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Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
Tackling Predatory Litigation Funding Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) H.R. 3512 - Tackling Predatory Litigation Funding Act - Revisions to Section 70605 - Third Party Litigation Funding Reform Priorities and recommendations for regulatory framework reform H.R.3633 - Digital Asset Market Clarity Act of 2025 H.R.4763 - Financial Innovation and Technology for the 21st Century Act The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization Discussions with staff regarding digital assets, financial stability, nonbank financial institutions, Basel implementation
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2026 · third_quarter · Q3
Semiannual Reporting - File No. S7-2026-15 Transparency and Due Process in SEC Examinations - Recommendations Registered Offering Reform (File No. S7-2026-17; Release Nos. 33-11418; 34-105513; IC-36160) The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS (File No. S7-2026-20) Electronic Delivery of Information Under the Federal Securities Laws - File No. S7-2026-25 Swap Execution Facility Order Book Requirement for Permitted Transactions (RIN 3038 -AF79) Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers (File Number S7-2026-13) General discussions with staff regarding markets regulation priorities
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC)
Source: Senate LDA
Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) H.R. 3512 - Tackling Predatory Litigation Funding Act - Revisions to Section 70605 - Third Party Litigation Funding Reform Priorities and recommendations for regulatory framework reform H.R.3633 - Digital Asset Market Clarity Act of 2025 H.R.4763 - Financial Innovation and Technology for the 21st Century Act The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization Discussions with staff regarding digital assets, financial stability, nonbank financial institutions, Basel implementation
Financial Stability Oversight Council Improvement Act of 2025
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
ICE Clear Credit LLC; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 (File No. 600-45) FINCEN-2025-0072 and RIN 1506-AB58 and 1506-AB69, Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Personal Financial Data Rights Reconsideration (Docket No. CFPB-2025-0037) HR 3682 - Financial Stability Oversight Council Improvement Act of 2025 - letter to express support of the legislation Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (Form PF) - proposals to amend Form PF Rule 17a-7 under the Investment Company Act of 1940, as amended - request for the SEC to consider providing regulatory relief from, or puruse amendments to, Rule 17a-7 to expand scope and provide significant benefits to fund shareholders Rule 105 of Regulation M RIN: 3235-AJ75 - discussions regarding modernization of Rule 105 General discussions with staff regarding digital assets, financial stability, nonbank financial institutions and private credit
PTO Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) H.R. 3512 - Tackling Predatory Litigation Funding Act - Revisions to Section 70605 - Third Party Litigation Funding Reform Priorities and recommendations for regulatory framework reform H.R.3633 - Digital Asset Market Clarity Act of 2025 H.R.4763 - Financial Innovation and Technology for the 21st Century Act The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization Discussions with staff regarding digital assets, financial stability, nonbank financial institutions, Basel implementation
A bill to authorize an additional district judgeship for the district of Idaho.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities FINCEN 31 CFR 1032 and RIN 1506-AB66 and Securities and Exchange Commission 17 CFR 275 and RIN 3235-AN34. Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 1505-AC82 - Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern Document no 2024-12336 - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector RIN 3038-AF25 - Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools General discussions in relation to SEC Form PF
A bill to authorize an additional district judgeship for the district of Idaho.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities RIN: 3235-AN02 - Shortening the Securities Transaction Settlement Cycle FINCEN-2024-0006 and RIN 1506-AB58. Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Matter No. P239300 - Request to Restart Notice and Comment Process on the Proposed Rulemaking for the HSR Filing Process File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Fed. Reg. 38,342-38,506 - Noncompete Rule General discussions relating to Nonbank Financial Institutions, private credit, digital assets and financial stability issues
Rock Creek National Park Act of 2019
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Coronavirus Aid, Relief, and Economic Security Act - HR 748 - Main Street Lending Program ? Term Asset-Backed SEcurities Loan Facility Investment Advisers Act of 1940 - proposed amendments to the advertising rule Investment Advisers Act of 1940 - Proposed Rule Regarding Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Commodity Exchange Act - position limits for derivatives HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - proposed amendments to compliance requirements for commodity pool operators on Form CPO-PQR
Rock Creek National Park Act of 2019
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - harmonization of registration exemptions for CPOs and CTAs with registration exemptions for investment advisers | Post-Trade Name Give-Up on Swap Execution Facilities Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Investment Advisers Act of 1940 - proposed amendments to the advertising rule Commodity Exchange Act - Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
CARES Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Coronavirus Aid, Relief, and Economic Security Act - HR 748 - Main Street Lending Program ? Term Asset-Backed SEcurities Loan Facility Investment Advisers Act of 1940 - proposed amendments to the advertising rule Investment Advisers Act of 1940 - Proposed Rule Regarding Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Commodity Exchange Act - position limits for derivatives HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - proposed amendments to compliance requirements for commodity pool operators on Form CPO-PQR
