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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.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
2026 · third_quarter · Q3
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Source: Senate LDA
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
An act to provide for reconciliation pursuant to title II of H. Con. Res. 14.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Servicemembers and Veterans Empowerment and Support Act of 2023
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Act of 1933 to expand the research report exception to include reports about any issuer that undertakes a proposed offering of public securities.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To require the Securities and Exchange Commission to revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Federal securities laws to specify the periods for which financial statements are required to be provided by an emerging growth company, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
To amend the Securities Exchange Act of 1934 to specify certain registration statement contents for emerging growth companies, to permit issuers to file draft registration statements with the Securities and Exchange Commission for confidential review, and for other purposes.
Client: NASDAQ INC · Firm: NASDAQ, INC.
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2026 · second_quarter · Q2
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2026 · first_quarter · Q1
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · fourth_quarter · Q4
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality, H.R. 3383 Incentivizing New Ventures and Economic Strength Through Capital Formation (INVEST) Act; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · third_quarter · Q3
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2025 · second_quarter · Q2
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, CLARITY Act, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; H.R. 1 Reconciliation Bill: monitor R&D tax credit and other items effecting the capital markets; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
2025 · first_quarter · Q1
Monitoring legislation seeking to regulate AI, machine learning, and other technology tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 2441 - Improving Disclosure for Investors Act of 2025, H.R. 2624 (118th Congress), H.R. - To lower the aggregate market value of voting and non-voting common equity necessary for an issuer to qualify as a well-known seasoned issuer (discussion draft in 119th Congress), H.R. - To amend the Securities Act of 1933 to expand the ability to use testing the waters and confidential draft registration submissions, and for other purposes (discussion draft in 119th Congress), H.R. 2576 (118th Congress), H.R. 2610 (118th Congress), H.R. 2608 (118th Congress), H.R. 2603 (118th Congress), H.R. 6623 - Main Street Growth Act (118th Congress), legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 (118th Congress) and H.R. 4119 - Tax on Wall Street Speculation Act of 2023; Digital asset regulatory reform, FIT21, S. 2597 - Digital Commodities Consumer Protection Act of 2023; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
2024 · fourth_quarter · Q4
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · third_quarter · Q3
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Highly skilled workforce issues, including immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Reform of SRO rulemaking; defend trading incentives such as exchange rebate programs Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · second_quarter · Q2
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; Immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2024 · first_quarter · Q1
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality; H1B visa/immigration reform; Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act; Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets; Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2023 · fourth_quarter · Q4
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Transparency and accuracy of proxy advisors; Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, Main Street Growth Act, legislation on 10-Q optionality; Modernizing Disclosures for Investors Act; Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act; H1B visa/immigration reform; Digital asset regulatory reform, The Digital Commodities Consumer Protection Act; SECs proposed elimination of volume based tiered pricing in the equities markets; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members; Public company regulations; SEC climate disclosure rule; Highlighting Nasdaqs financial crime software solutions and policies aimed at those issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2023 · third_quarter · Q3
Transparency and accuracy of proxy advisors; Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603), Main Street Growth Act; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act; Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act; H1B visa/immigration reform; Digital asset regulatory reform, The Digital Commodities Consumer Protection Act; Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act; ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule; Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena; Highlighting Nasdaqs financial crime software solutions and policies aimed at those issues.
