Loading…
How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
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 · 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
Source: Senate LDA
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus, including 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 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 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 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 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
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
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 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, 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
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 H.R. 4117 the IRA Preservation Act of 2019 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 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 Issues related to retirement planning services Issues related to H.R. 4117 the IRA Preservation Act of 2019 Issues related to H.R. 6257 the Public Service Retirement Fairness Act 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 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 H.R. 4117 the IRA Preservation Act of 2019 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
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 Issues related to retirement planning services Issues related to H.R. 4117 the IRA Preservation Act of 2019 Issues related to H.R. 6257 the Public Service Retirement Fairness Act 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 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
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus, including H.R.6899 the HEROES Act
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 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 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 H.R. 4117 the IRA Preservation Act of 2019 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
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus, including 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 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 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 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 Issues related to retirement planning services Issues related to H.R. 4117 the IRA Preservation Act of 2019 Issues related to H.R. 6257 the Public Service Retirement Fairness Act Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
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 H.R. 4117 the IRA Preservation Act of 2019 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
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 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 Issues related to retirement planning services Issues related to H.R. 4117 the IRA Preservation Act of 2019 Issues related to H.R. 6257 the Public Service Retirement Fairness Act Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
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 H.R. 4117 the IRA Preservation Act of 2019 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 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 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 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
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus, including H.R.6899 the HEROES 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
Retirement Enhancement and Savings Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including H.R. 1007/S. 972 Retirement Enhancement and Savings Act of 2019, H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 and S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019 Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019 Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act
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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act Issues related to H.R.4117 IRA Preservation Act of 2019
Setting Every Community Up for Retirement Enhancement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including H.R. 1007/S. 972 Retirement Enhancement and Savings Act of 2019, H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 and S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Setting Every Community Up for Retirement Enhancement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act 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 state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including the Retirement Enhancement Savings Act and H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Setting Every Community Up for Retirement Enhancement Act of 2019
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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act Issues related to H.R.4117 IRA Preservation Act of 2019
Setting Every Community Up for Retirement Enhancement Act of 2019
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services
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 systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
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 Proposed 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 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 systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
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
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 Proposed 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
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
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 Proposed 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 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act Issues related to H.R.4117 IRA Preservation Act of 2019
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 Proposed 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
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, 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act Issues related to H.R.4117 IRA Preservation Act of 2019
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including H.R. 1007/S. 972 Retirement Enhancement and Savings Act of 2019, H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 and S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services
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 systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
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 Proposed 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
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
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 S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds 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 Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on 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 governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019 Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
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
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 Proposed 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 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 systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
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 S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds 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 Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on 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 governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including H.R. 1007/S. 972 Retirement Enhancement and Savings Act of 2019, H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 and S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
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. 4601 the Financial Stability Oversight Council Improvement Act Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act Issues related to Electronic Delivery of Mutual Fund Shareholder Reports
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans) Issues related to REIT pass-through deduction
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
Mobile Workforce State Income Tax Simplification Act of 2017
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
Mobile Workforce State Income Tax Simplification Act of 2017
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans) Issues related to REIT pass-through deduction