Rock Creek National Park Act of 2019
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Draft House Financial Services Committee bill to amend the Financial Stability Act of 2010 - Protecting the independent funding of the Office of Financial Research Act Draft House Financial Services Committee bill - Leveraged Lending Data and Analysis Act Draft House Financial Services Committee bill - Leveraged Lending Examination Enhancement Act P.L. 115-174 - Securities Act of 1993 - SEC proposals to modify the registration, communications and offerings processes for BDCs and other closed-end investment companies P.L. 111-72 - Investment Company Act of 1940 - SEC request for comments on the impact of the Acquired Fund Fee and Expense disclosure requirements HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act - swap market regulation Commodity Exchange Act - Part 4 Proposal Investment Advisers Act of 1940 - proposed amendments to the advertising rule
Rock Creek National Park Act of 2019
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Draft House Financial Services Committee bill to amend the Financial Stability Act of 2010 - Protecting the independent funding of the Office of Financial Research Act Draft House Financial Services Committee bill - Leveraged Lending Data and Analysis Act Draft House Financial Services Committee bill - Leveraged Lending Examination Enhancement Act P.L. 115-174 - Securities Act of 1993 - SEC proposals to modify the registration, communications and offerings processes for BDCs and other closed-end investment companies P.L. 111-72 - Investment Company Act of 1940 - SEC request for comments on the impact of the Acquired Fund Fee and Expense disclosure requirements HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act - FSOC interpretive guidance on nonbank financial company determinations
Veterans Crisis Line Study Act of 2017
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Veterans Crisis Line Study Act of 2017
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act
Veterans Crisis Line Study Act of 2017
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Kelsey Smith Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Kelsey Smith Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act
Kelsey Smith Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Historically Black Colleges and Universities (HBCUs) Homeland Security Partnerships Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Historically Black Colleges and Universities (HBCUs) Homeland Security Partnerships Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Historically Black Colleges and Universities (HBCUs) Homeland Security Partnerships Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act
Small Business Credit Availability Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Small Business Credit Availability Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Small Business Credit Availability Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act
Veterans Crisis Line Study Act of 2017
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Veterans Crisis Line Study Act of 2017
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Kelsey Smith Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Kelsey Smith Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Historically Black Colleges and Universities (HBCUs) Homeland Security Partnerships Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Historically Black Colleges and Universities (HBCUs) Homeland Security Partnerships Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Customer Protection and End User Relief Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R.4173 - dodd-Frank Wall Street Reform and Consumer Protection Act
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION · Firm: ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2026 · second_quarter · Q2
Regulation S-K: Call for Comments (CLL -15) Data Reporting Requirements for Certain Event Contracts (RIN 3038-AF65) Call for Input: Parallel Investment Activity Clarification of Cross-Border Definitions Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (RIN 4030-ZA02) Consideration of Guidance on Collaborations Among Competitors to Promote Certainty and Competition (Docket No. ATR-2026-0001) Rule 12d1‑4(b)(3) under the Investment Company Act of 1940 - Proposed FAQ Request for Exemptive Relief and Modernization of Rule 105 of Regulation M to Promote Capital Formation - 17 CFR 242.105 Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for Comment (File No. S7-2026-11) Self-Regulatory Organizations; LCH SA; Notice of an Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 (the Exchange Act) Relating to Rule Filing Requirements and Request for Comment (File No. 600-36) Self -Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4321 (Allocations of Fail To Deliver Positions) and Amend FINRA Rule 4560 (Short -Interest Reporting) (File No. SR-FINRA-2026-012) Request for Extension of Comment Period for Proposed Rule on Semiannual Reporting (Rel. Nos. 33-11414; 34-105368; File No. S7-2026-15) Regulatory Capital Rule: Category I and II Banking Organizations, Banking Organizations With Significant Trading Activity, and Optional Adoption for Other Banking OrganizationsDocket ID OCC-2026-0265; Docket No. 1887 Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers (File Number S7-2026-13) Form PF; Reporting Requirements for All Filers; Request for Comment on Private Credit Funds (RIN 3038-AF69 and File No. S7-2026-13) General discussions with staff regarding financial stability, nonbank financial institutions and private credit
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2026 · first_quarter · Q1