2023 · second_quarter · Q2
Transparency and accuracy of proxy advisors; Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603), Main Street Growth Act; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act; Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act; H1B visa/immigration reform; Digital asset regulatory reform, The Digital Commodities Consumer Protection Act; Equity market structure and SECs pending action on market structure, Regulation NMS, market data - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act; ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
2023 · first_quarter · Q1
Transparency and accuracy of proxy advisors; Venture Exchange, Main Street Growth Act, Main Street Growth Act; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act; Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act; Mark-to-market - Modernization of Derivatives Tax Act of 2021; H1B visa/immigration reform; Digital asset regulatory reform, The Digital Commodities Consumer Protection Act; Equity market structure and SECs pending action on market structure, Regulation NMS, market data - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act; ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
2022 · fourth_quarter · Q4
Transparency and accuracy of proxy advisors; Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Digital asset regulatory reform, S. 4760 - The Digital Commodities Consumer Protection Act; Equity market structure and SECs pending action on market structure (H.R. 4617), Regulation NMS, market data - H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
2022 · third_quarter · Q3
Transparency and accuracy of proxy advisors; Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Digital asset regulatory reform; Equity market structure (H.R. 4617), Regulation NMS, market data - H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
2022 · second_quarter · Q2
Transparency and accuracy of proxy advisors; Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity market structure, Regulation NMS, market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities - H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - To amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - To require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
2022 · first_quarter · Q1
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Transparency of proxy advisors; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Support for Nasdaq Board Diversity filing with the SEC; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; 2021 Reconciliation Package; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from safe harbor for forward-looking statements, and for other purposes; A bill to temporarily extend the public debt limit; H.R.3684 - Infrastructure Investment and Jobs Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, Regulation NMS, proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities - H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - To amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - To require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act.
2021 · fourth_quarter · Q4
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Transparency of proxy advisors; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Support for Nasdaq Board Diversity filing with the SEC; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; S.2621 - Modernization of Derivatives Tax Act of 2021; 2021 Reconciliation Package; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; Exchange-traded funds - S. 2617 - Ending the Carried Interest Loophole Act; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from safe harbor for forward-looking statements, and for other purposes; A bill to temporarily extend the public debt limit; H.R.3684 - Infrastructure Investment and Jobs Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/imigration reform; Equity, Regulation NMS, proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and Short interest disclosure.
2021 · third_quarter · Q3
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Transparency of proxy advisors; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Incentives for the trading of small cap stocks/ETFs; Support for Nasdaq Board Diversity filing with the SEC; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act; S.2621 - Modernization of Derivatives Tax Act of 2021; 2021 Reconciliation Package; Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021; Exchange-traded funds - S. 2617 - Ending the Carried Interest Loophole Act; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes; Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from safe harbor for forward-looking statements, and for other purposes; A bill to temporarily extend the public debt limit; H.R.3684 - Infrastructure Investment and Jobs Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform, H.R. 3524 - Ensuring American Global Leadership and Engagement Act, H.R. 2225 - National Science Foundation for the Future Act; Equity, Regulation NMS, proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and Short interest disclosure.
2021 · second_quarter · Q2
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Transparency of proxy advisors; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act; Legislation on reforming U.S. antitrust laws, H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act; Incentives for the trading of small cap stocks/ETFs; Support for Nasdaq Board Diversity filing with the SEC; Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform, H.R. 3524 - Ensuring American Global Leadership and Engagement Act, H.R. 2225 - National Science Foundation for the Future Act; Equity, Regulation NMS, proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and Short interest disclosure.
2021 · first_quarter · Q1
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, H.R. 294 - Encouraging Public Offerings Act of 2021, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R. 4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R. 3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Support for Nasdaq Board Diversity filing with the SEC; Defend dual class structures; Federal financial transaction tax, H.R. 8695 - Protecting Retirement Savers and Everyday Investors Act; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2020 · fourth_quarter · Q4
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Federal financial transaction tax, H.R.8695 - Protecting Retirement Savers and Everyday Investors Act; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2020 · third_quarter · Q3
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Federal financial transaction tax (A4402); Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2020 · second_quarter · Q2
Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2020 · first_quarter · Q1
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2019 · fourth_quarter · Q4
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2019 · third_quarter · Q3
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2017; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Defend dual class structures; Stock buybacks; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2019 · second_quarter · Q2
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - To amend the Securities Exchange Act of 1934 to allow for the registration of venture exchanges, and for other purposes; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act of 2018; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2019 · first_quarter · Q1
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, Encouraging Public Offerings Act of 2017; Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act of 2018; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018; Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act of 2018; SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017; Section 31 Fee Overpayments, Section 31 Fee Overpayments of 2017 (Senate), Section 31 Fee Overpayments of 2017 (House); Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Financial transaction tax; Tax treatment of buybacks and dividends; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and Requiring transparency of short positions that match existing requirements on long position holders.
