Private Fund Advisers April 5, 2022CII letter to Chair and Ranking Member of Committee on Financial Services on Multi-class Bill March 31, 2022CII letter to SEC on proposal to enhance buyback disclosures March 24, 2022CII letter to SEC on Rule 10b5-1 Feb. 24, 2022CII letter to SEC on Pay Versus Performance Feb. 24, 2022CII letter to SEC on Reg Flex Agenda

Dec. 24, 2021CII letter to SEC on Proxy Voting Advice Proposal Dec. 14, 2021CII & CFA Institute joint letter to SEC on amendments to Form N-PX Dec. 9, 2021CII letter to SEC on Nasdaq SPAC proposal Dec. 2, 2021CII letter to DOL on ESG and proxy voting proposal Attachment 1: CII letter to DOL on Fiduciary Duties Regarding Proxy Voting and Shareholder Rights Attachment 2: CII letter to DOL on Financial Factors in Selecting Plan Investments Nov. 18, 2021CII letter to SEC on clawback proposal Nov. 16, 2021CII comment letter to ISS on proposed benchmark policy changes Nov. 2, 2021CII letter to Chairman and Ranking Member of Investor Protection, Entrepreneurship and Capital Markets Subcommittee Oct. 28, 2021CII letter to SEC on private fund advisers Oct. 28, 2021CII letter to PCAOB on supervision of audits proposal Oct. 21, 2021CII letter to SEC on Nasdaq direct listing proposal Oct. 12, 2021CII letter to Chairwoman and Ranking Member of Committee on Financial Services Oct. 6, 2021CII letter to Blue Apron commending recapitalization to one share, one vote structure Oct. 1, 2021CII letter to Chairwoman and Ranking Member of Committee on Financial Services See also letters from CII Members and other organizations: Americans for Financial Reform, California Public Employees Retirement System, California State Teachers Retirement System, Consumer Federation of America, Federated Hermes, Healthy Markets Association, Los Angeles County Employees Retirement Association, North American Securities Administrators Association, Office of the New York State Comptroller, Ohio Public Employees Retirement System, Public Citizen, Railpen, Washington State Investment Board

Nov. 2, 2021CII letter to Chairman and Ranking Member of Investor Protection, Entrepreneurship and Capital Markets Subcommittee Oct. 28, 2021CII letter to SEC on private fund advisers Oct. 28, 2021CII letter to PCAOB on supervision of audits proposal Oct. 21, 2021CII letter to SEC on Nasdaq direct listing proposal Oct. 12, 2021CII letter to Chairwoman and Ranking Member of Committee on Financial Services Oct. 6, 2021CII letter to Blue Apron commending recapitalization to one share, one vote structure Oct. 1, 2021CII letter to Chairwoman and Ranking Member of Committee on Financial Services See also letters from CII Members and other organizations: Americans for Financial Reform, California Public Employees Retirement System, California State Teachers Retirement System, Consumer Federation of America, Federated Hermes, Healthy Markets Association, Los Angeles County Employees Retirement Association, North American Securities Administrators Association, Office of the New York State Comptroller, Ohio Public Employees Retirement System, Public Citizen, Railpen, Washington State Investment Board Sept. 27, 2021CII letter to IASB on agenda consultation Sept. 16, 2021CII letter to FASB on agenda consultation Sept. 14, 2021CII letter to U.K. FCA on dual-class share structures Aug. 19, 2021CII letter to SEC on Reg Flex Agenda July 28, 2021CII letter to Chairwoman and Ranking Member of Committee on Financial Services July 15, 2021CII letter to IFRS Foundation on Proposed International Sustainability Standards Board

June 24, 2021CII letter to the PCAOB on determinations under the Holding Foreign Companies Accountable Act June 14, 2021CII letter to Speaker and Minority Leader regarding amendment to H.R. 1187 June 11, 2021ClI letter to SEC on climate change disclosures June 10, 2021Prepared Written Remarks to SEC IAC on Rule 10b5-1 June 2, 2021CII letter to SEC on finalizing universal proxies for contested elections May 27, 2021CII letter to SEC on Nasdaq proposal relating to PCAOB inspections May 26, 2021CII letter to TSY/AU on proxy advice May 26, 2021CII letter to DOL on ESG & proxy rules May 5, 2021CII letter to SEC on Holding Foreign Companies Accountable Act Disclosure April 27, 2021CII letter to Chairman and Ranking Member of Banking Committee on S.J. Res. 16. April 22, 2021CII letter to SEC Chair Attachment: CII letter to SEC on agenda April 22, 2021CII letter to SEC on agenda April 22, 2021CII letter to Chair and Ranking Member of Committee on Financial Services on H.R. 1277 April 1, 2021CII letter to SEC on Nasdaq diversity proposal