90 FR 58525 - Proposal To Provide Exemptive Relief To Facilitate Cross-Margining of Customer Positions Cleared at Chicago Mercantile Exchange, Inc. and Fixed Income Clearing Corporation Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Amend and Restate the Second Amended and Restated Cross-Margining Agreement between FICC and CME and Amend Related GSD Rules (SR-FICC-2025-025) Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (Form PF) - proposals to amend Form PF - discussions with staff Rule 17a-7 under the Investment Company Act of 1940, as amended - request for the SEC to consider providing regulatory relief from, or puruse amendments to, Rule 17a-7 to expand scope and provide significant benefits to fund shareholders - discussions with staff RIN 3235-AM29 - adoption of Rule 12d1-4 in October 2020 under the Investment Company Act of 1940 General discussions with staff regarding digital assets, financial stability, nonbank financial institutions and private credit
Filing targets: Commodity Futures Trading Commission (CFTC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2025 · fourth_quarter · Q4
ICE Clear Credit LLC; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 (File No. 600-45) FINCEN-2025-0072 and RIN 1506-AB58 and 1506-AB69, Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Personal Financial Data Rights Reconsideration (Docket No. CFPB-2025-0037) HR 3682 - Financial Stability Oversight Council Improvement Act of 2025 - letter to express support of the legislation Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (Form PF) - proposals to amend Form PF Rule 17a-7 under the Investment Company Act of 1940, as amended - request for the SEC to consider providing regulatory relief from, or puruse amendments to, Rule 17a-7 to expand scope and provide significant benefits to fund shareholders Rule 105 of Regulation M RIN: 3235-AJ75 - discussions regarding modernization of Rule 105 General discussions with staff regarding digital assets, financial stability, nonbank financial institutions and private credit
Filing targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2025 · third_quarter · Q3
Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) Request for the Financial Stability Oversight Council to restore guidance governing the designation of non-bank financial institutions as systemically important financial institutions Petition for Rulemaking to Reinstate CFTC Regulation 4.13(a)(4) and Add Registration Exemptions for CPOs and CTAs to Harmonize with Registration Exemptions for Investment Advisers under the Investment Advisers Act of 1940 Proposals for SEC Reforms to Democratize Access to Alternative Investments Petition for Rulemaking to Amend Rule 105 of Regulation M Petition for Rulemaking to Amend Rule 3c-5 under the Investment Company Act of 1940 to Expand the Category of Employees Qualifying as Knowledgeable Employees General discussions with staff regarding digital assets, financial stability, nonbank financial institutions
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2025 · second_quarter · Q2
Request to Suspend the Pending Form PF Amendments (IA-6546; File No. S7-22-22; RIN 3038-AF31 Request to better align the application of Bank Secrecy Act requirements for Registered Investment Advisers and Exempt Reporting Advisers and Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers (RIN 1506-AB58) H.R. 3512 - Tackling Predatory Litigation Funding Act - Revisions to Section 70605 - Third Party Litigation Funding Reform Priorities and recommendations for regulatory framework reform H.R.3633 - Digital Asset Market Clarity Act of 2025 H.R.4763 - Financial Innovation and Technology for the 21st Century Act The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization Discussions with staff regarding digital assets, financial stability, nonbank financial institutions, Basel implementation
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2025 · first_quarter · Q1
Securities Exchange Act of 1934, Section 13(f)(2) - Share Sale Disclosure Discussions with staff regarding digital assets, financial stability, valuation of investments and general market issues
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2024 · fourth_quarter · Q4
General discussions in relation to SEC Form PF Presentation of the results of a research survey into the performance of the private credit industry
Filing targets: Federal Reserve System, SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2024 · third_quarter · Q3
SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities FINCEN 31 CFR 1032 and RIN 1506-AB66 and Securities and Exchange Commission 17 CFR 275 and RIN 3235-AN34. Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 1505-AC82 - Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern Document no 2024-12336 - Request for Information on Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector RIN 3038-AF25 - Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools General discussions in relation to SEC Form PF
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2024 · second_quarter · Q2
SR-FICC-2024-005; Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities RIN: 3235-AN02 - Shortening the Securities Transaction Settlement Cycle FINCEN-2024-0006 and RIN 1506-AB58. Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers Matter No. P239300 - Request to Restart Notice and Comment Process on the Proposed Rulemaking for the HSR Filing Process File No. S7-25-22 - Outsourcing by Investment Advisers File No. S7-04-22 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Fed. Reg. 38,342-38,506 - Noncompete Rule General discussions relating to Nonbank Financial Institutions, private credit, digital assets and financial stability issues
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Trade Commission (FTC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2024 · first_quarter · Q1
File No. SR-CBOE-2023-063 - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend its Rules Relating to Position and Exercise Limits RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers RIN 1210-AC02 - Retirement Security Rule: Definition of an Investment Advice Fiduciary RIN 3038-AF24 - Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations The Japan Securities Clearing Corporations Exemptive Order from Registration as a Derivatives Clearing Organization RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM32 - Safeguarding Advisory Client Assets General discussions relating to Nonbank Financial Companies, private credit and financial stability issues