2018 · fourth_quarter · Q4
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017, S. 488 - JOBS and Investor Confidence Act of 2018; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act; Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act; SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (S.488 - JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
2018 · third_quarter · Q3
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act; Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act; SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act (S.488 - JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
2018 · second_quarter · Q2
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016; Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act; Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act; Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act; Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act; SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals; Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
2018 · first_quarter · Q1
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016; Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress); Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities; H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2017 · fourth_quarter · Q4
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016 (114th Congress); Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress); Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities; H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2017 · third_quarter · Q3
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016 (114th Congress); Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress); Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; Cyber Security and system infrastructure; Limitations on SEC regulation of non-exchange activities; H.R.3555 - Exchange Regulatory Improvement Act; and Requiring transparency of short positions that match existing requirements on long position holders.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2017 · second_quarter · Q2
General issues relating to the following: Revitalize the market for small public companies/policies that promote IPOs; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016 (114th Congress); HR 10 - Financial CHOICE Act of 2017; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act (114th Congress); Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Security market structure and Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2017 · first_quarter · Q1
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016 (114th Congress); HR 5983 - Financial CHOICE Act of 2016 (114th Congress); Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act (114th Congress); Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1B visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Security market structure and Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2016 · fourth_quarter · Q4
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016; HR 5983 - Financial CHOICE Act of 2016; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; H1 visa/immigration reform; Securities transactions tax; Tax treatment of options contracts; Security market structure and Regulation NMS; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2016 · third_quarter · Q3
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016; Legislation aimed at providing a less regulated/higher capital requirement to replace Dodd-Frank, HR 5983 - Financial CHOICE Act of 2016; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; Highly skilled workers -- immigration reform; Taxation of securities transactions/tax treatment of options contracts; Security market structure, Regulation NMS and price discovery; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2016 · second_quarter · Q2
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; Highly skilled workers -- immigration reform; Taxation of securities transactions/tax treatment of options contracts; Security market structure, Regulation NMS and price discovery; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2016 · first_quarter · Q1
General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; Highly skilled workers -- immigration reform; Taxation of securities transactions/tax treatment of options contracts; Security market structure, Regulation NMS and price discovery; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2015 · fourth_quarter · Q4
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry reduce conflicts of interest in the proxy advisory services industry Trading and listings standards needed for a U.S. Venture Exchange The RAISE Act: HR 1839, Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform Cross border regulatory issues between the U.S. and Europe SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/tax reform Implementation and expansion of the Jobs Act/capital formation agenda/IPOs Highly skilled workers -- immigration reform Taxation of securities transactions/tax treatment of options contracts Security market structure and price transparency Proprietary ownership and distribution of market data Corporate governance issues Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2015 · third_quarter · Q3
Trading and listings standards needed for a U.S. Venture Exchange Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform Cross border regulatory issues between the U.S. and Europe Transparency and conflicts of interest in the proxy advisory industry SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/tax reform Implementation and expansion of the Jobs Act/capital formation agenda/IPOs Highly skilled workers -- immigration reform Taxation of securities transactions/tax treatment of options contracts Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act The operation of technology, computer trading
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2015 · second_quarter · Q2
Trading and listings standards needed for a U.S. Venture Exchange Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform Cross border regulatory issues between the U.S. and Europe Transparency and conflicts of interest in the proxy advisory industry SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/tax reform Implementation and expansion of the Jobs Act/capital formation agenda/IPOs Highly skilled workers -- immigration reform Taxation of securities transactions/tax treatment of options contracts Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act The operation of technology, computer trading
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2015 · first_quarter · Q1