March 25, 2021CII letter to SEC on Nasdaq proposal relating to SPACs March 18, 2021CII letter to Senate Banking Committee supporting the SEC as Investor Advocate Act of 2021 Attachment: draft of the SEC as Investor Advocate Act of 2021 March 18, 2021CII letter to SEC on Rule 144 March 16, 2021 CII staff and members met with staffers from the offices of Sen. Tammy Baldwin (D-Wisc.) and Rep. Anthony Gonzalez (R-Ohio) as well as staffers from the House Financial Services Committees Subcommittee on Investor Protection, Entrepreneurship and Capital Markets and the Senate Banking Committees Subcommittee on Securities and Capital Markets. At the SEC, they met with Acting Chair Allison Herren Lee, Commissioner Hester Peirce, Investor Advocate Rick Fleming and Acting Director of the Division of Corporation Finance John Coates. Feb. 25, 2021CII letter to SEC on NYSE proposal relating to SPACs Feb. 18, 2021CII letter to SEC on Nasdaq proposal relating to restrictive market companies Feb. 17, 2021CII letter to UK Treasury on dual-class share structures Feb. 1, 2021CII letter to FTC on premerger notification proposal Jan. 13, 2021CII letter to SEC on Nasdaq proposal relating to direct listings Jan. 7, 2021CII letter to SEC on Nasdaq proposal relating to SPACs

Feb. 1, 2021CII letter to FTC on premerger notification proposal Jan. 13, 2021CII letter to SEC on Nasdaq proposal relating to direct listings Jan. 7, 2021CII letter to SEC on Nasdaq proposal relating to SPACs Dec. 30, 2020CII letter to the SEC supporting Nasdaq's Proposed Listing Standard on Board Diversity Dec. 17, 2020CII letter to IFRS Foundation on Sustainability Reporting Attachment: Responses to Questions for Consultation in the IFRS Foundation Consultation Paper on Sustainability Reporting Dec. 11, 2020Joint letter to the Treasury Department's Office of Foreign Assets Control on the Presidential Executive Order on Chinese Companies with Military Ties Dec. 11, 2020CII letter to Roblox regarding its adoption of a seven-year time-based sunset Dec. 9, 2020CII letter to Affirm Holdings regarding its adoption of a seven-year time-base sunset Dec. 9, 2020CII letter to Wish regarding its adoption of a seven-year time-based sunset Dec, 3, 2020CII letter to DoorDash on time-based sunset provisions for super-voting share classes Dec, 3, 2020CII letter to SEC on auditor independence rules

Nov. 9, 2020 CII letter to Brazilian Securities Commission on dual-class stock Oct 13, 2020 CII amicus brief in Institutional Shareholder Services v. SEC Oct. 8, 2020 CII letter to SEC on Nasdaq direct listing proposal Sept. 30, 2020 CII letter to SEC on Nasdaq restrictive market proposals Sept. 25, 2020 CII letter to SEC on agenda Sept. 24, 2020 CII letter to DOL on Fiduciary Duties Regarding Proxy Voting and Shareholder Rights Sept. 17, 2020 CII letter to SEC on Form 13F proposal Sept. 8, 2020 CII Petition for Review of an Order and Brief in Opposition to Motion to Lift the Automatic Stay on NYSE direct listings Sept. 4, 2020 Joint letter to SEC on proposed changes to Rule 14a-8 Sept. 3, 2020 CII letter to Palantir Technologies on adding a dual-class stock sunset provision