Filing targets: Commodity Futures Trading Commission (CFTC), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2023 · fourth_quarter · Q4
RIN 3235-AN07 - Private Fund Advisers RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities RIN 1506-AB62 - Beneficial Ownership Information Reporting Deadline Extension for Reporting Companies Created or Registered in 2024 RIN 3038-AF25 - Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the Qualified Eligible Person Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments File No SR-FINRA-2023-015 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees RIN 3170-AA78 - Required Rulemaking on Personal Financial Data Rights FSOC Request for Comment - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2023 · third_quarter · Q3
RIN 3235-AM32 - SEC proposed rule on Safeguarding Advisory Client Assets RIN 3235-AN07 - Private Fund Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Reporting of Securities Loans, Position Reporting of Large Security-Based Swap Positions and Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AN00 & RIN 3235-AN14 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers 12 CFR 1310 - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response FSOC Request for Comment - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies and Analytic Framework for Financial Stability Risk Identification, Assessment, and Response
Filing targets: Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2023 · second_quarter · Q2
RIN 3084-AB74 - FTC proposed rulemaking on the Non-Compete Clause RIN 3235-AM32 - SEC proposed rule on Safeguarding Advisory Client Assets RIN 3235-AN07 - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer General discussions on private credit General discussions on digital assets
Filing targets: Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2023 · first_quarter · Q1
RIN 3235-AM98 - SEC proposed rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT reporting RIN 1506-AB/49/AB59 - FinCEN proposed rule on Beneficial Ownership Access and Safeguards, and Use of FinCEN identifiers for Entities RIN 3084-AB74 - FTC proposed rulemaking on the Non-Compete Clause RIN 3235-AM32 - SEC proposed rule on Safeguarding Advisory Client Assets FRN 2022-28615 - OFR proposed rule on Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market RIN 3235-AN23 - Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Investment Advisers Act of 1940 - Section 202(a)(11) - SEC no-action letter on compensation under MiFID II arrangements
Filing targets: Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2022 · fourth_quarter · Q4
RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3038-AF31 - Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Federal Register Vol 87, No 110 - CFTC Request for information on Climate-Related Financial Risk Docket ID number: EBSA-2022-0008 - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 SEC Staff No-Action Letter - October 26, 2017 - expiry of hard dollar no action relief RIN 3325-AM98 - Open-End Fund Liquidity Risk Management Programs and Swing Pricing, Form N-PORT RIN 3235-AN18 - Outsourcing by Investment Advisers General discussions re digital assets
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2022 · third_quarter · Q3
RIN 3235-AM96 - Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social and Governance Investment Practices TREAS-DO-2022-0012 - Notice Seeking Public Comment on Additional Transparency for Secondary Market Transactions of Treasury Securities RIN 3235-AN07 - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews RIN 3038-AF31 - Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AN09 - Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2022 · second_quarter · Q2
RIN 3235-AN02 - Shortening the Securities Transaction Settlement Cycle RIN 3235-AM93 - Modernization of Beneficial Ownership Reporting RIN 3235-AN08 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 3038-AF18 - Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates RIN 3235-AN01 - Reporting of Securities Loans RIN 3235-AN07 - Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews REG-118250-20 - Guidance on Passive Foreign Investment Companies and Controlled Foreign Corporations Held by Domestic Partnerships and S Corporations and Related Person Insurance Income RIN 3235-AN10 - Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer RIN 3235-AM34 - Short Position and Short Activity Reporting by Institutional Investment Managers RIN 3235-AM87 - The Enhancement and Standardization of Climate-Related Disclosures for Investors Executive Order 13959 - Chinese Military Companies Sanctions
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2022 · first_quarter · Q1
RIN 3235-AN02 - Shortening the Securities Transaction Settlement Cycle RIN 3235-AM93 - Modernization of Beneficial Ownership Reporting RIN 3235-AN08 - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies RIN 3235-AM75 - Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers RIN 3235-AK77 - Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions RIN 1506-AB49 - Beneficial Ownership Information Reporting Requirements RIN 3038-AF18 - Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates RIN 3235-AN01 - Reporting of Securities Loans
Filing targets: Commodity Futures Trading Commission (CFTC), Financial Crimes Enforcement Network (FinCEN), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2021 · fourth_quarter · Q4
RIN 1210-AC03 - proposed rule to amend the Employment Retirement Income Security Act (ERISA) of 1974 - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Proposals to shorten the trade settlement cycle RIN 3235-AK67 - Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Sustainability and ESG disclosures for corporate issuers and investment advisers
Filing targets: Labor, Dept of (DOL), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2020 · third_quarter · Q3