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans) Issues related to REIT pass-through deduction
Consumer Financial Choice and Capital Markets Protection Act of 2018
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. 4601 the Financial Stability Oversight Council Improvement Act and S.3577 the Financial Stability Oversight Council Improvement Act of 2018 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to cross border derivative trading provisions 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 Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
Consumer Financial Choice and Capital Markets Protection Act of 2018
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. 4601 the Financial Stability Oversight Council Improvement Act Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act Issues related to Electronic Delivery of Mutual Fund Shareholder Reports
Consumer Financial Choice and Capital Markets Protection Act of 2018
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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
Consumer Financial Choice and Capital Markets Protection Act of 2018
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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors 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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors 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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors 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. 4601 the Financial Stability Oversight Council Improvement Act Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act Issues related to Electronic Delivery of Mutual Fund Shareholder Reports
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans Issues related to financial transaction tax Issues related to fiscal stimulus, including the Employee Retention Tax Credit
Issues related to funding the federal government, including the debt ceiling
Issues related to cybersecurity and data privacy
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 related to funding the federal government
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 related to cybersecurity and data privacy
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
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 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 · 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
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus
Issues related to funding the federal government
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
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, NIST cybersecurity framework and related matters)
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
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, NIST cybersecurity framework and related matters)
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 H.R. 4117 the IRA Preservation Act of 2019 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 related to funding the federal government
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019 Issues related to expansion of the Employee Retention Tax Credit, including H.R.6776 the JOBS Credit Act of 2020 Issues related to fiscal stimulus, including H.R.6899 the HEROES Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2020 · first_quarter · Q1
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
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 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 Issues related to retirement planning services Issues related to H.R. 4117 the IRA Preservation Act of 2019 Issues related to H.R. 6257 the Public Service Retirement Fairness Act Issues related to fiscal stimulus, including H.R. 748 the Coronavirus Aid, Relief, and Economic Security (CARES) Act
Issues related to funding the federal government
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 the Wall Street Tax Act of 2019 and H.R. 1516 the Wall Street Tax Act 2019
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2019 · fourth_quarter · Q4
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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act Issues related to H.R.4117 IRA Preservation Act of 2019
VANGUARD GROUP via VANGUARD GROUP
2019 · third_quarter · Q3
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to auto-enrollment safe harbor Issues related to improving and enhancing retirement plans Issues related to H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to universal savings account vehicles Issues related to portable retirement accounts Issues related to allowing collective investment trusts in 403(b) plans Issues related to retirement planning services
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 Proposed 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
VANGUARD GROUP via VANGUARD GROUP
2019 · second_quarter · Q2
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including RETIRE Act 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 multiple employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including H.R. 1007/S. 972 Retirement Enhancement and Savings Act of 2019, H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 and S.1431 Retirement Security and Savings Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
VANGUARD GROUP via VANGUARD GROUP
2019 · first_quarter · Q1
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including the RETIRE Act 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 state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying and enhancing retirement plans, including the Retirement Enhancement Savings Act and H.R.1994 Setting Every Community up for Retirement Enhancement Act of 2019 Issues related to lifetime income disclosure mandates Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
VANGUARD GROUP via VANGUARD GROUP
2018 · fourth_quarter · Q4
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to REIT pass-through deduction
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including H.R. 4610 and S.3795, the RETIRE Act Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans, including the Retirement Enhancement and Savings Act S. 2526 and H.R. 5282, the Retirement Plan Simplification and Enhancement Act H.R. 4524, and the Family Savings Act H.R. 6757 Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
VANGUARD GROUP via VANGUARD GROUP
2018 · third_quarter · Q3
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including H.R. 4610, the RETIRE Act Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans, including the Retirement Enhancement and Savings Act S. 2526 and H.R. 5282, the Retirement Plan Simplification and Enhancement Act H.R. 4524, and the Family Savings Act H.R. 6757 Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
VANGUARD GROUP via VANGUARD GROUP
2018 · 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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
VANGUARD GROUP via VANGUARD GROUP
2018 · first_quarter · Q1
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
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. 4601 the Financial Stability Oversight Council Improvement Act Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act Issues related to Electronic Delivery of Mutual Fund Shareholder Reports
VANGUARD GROUP via VANGUARD GROUP
2017 · fourth_quarter · Q4
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including H.R. 4610, the RETIRE Act Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans, including H.R. 4524, the Retirement Plan Simplification and Enhancement Act Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles
VANGUARD GROUP via VANGUARD GROUP
2017 · third_quarter · Q3
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac 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 Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms
VANGUARD GROUP via VANGUARD GROUP
2017 · 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 Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
VANGUARD GROUP via VANGUARD GROUP
2017 · first_quarter · Q1
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 675) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
VANGUARD GROUP via VANGUARD GROUP
2016 · fourth_quarter · Q4
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans), including the Ax the Tax on Middle Class Americans' Health Plans Act (H.R. 879).
VANGUARD GROUP via VANGUARD GROUP
2016 · third_quarter · Q3
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans), including the Ax the Tax on Middle Class Americans' Health Plans Act (H.R. 879).