June 29, 2020CII letter to SEC on PCAOB board seat June 25, 2020CII letter to SEC on Nasdaq proposed rules regarding companies from restrictive markets June 18, 2020CII letter to SEC on Nasdaq proposed rule regarding listed companys auditor in a restrictive market June 11, 2020CII letter to PCAOB on Interim Analysis No. 2020-01, Critical Audit Matter Requirements June 11, 2020CII responses to European Commission consultation on Non-Financial Reporting Directive review June 5, 2020Joint CII ILPA Letter to SEC on IA Committee May 28, 2020CII letter to SEC on exempt offering framework May 21, 2020CII letter to World Economic Forum regarding sustainability dislcosure consultation May 19, 2020CII supplemental comment letter on SEC proposed amendments to Rule 14a-8 May 14, 2020CII letter to S&P regarding Facebook and S&P 500 ESG Index May 5, 2020CII letter to SEC on fund names May 3, 2020CII letter to the SEC Investor Advisory Committee on public company disclosure considerations and shareholder engagement/virtual shareholder meetings in the Covid-19 pandemic context April 29, 2020CII and CFA Institute joint comment letter to SEC on MD&A proposal April 27, 2020CII and CFA joint letter to Congressional Leadership supporting independent accounting standard setting April 23, 2020CII letter to SEC on IEX D-Limit order type April 23, 2020PCAOB response letter to April 9 CII letter on Luckin Coffee April 23, 2020CII response to HKEX corporate dual-class consultation April 22, 2020Letter from CII and other investor groups to AT&T on participation in virtual shareholder meeting April 16, 2020CII comment letter to SEC on NYSE direct listing proposal April 9, 2020CII letter to PCAOB Chairman on Luckin Coffee Inc. March 27, 2020Reactions from Legal Experts to Footnote # 169 in Salzberg v. Blue Apron Holdings, Inc., et al. March 19, 2020CII comment letter to PCAOB on Quality Control Standards March 16, 2020CII comment letter to SEC on Qualifications of Accountants March 12, 2020CII response to Hang Seng dual class consultation

April 16, 2020CII comment letter to SEC on NYSE direct listing proposal April 9, 2020CII letter to PCAOB Chairman on Luckin Coffee Inc. March 27, 2020Reactions from Legal Experts to Footnote # 169 in Salzberg v. Blue Apron Holdings, Inc., et al. March 19, 2020CII comment letter to PCAOB on Quality Control Standards March 16, 2020CII comment letter to SEC on Qualifications of Accountants March 12, 2020CII response to Hang Seng dual class consultation Feb. 27, 2020Remarks to SEC IAC on Initial Reporting of CAMs Feb. 20, 2020CII comment letter to the SEC on amendments to exemptions from the proxy rules for proxy voting advice Feb. 20, 2020CII comment letter to the SEC on proposed order regarding the National Market System plans Feb. 13, 2020CII and investor letter to the SEC on pragmatic problems with proposed proxy advisor regulation Feb. 13, 2020CII supplemental comment letter on SEC proposal to regulate proxy advisors, posing questions about on the economic analysis Feb. 11, 2020Comment letter to SEC supporting IEX proposal for new discretionary limit order type Feb. 11, 2020Comment letter on SECs proposed amendments to Investment Advisor Advertisements Rule Feb. 4, 2020CII supplemental comment letter on SEC proposal to regulate proxy advisors, concerning allegations of proxy advisor errors Jan. 30, 2020Comment letter to the SEC on proposed rules for proxy voting advice Jan. 30, 2020Comment letter to the SEC on proposed amendments to Rule 14a-8 Jan. 28, 2020CII appeal to SEC regrading FOIA determination (Response: Notice of Remand on Apr. 29, 2020) Jan. 16, 2020CII letter to SEC on NYSE proposed direct listings rule Jan. 9, 2020Letter Thanking Intuits Board on Opposing Mandatory Arbitration Shareholder Proposal