Investment Company Act of 1940 - Proposed Rule on Good Faith Determinations of Fair Value Employee Retirement Income Security Act of 1974 - Financial Factors in Selecting Plan Investments Proposed Regulation Securities Exchange Act of 1934-Proposed Amendments to CFTC Regulation 3.10(c): Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools; Exemption From Registration for Certain Foreign Persons Investment Advisers Act of 1940 - Proposed Rule on Investment Adviser Advertisements; Compensation for Solicitations
Filing targets: Commodity Futures Trading Commission (CFTC), Labor, Dept of (DOL), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2020 · second_quarter · Q2
Coronavirus Aid, Relief, and Economic Security Act - HR 748 - Main Street Lending Program ? Term Asset-Backed SEcurities Loan Facility Investment Advisers Act of 1940 - proposed amendments to the advertising rule Investment Advisers Act of 1940 - Proposed Rule Regarding Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers Transactions in Certain Leveraged/Inverse Investment Vehicles Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Commodity Exchange Act - position limits for derivatives HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - proposed amendments to compliance requirements for commodity pool operators on Form CPO-PQR
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2020 · first_quarter · Q1
HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act & Commodity Exchange Act - harmonization of registration exemptions for CPOs and CTAs with registration exemptions for investment advisers | Post-Trade Name Give-Up on Swap Execution Facilities Securities Exchange Act of 1934 - Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Investment Advisers Act of 1940 - proposed amendments to the advertising rule Commodity Exchange Act - Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2019 · fourth_quarter · Q4
Draft House Financial Services Committee bill to amend the Financial Stability Act of 2010 - Protecting the independent funding of the Office of Financial Research Act Draft House Financial Services Committee bill - Leveraged Lending Data and Analysis Act Draft House Financial Services Committee bill - Leveraged Lending Examination Enhancement Act P.L. 115-174 - Securities Act of 1993 - SEC proposals to modify the registration, communications and offerings processes for BDCs and other closed-end investment companies P.L. 111-72 - Investment Company Act of 1940 - SEC request for comments on the impact of the Acquired Fund Fee and Expense disclosure requirements HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act - swap market regulation Commodity Exchange Act - Part 4 Proposal Investment Advisers Act of 1940 - proposed amendments to the advertising rule
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2019 · second_quarter · Q2
Draft House Financial Services Committee bill to amend the Financial Stability Act of 2010 - Protecting the independent funding of the Office of Financial Research Act Draft House Financial Services Committee bill - Leveraged Lending Data and Analysis Act Draft House Financial Services Committee bill - Leveraged Lending Examination Enhancement Act P.L. 115-174 - Securities Act of 1993 - SEC proposals to modify the registration, communications and offerings processes for BDCs and other closed-end investment companies P.L. 111-72 - Investment Company Act of 1940 - SEC request for comments on the impact of the Acquired Fund Fee and Expense disclosure requirements HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act - FSOC interpretive guidance on nonbank financial company determinations
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2019 · first_quarter · Q1
Proposal for a Harmonized Primary Regulator Approach to SEC and CFTC Regulation of Dual Registrants
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2018 · fourth_quarter · Q4
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2018 · third_quarter · Q3
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act H.R. 8938- Securities Exchange Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2018 · second_quarter · Q2
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act S. 2324 - The Small Business Credit Availability Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2017 · second_quarter · Q2
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2017 · first_quarter · Q1
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 5983 - Financial CHOICE Act H.R. 6772 - Commodity Exchange Act
Filing targets: Commodity Futures Trading Commission (CFTC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2016 · third_quarter · Q3
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2016 · first_quarter · Q1
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), Labor, Dept of (DOL), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2015 · fourth_quarter · Q4
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2015 · third_quarter · Q3
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), Labor, Dept of (DOL), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2015 · second_quarter · Q2
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2015 · first_quarter · 1A
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2015 · first_quarter · Q1
Issues related to HR4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act Issues related to H.R. 4413 - Customer Protection and End User Relief Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2014 · fourth_quarter · Q4
Issues related to HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2014 · third_quarter · Q3
Issues related to HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2013 · fourth_quarter · Q4
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2013 · third_quarter · Q3
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC)
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2013 · second_quarter · Q2
Issues related to H.R.4173 - dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2013 · first_quarter · Q1
Issues related to H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION via ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION
2012 · third_quarter · Q3
Issues related to H.R.4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of