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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.
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Public Service Retirement Fairness Act of 2021
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
VANGUARD GROUP via VANGUARD GROUP
2021 · third_quarter · Q3
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Source: Senate LDA
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, portability, emergency savings, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Public Service Retirement Fairness Act of 2021
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, portability, emergency savings, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Financial Stability Oversight Council Improvement Act of 2021
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899), SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition
Financial Stability Oversight Council Improvement Act of 2021
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899) Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act (H.R. 2288) Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to fixed income funds, including money market funds Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition Issues related to licensing and supervision for remote work
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, portability, emergency savings, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Public Service Retirement Fairness Act of 2020
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to automatic enrollment Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption Issues related to the Securing a Strong Retirement Act, H.R. 8696 Issues related to the use of performance benchmarks in the case of designated investment alternatives, including H.R. 8660 Issues related to required minimum distributions
Public Service Retirement Fairness Act of 2020
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
To direct the Secretary of Labor to modify regulations to allow the use of performance benchmarks in the case of designated investment alternatives, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to automatic enrollment Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption Issues related to the Securing a Strong Retirement Act, H.R. 8696 Issues related to the use of performance benchmarks in the case of designated investment alternatives, including H.R. 8660 Issues related to required minimum distributions
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to automatic enrollment Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption Issues related to the Securing a Strong Retirement Act, H.R. 8696 Issues related to the use of performance benchmarks in the case of designated investment alternatives, including H.R. 8660 Issues related to required minimum distributions
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to automatic enrollment Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption Issues related to the Securing a Strong Retirement Act, H.R. 8696 Issues related to the use of performance benchmarks in the case of designated investment alternatives, including H.R. 8660 Issues related to required minimum distributions
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Alleviating Stress Test Burdens to Help Investors Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Financial Stability Oversight Council Improvement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, portability, emergency savings, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2021 · second_quarter · Q2
Issues related to systemic risk regulation and non-bank financial intermediation including the FSOC Improvement Act (H.R. 3899), SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to fund disclosure and investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements Issues related to diversity in the financial services industry, including the Diverse Investment Advisor Act Issues related to the LIBOR transition
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings, including the further use of Roth options Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act (S. 1770) Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act (H.R. 2741) Issues related to the Securing a Strong Retirement Act (H.R. 2954) Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2021 · first_quarter · Q1
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including the Investing in Our Communities Act Issues related to equity market structure matters Issues related to fixed income market liquidity and structure Issues related to regulation best interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus Issues related to Hart-Scott-Rodino reporting requirements
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration including automatic enrollment, required minimum distributions, missing participants, and coverage proposals Issues related to limitations on retirement plan contributions or assets Issues related to the Retirement Security and Savings Act Issues related to allowing collective investment trusts in 403(b) plans, including the Public Service Retirement Fairness Act Issues related to fiscal stimulus Issues related to the Securing a Strong Retirement Act Issues related to performance benchmarks in the case of designated investment alternatives Issues related to access to investment opportunities and the provision of advice in retirement plans
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · fourth_quarter · Q4
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to automatic enrollment Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption Issues related to the Securing a Strong Retirement Act, H.R. 8696 Issues related to the use of performance benchmarks in the case of designated investment alternatives, including H.R. 8660 Issues related to required minimum distributions
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · third_quarter · Q3
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act and Proposed Rule 1210-AB90 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to S.1431 the Retirement Security and Savings Act of 2019 Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans, including H.R. 6257 the Public Service Retirement Fairness Act of 2020 Issues related to retirement planning services Issues related to fiscal stimulus Issues related to ERISAs PPA Exemption
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to fixed income market liquidity and structure Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · second_quarter · Q2
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market funds Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act, and H.R.6899 the HEROES Act
VANGUARD GROUP via VANGUARD GROUP
2020 · first_quarter · Q1
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including H.R. 2772 the Investing in Our Communities Act Issues related to equity market structure matters Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
VANGUARD GROUP via VANGUARD GROUP
2019 · fourth_quarter · Q4
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system, including H.R.3561 /S.603 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to ETF regulation, including Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy and H.R.2772 the Investing in Our Communities Act Issues related to equity market structure matters, including the SEC's transaction fee pilot Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the delay of corporate bond market transparency, including the proposed FINRA pilot Issues related to the structure of the fixed income markets, including the Treasury market Issues related to Regulation Best Interest Issues related to investor experience Issues related to operational risk in the asset management industry Issues related to funds' use of derivatives Issues related to corporate governance, including ESG and proxy process Issues related to money market fund reforms including H.R. 4492 and S.733, the Consumer Financial Choice and Capital Markets Protection Act of 2019 Issues related to stress testing for asset managers, including H.R. 3987 the Alleviating Stress Test Burdens to Help Investors Act Issues related to housing finance reform Issues related to index providers Issues related to index funds Issues related to access to investment opportunities
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of