Jan. 30, 2020Comment letter to the SEC on proposed rules for proxy voting advice Jan. 30, 2020Comment letter to the SEC on proposed amendments to Rule 14a-8 Jan. 28, 2020CII appeal to SEC regrading FOIA determination Jan. 16, 2020CII letter to SEC on NYSE proposed direct listings rule Jan. 9, 2020Letter Thanking Intuits Board on Opposing Mandatory Arbitration Shareholder Proposal Dec. 31, 2019Letter to SEC GC seeking dispute resolution on FOIA request for SEC analysis of errors by proxy advisors Dec. 5, 2019Letter to SEC on NMS Plan Fee Amendments Dec. 2, 2019Letter to Speaker and Republican Leader on Insider Trading Prohibition Act Nov. 26, 2019Letter to SEC on PCAOB auditor independence guidance Nov. 25, 2019Letter to House Financial Services Committee leaders on PE fund hearing Nov. 22, 2019Letter to SEC with additional organizations supporting 120-day comment period on proposed rules Nov. 15, 2019Letter to SEC requesting 120-day comment periods on proxy advisor and 14a-8 proposals Nov. 14, 2019Letter to SEC requesting more information on proxy advisor proposal Nov. 14, 2019CII FOIA request for SEC analysis of alleged proxy advisor errors Response letter Nov. 4, 2019CII & CFA joint letter to UK Department for Business, Energy and Industrial Strategy on internal controls Oct. 28, 2019CII amicus brief in Salzberg v. Sciabacucchi to the Delaware Supreme Court regarding forum selection provisions Oct. 24, 2019CII comment letter to SEC on proxy advisor regulation Oct. 23, 2019CII letter to Chair and Ranking Member of Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets regarding hearing on Examining Corporate Priorities: The Impact of Stock Buybacks on Workers, Communities, and Investors Oct. 17, 2019CII letter to SEC on proposal to modernize Regulation S-K Oct. 15, 2019CII letter to SEC on proxy advisor regulation co-signed by 60 investors and investor organizations Oct. 9, 2019CII letter to SEC on PCAOB appointments Oct. 3, 2019CII letter to SEC on Concept Release on Harmonization of Securities Offering Exemptions Sept. 20, 2019CII letter to Airbnb on equity structure as a public company Sept. 19, 2019 Joint letter to the SEC on new no-action policy Sept. 17, 2019Joint Petition to the SEC for Transparency of Funding of Consolidated Market Data Sept. 13, 2019CII letter to Delaware State Bar Association to amend DGCL to limit dual class stock companies Sept. 13, 2019CII letter to ABA to amend the MBCA to limit dual class stock companies Sept. 4, 2019CII letter to Peloton on equity structure as a public company Aug. 22, 2019CII letter to SEC/CFTC on customer margin rules Aug. 15, 2019CII letter to SEC on proxy voting and proxy advisors Aug. 12, 2019CII letter to SEC on 14a-8 process Aug. 2, 2019CII letter to The We Company on equity structure as a public company Aug. 1, 2019CII letter to SEC on LTSE proposed rule change to adopt rule 14.425 Aug. 1, 2019Joint CII and Investment Company Institute amicus brief in support of denying stock exchange petitions for review of the SEC's transaction fee pilot

Oct. 28, 2019CII amicus brief in Salzberg v. Sciabacucchi to the Delaware Supreme Court regarding forum selection provisions Oct. 24, 2019CII comment letter to SEC on proxy advisor regulation Oct. 23, 2019CII letter to Chair and Ranking Member of Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets regarding hearing on Examining Corporate Priorities: The Impact of Stock Buybacks on Workers, Communities, and Investors Oct. 17, 2019CII letter to SEC on proposal to modernize Regulation S-K Oct. 15, 2019CII letter to SEC on proxy advisor regulation co-signed by 60 investors and investor organizations Oct. 9, 2019CII letter to SEC on PCAOB appointments Oct. 3, 2019CII letter to SEC on Concept Release on Harmonization of Securities Offering Exemptions Sept. 20, 2019CII letter to Airbnb on equity structure as a public company Sept. 19, 2019 Joint letter to the SEC on new no-action policy Sept. 17, 2019Joint Petition to the SEC for Transparency of Funding of Consolidated Market Data Sept. 13, 2019CII letter to Delaware State Bar Association to amend DGCL to limit dual class stock companies Sept. 13, 2019CII letter to ABA to amend the MBCA to limit dual class stock companies Sept. 4, 2019CII letter to Peloton on equity structure as a public company Aug. 22, 2019CII letter to SEC/CFTC on customer margin rules Aug. 15, 2019CII letter to SEC on proxy voting and proxy advisors Aug. 12, 2019CII letter to SEC on 14a-8 process Aug. 2, 2019CII letter to The We Company on equity structure as a public company Aug. 1, 2019CII letter to SEC on LTSE proposed rule change to adopt rule 14.425 Aug. 1, 2019Joint CII and Investment Company Institute amicus brief in support of denying stock exchange petitions for review of the SEC's transaction fee pilot