VANGUARD GROUP via VANGUARD GROUP
2016 · 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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
VANGUARD GROUP via VANGUARD GROUP
2016 · first_quarter · Q1
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
VANGUARD GROUP via VANGUARD GROUP
2015 · fourth_quarter · 4A
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
VANGUARD GROUP via VANGUARD GROUP
2015 · fourth_quarter · Q4
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
VANGUARD GROUP via VANGUARD GROUP
2015 · third_quarter · Q3
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
VANGUARD GROUP via VANGUARD GROUP
2015 · second_quarter · Q2
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of their current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor
VANGUARD GROUP via VANGUARD GROUP
2015 · first_quarter · Q1
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB), International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913)
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
General tax issues related to mutual funds and ETFs Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019 Issues related to retirement savings in H.R.1865, the Further Consolidated Appropriations Act
Issues related to reductions in the federal debt and federal budget deficit Issues related to the debt ceiling and avoiding federal government default Issues related to funding the federal government
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: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax treatment Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
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 systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform Issues related to index providers Issues related to index funds
Issues related to reductions in the federal debt and federal budget deficit Issues related to the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
General tax issues related to mutual funds Issues related to tax incentives for retirement savings Issues related to capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans, including the retention of 529 plan tax incentives Issues related to REIT pass-through deduction Issues related to Financial Transaction Tax, including S.647 Wall Street Tax Act of 2019 and H.R. 1516 Wall Street Tax Act 2019
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 S.630 the Financial Stability Oversight Council Improvement Act of 2019 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed 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 advanced refundings Issues related to equity market structure matters Issues related to the SEC's transaction fee pilot Issues related to margin rules for uncleared swaps, including initial margin thresholds 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 Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on 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 governanace Issues related to money market fund reforms including S.737 the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers Issues related to housing finance reform
Issues related to cybersecurity (e.g. information sharing abilities, data breach notification, data privacy, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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. 4601 the Financial Stability Oversight Council Improvement Act and S.3577 the Financial Stability Oversight Council Improvement Act of 2018 Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to cross border derivative trading provisions 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 Issues related to the structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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. 4601 the Financial Stability Oversight Council Improvement Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to ETF regulation, including Proposed Rule 6c-11 Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the SEC's proposed transaction fee pilot Issues related to FINRA Rule 5250 Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to cross border derivative trading provisions 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 structure of the fixed income markets, including the Treasury market Issues related to proposed regulation on best interest Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Capital gains and dividend tax rates Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to REIT pass-through deduction
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans) Issues related to REIT pass-through deduction
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including H.R. 4610, the RETIRE Act Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans, including S. 2526 and H.R. 5282, the Retirement Enhancement and Savings Act, and H.R. 4524,the Retirement Plan Simplification and Enhancement Act Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles Issues related to portable retirement accounts
Filing targets: Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues in support of providing for electronic delivery of ERISA mandated retirement information, including H.R. 4610, the RETIRE Act Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans, including S. 2526 and H.R. 5282, the Retirement Enhancement and Savings Act, and H.R. 4524,the Retirement Plan Simplification and Enhancement Act Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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. 4601 the Financial Stability Oversight Council Improvement Act Financial CHOICE Act (H.R. 10) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to the definition of a "facility of an exchange" H.R. 3555, Exchange Regulatory Improvement Act Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance, including S. 536, Cybersecurity Disclosure Act of 2017 and H.R. 4015, Corporate Governance Reform and Transparency Act of 2017 Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures Issues related to common ownership Issues related to money market fund reforms, including H.R. 2319 and S. 1117, the Consumer Financial Choice and Capital Markets Protection Act Issues related to stress testing for asset managers, including H.R. 4566, the Alleviating Stress Test Burdens to Help Investors Act
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans) Issues related to mandatory FIFO treatment of the sale of securities Issues related to comprehensive tax reform including H.R. 1
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default Issues related to funding the federal government
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
General tax issues related to mutual funds Issues related to tax incentives for retirement savings, including the potential for Roth mandates Commodity related investments, savings Capital gains and dividend tax rates Financial transaction tax proposals, including the Inclusive Prosperity Act of 2017 (H.R. 1144) and the College for All Act (H.R. 1880) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 540, H.R. 1393) Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans)
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits Issues related to universal savings account vehicles
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default issues related to funding the federal government
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default issues related to funding the federal government
Issues in support of providing for electronic delivery of ERISA mandated retirement information Issues related to the Department of Labors proposed fiduciary standard regulations as well as their effective date Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to state-based and municipal based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
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 Financial CHOICE Act Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, NIST cybersecurity framework and related matters)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802 and H.R. 4216) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656 and S.3417) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656 and S.3417) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans), including the Ax the Tax on Middle Class Americans' Health Plans Act (H.R. 879).
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol 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 structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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 the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swaps clearinghouse risks Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol 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 structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues relating to modernization of mutual fund information reporting and enhanced portfolio disclosure
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
Issues related to tax incentives for retirement savings; encourage retention of their current tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to retirement coverage proposals Issues related to the MyRA proposal Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529); encourage retention of their tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of