July 9, 2019CII letter to Chair and Ranking Member of Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets regarding hearing on Building a Sustainable and Competitive Economy: An Examination of Proposals to Improve Environmental, Social and Governance Disclosures June 27, 2019CII letter to Senators Grassley & Reed regarding S. 1256. June 26, 2019CII letter to Endeavor Group on its dual-class IPO June 26, 2019CII-CFA-HMA joint letter to SEC Chairman Jay Clayton on MiFID II June 20, 2019CII letter to SEC Division of Corporation Finance on interpretation of the 14a-8(i)(7) ordinary business exclusion in no-action letters June 19, 2019CII letter to Chair & Ranking Member of Committee on Financial Services regarding hearing on Diversity in the Boardroom: Examining Proposals to Increase the Diversity of Americas Boards June 18, 2019CII letter to Chair and Ranking Member of Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of Committee on Financial Services regarding hearing on Putting Investors First: Examining Proposals to Strengthen Enforcement Against Securities Law Violators

March 21, 2019CII letter to SEC on earnings releases and quarterly reports March 13, 2019CII letter to SEC on NASDAQ direct listing proposal Feb. 27, 2019CII letter to Chair and Ranking Member of Senate Banking Committee regarding hearing on capital formation and corporate governance Feb. 15, 2019CII letter to SEC on stock exchange costs Feb. 11, 2019CII letter to SEC on NYSE SPACs proposal Feb. 6, 2019CII letter to Representative Meeks on Improving Corporate Governance Through Diversity Act Jan. 31, 2019CII letter to SEC on proxy mechanics Jan. 31, 2019CII letter to SEC on MiFID II research provisions Jan. 31, 2019CII letter to SEC on mandatory arbitration Jan. 22, 2019CII letter to SEC on Long-Term Stock Exchange, Inc's registration as a national securities exchange Jan. 22, 2019CII letter to Chair and Ranking Member of Committee on Financial Services regarding H.R. 624

Dec. 20, 2018CII letter to SEC on improving retail shareholder voting turnout and XBRL Dec. 13, 2018CII letter to SEC on reg. flex agenda Dec. 6, 2018CII letter to FTC on common ownership Dec. 5, 2018CII letter to Senate Banking Commitee on proxy process and rules Nov. 26, 2018CII letter to SEC on Reg. S-X disclosures about guarantors Nov. 8, 2018CII letter to SEC on the proxy system Nov. 8, 2018CII letter to SEC on security-based swap proposals Nov. 8, 2018CII letter to SEC on NYSE SPACs proposal Meetings with House Banking and Senate Finance staffers

July 10, 2018CII letter to Chair and Ranking Member of House Financial Services Committee on markup of legislative proposals regarding 10b5-1 plans and multi-class stock disclosures July 11, 2018CII letter to SEC on semi-annual regulatory agenda July 19, 2018CII letter to SEC on strategic plan Aug. 14, 2018Joint CII-MFA comment letter in support of de minimis exemption and clarification of investment-only exemption Sept. 13, 2018Executive Director Ken Bertsch's Remarks to the SEC Investor Advisory Committee on U.S. Proxy Voting Infrastructure

May 8, 2018CII letter to SEC on oversight of cryptocurrencies and initial coin offerings May 10, 2018CII letter to SEC on transaction fee pilot May 22, 2018CII letter to Chair and Ranking Member of House Capital Markets Subcommittee on legislative proposals June 6, 2018CII letter to Chair and Ranking Member of House Financial Services Committee on markup of legislative proposals June 12, 2018CII letter to Chair and Ranking Member of House Capital Markets Subcommittee regarding H.R. 5037 June 27, 2018CII letter to Chair and Ranking Member of Senate Banking Committee on H.R. 4015 and S. 536 June 28, 2018CII letter to SEC regarding auditor independence

Jan. 18, 2018CII follow-up letter to the SEC on potential misuse of Rule 10b5-1 trading plans Jan. 25, 2018CII follow-up letter to SEC on NASDAQ listing standard for SPACs Jan. 29, 2018CII letter to SEC on forced arbitration provisions in public company governing documents Jan. 31, 2018CII letter to SEC on no-action relief at AES Corporation Feb. 12, 2018CII letter on SEC chair's rulemaking priorities (RegFlex Agenda) Feb. 22, 2018CII letter to SEC on NYSE direct listing proposal Feb. 27, 2018Co-signed letter to the Senate Banking Committee on proposed legislation relating to proxy advisory firms and institutional investors (H.R. 4015) March 5, 2018Joint CII, Ceres, ICCR, and US SIF letter regarding S. 2155 and Rule 14a-8 March 15, 2018 Meetings w/ Offices of Sen.Schumer, Sen. Warren, Elad Roisman, Elisha Tuku, Sen. Cory Gardner, Sen. Patty Murray, SEC Commissioner Hester Peirce, Rep. Peter King, Rep. Nancy Pelosi March 26, 2018CII letter to SEC on NYSE listing standard for SPACs

Oct. 10, 2017CII letter to SEC on human capital management disclosures Oct. 25, 2017CII letter to SEC on NASDAQ listing standard for SPACs Nov. 9, 2017CII joint letter to House Financial Services Committee on H.R. 4015 on legislation relating to proxy advisory firms Nov. 9, 2017Joint letter from CII, Ceres, ICCR, and US SIF regarding rule 14a-8 Attachment: An Investor Response to the U.S. Chamber's Proposal to Revise SEC Rule 14a-8 Nov. 16, 2017CII letter to Federal Reserve on boards of directors Nov. 22, 2017CII letter to Chair and Ranking Member of the Senate Finance Committee on the Unrelated Business Income Tax and Public Pension Plans Dec. 12, 2017CII letter to Speaker and Minority Leader on proxy advisory firm legislation Dec. 20, 2017CII letter to SEC on NYSE listing standard for SPACs Dec. 20, 2017CII letter to SEC on FAST Act proposal

July 5, 2017 - Joint letter from CII, Ceres, Interfaith Center on Corporate Responsibility, and US SIF requesting a meeting with SEC Chair to discuss Rule 14a-8 July 7, 2017CII letter to Senator Reed on the Cybersecurity Disclosure Act (S.536) July 10, 2017CII letter to Chair and Ranking Member of the House Appropriations Committee on universal proxy rider July 17, 2017CII letter to House Subcommittee on Capital Markets, Securities, and Investment on Hearing on Cost of Being a Public Company July 20, 2017CII letter to Speaker and Minority Leader regarding universal proxy rider Aug. 8, 2017CII letter to SEC regarding PCAOB standard Aug. 21, 2017CII letter to SEC regarding rule 14a-8 Aug. 23, 2017CII letter to Treasury on Capital Markets Report Sept. 7, 2017CII letter to SEC on regulatory agenda Sept. 22, 2017CII letter to SEC on no-action relief relating to MiFID II

April 6, 2017- CII letter to Senate Banking Committee in response to request for proposals to foster economic growth April 24, 2017CII letter to House Financial Services Committee on the CHOICE Act discussion draft April 28, 2017Testimony of Ken Bertsch before the Committee on Financial Services April 29, 2017CII letter to House Financial Services Committee on mark-up of the Financial CHOICE Act May 1, 2017Joint CII, Center for Audit Quality and CFA Institute letter to House Financial Services Committee on the Financial CHOICE Act May 17, 2017Co-signed letter to Speaker of the House of Representatives Paul Ryan Similar letters were sent to all members of the House of Representatives June 5, 2017Email to House Speaker Ryan regarding Joint Statement on Defending Fundamental Shareholder Rights Similar emails were sent to all members of the House of Representatives

Jan. 12, 2017CII letter to House Leadership on H.R. 78. Feb. 9, 2017CII letter to House Financial Services Committee Chair on the Financial CHOICE Act and funding for the Governmental Accounting Standards Board March 9, 2017Testimony before the SEC Investor Advisory Committee: Unequal Voting Rights in Common Stock March 9, 2017CII letter to house speaker and minority leader opposing H.R. 985 March 13, 2017CII letter to House Financial Services Committee members on JOBS Act hearing March 15, 2017Joint letter to National Economic Council on shareholder proposal process March 23, 2017Proposed questions for the confirmation hearing of SEC Chair Nominee Jay Clayton

Dec. 28, 2016CII comment letter to SEC on universal proxy Dec. 8, 2016CII Executive Director Ken Bertsch - Remarks to SEC Investor Advisory Committee Nov. 10, 2016CII letter to Congressional Leadership opposing riders Oct. 26, 2016CII letter to SEC on Subpart 400 of Regulation S-K Oct. 18, 2016CII letter to SEC on Exhibit Hyperlinks

July 27, 2016CII letter to PCAOB on proposed amendments to Audit Report Standards

Sept. 22, 2016CII letter to SEC on 'Disclosure Update and Simplification' proposal Sept. 20, 2016CII letter to Capital Markets Subcommittee on corporate governance hearing (Subcommittee Hearing on Corporate Governance: Fostering a System that Promotes Capital Formation and Maximizes Shareholder Value) Sept. 12, 2016CII letter to Chair and Ranking Member of the Committee on Financial Services regarding the CHOICE Act of 2016 Sept. 7, 2016CII letter to Speaker of House and Minority Leader opposing H.R. 5424, Investment Advisers Modernization Act of 2016 Sept. 6, 2016Co-signed CII letter to Senate Banking Committee on proposed legislation relating to proxy advisory firms (H.R. 5311, the Corporate Governance Reform and Transparency Act of 2016) Aug. 30, 2016CII/CAQ letter to SEC on Smaller Reporting Company Definitions July 15, 2016CII letter to six agencies on incentive-based pay at certain financial institutions July 8, 2016CII letter to SEC on Regulation S-K Concept Release

CII letter to the House Financial Services Committee on the Corporate Governance Reform and Transparency Act of 2016 (HR 5311) CII letter to the House Financial Services Committee on the SEC Regulatory Accountability Act (H.R. 5429) Legislative Proposals to Enhance Capital Formation, Transparency, and Regulatory Accountability - Statement of Ken Bertsch for the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services CII letter to SEC on Regulation S-K Concept Release

CII letter to PCAOB on proposed amendments to Audit Report Standards

HR 5016 Financial Services and General Government Appropriations Act of 2015. The bill includes provisions that provide a level of funding to the SEC that is $300 million below the Presidents request and, if maintained, we fear could seriously inhibit the SECs mission of protecting investors, including protecting the retirement savings of millions of American workers.

JOBS Act implementation issues- draft "Reg D Bill" HR 4564 HR 2629

HR 1105- The Small Business Capital Access and Job Preservation Act

Dodd-Frank Implementation JOBS Act Implementation

JOBS Bill- Jumpstart Our Business Startups Act Dodd-Frank Implementation S. 3468

JOBS Bill- Jumpstart Our Business Startups Act Dodd-Frank Implementation S. 3468

Jumpstart Our Business Startups Act Dodd-Frank Implementation

Jumpstart Our Business Startups Act (JOBS) bills in Congress Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation

Dodd-Frank Implementation, proposed rules and amendments

Dodd-Frank Implementation SEC/CFTC Funding

Dodd-Frank Wall Street Consumer Reform and Protection Act- Implementation issues SEC and CFTC Funding Issues

SEC and CFTC Funding; Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act.

Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act

Securities and Exchange Commission, Proposed Rule, Facilitating Shareholder Director Nominations H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2010 S. 3217, Restoring American Financial Stability Act of 2010

Securities and Exchange Commission, Proposed Rule, Facilitating Shareholder Director Nominations H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2010 S. 3217, Restoring American Financial Stability Act of 2010

SEC- Facilitating Shareholder Director Nominations (Proposed Rule) H.R. 4173- The Wall Street Reform and Consumer Protection Act of 2009 H.R. 4537- Shareholder Protection Act of 2010 S. 3217- Restoring American Financial Stability Act of 2010 Citizens United v. Federal Election Commission -Corporate Political Spending

SEC- Facilitating Director Shareholder Nominations (Proposed Rule) H.R. 4173- "The Wall Street Reform and Consumer Protection Act of 2009" S. 3217-"Restoring American Financial Stability Act of 2010" H.R. 4537-"Shareholder Protection Act of 2010" Citizens United v. Federal Election Commission- Corporate Political Spending

H.R. 3996, the Financial Stability Improvement Act of 2009 H.R. 3272, the Corporate Governance Reform Act of 2009 H.R. 3795, the Over-the-Counter Derivatives Markets Act of 2009 H.R. 3817, the Investor Protection Act of 2009 H.R. 3890, the Accountability and Transparency in Rating Agencies Act H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 S. [not yet introduced] Restoring American Financial Stability Act of 2009

H.R. 2861: SHAREHOLDER EMPOWERMENT ACT OF 2009 S. 1074: SHAREHOLDER BILL OF RIGHTS ACT OF 2009

H.R. 2861: "Shareholder Empowerment Act of 2009" (Peters-June 12, 2009) S. 1074:"Shareholder Bill of Rights Act of 2009" (Shumer - May 19, 2009)

Capital Market Regulation Reform, Corporate Governance Issues

Capital Market Regulation Reform, Corporate Governance Issues

The Emergency Economic Stabilization Act of 2008; Corporate Governance Issues