Trading and listings standards needed for a U.S. Venture Exchange Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform Cross border regulatory issues between the U.S. and Europe Transparency and conflicts of interest in the proxy advisory industry SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/tax reform Implementation and expansion of the Jobs Act/capital formation agenda/IPOs Highly skilled workers -- immigration reform Taxation of securities transactions/tax treatment of options contracts Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act The operation of technology, computer trading
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2013 · third_quarter · Q3
Transparency and conflict of interest in proxy advisory industry SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/Tax reformThe Jobs Act Highly skilled workers -- immigration reform Taxation of securities transactions/tax treatment of Options contracts Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, computer trading Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2013 · second_quarter · Q2
Transparency and conflict of interest in the proxy advisory industry SEC Conflict Minerals Rule Incentives for the trading of small cap stocks/ETFs Repatriation/tax reformThe Jobs Act Highly skilled workers -- immigration reform Taxation of securities transactions Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, computer trading Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2013 · first_quarter · Q1
Incentives for the trading of small cap stocks/ETFs Repatriation / tax reform The Jobs Act Highly skilled workers -- immigration reformTaxation of securities transactions Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, computer trading, including IPO opening cross Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2012 · fourth_quarter · Q4
Incentives for the trading of small cap stocks/ETFs Repatriation tax holiday to spur job growth/tax reform The Jobs Act Highly skilled workers -- immigration reform Taxation of securities transactions Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distributions of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, computer trading, including the IPO opening cross Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2012 · third_quarter · Q3
Incentives for the trading of small cap stocks/ETFs Repatriation tax holiday to spur job growth/tax reform The Jobs Act Highly skilled workers -- immigration reform Taxation of securities transactions Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distributions of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, computer trading, including the IPO opening cross Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2012 · second_quarter · Q2
Incentives for the trading of small cap stocks/ETFs Repatriation tax holiday to spur job growth/tax reform The Jobs Act Highly skilled workers -- immigration reform Taxation of securities transactions Security market structure and price transparency SEC policies during turbulent market conditions Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley CyberSecurity and system infrastructure The operation of technology, including the IPO opening cross Education and promotion of various technology applications Trading rules for options exchanges
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2012 · first_quarter · Q1
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley Cyber security and system infrastructure SEC policies during turbulent market conditions Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market Highly skilled workers -- immigration reform HR 3606 and S 1933 Trading rules for options exchanges Education and promotion of various technology applications Repatriation tax holiday to spur job growth/tax reform Incentives for the trading of small cap stocks/ETFs
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2011 · fourth_quarter · Q4
Proprietary and shared-plan market data Corporate governance issues, including Sarbanes-Oxley Cyber security and system infrastructure SEC policies during turbulent market conditions Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market Highly skilled workers -- immigration reform HR 3606 and S 1933
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2011 · third_quarter · Q3
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley Trading rules for options exchanges Cyber security and system infrastructure SEC policies during turbulent market conditions Financial services regulatory reform Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market Highly skilled workers -- immigration reform Pending Trade Agreements (Korea, Columbia, Panama)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2011 · second_quarter · Q2
Proprietary ownership and distribution of market data Education outreach on bid with ICE for NYSE-Euronext Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges SRO rulemaking reform (HR 4173) Cyber security and system infrastructure SEC policies during turbulent market conditions Financial services regulatory reform (HR 4173) Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2011 · first_quarter · Q1
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges SRO rulemaking reform (HR 4173) Cyber security and system infrastructure SEC policies during turbulent market conditions Financial services regulatory reform (HR 4173) Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2010 · fourth_quarter · Q4
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges SRO rulemaking reform (HR 4173) SEC policies during turbulent market conditions Financial services regulatory reform (HR 4173) Security market structure and price transparency Taxation of securities transactions Creation of a Listed Venture Market
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2010 · third_quarter · Q3
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges Security index products, exchanged traded funds and other index-based products SRO rulemaking reform (HR 4173) Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173) Financial services regulatory reform (HR 4173) Government disposition of TARP assets via an exchange traded fund Funding for developing nations to improve capital markets Security market structure and price transparency Taxation of securities transactions
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2010 · second_quarter · Q2
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges Security index products, exchanged traded funds and other index-based products SRO rulemaking reform (HR 4173) Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173) Financial services regulatory reform (HR 4173) Govenment disposition of TARP assets via an exchange traded fund Funding for developing nations to improve capital markts Security market structure and price transparency Taxation of securities transactions
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2010 · first_quarter · Q1
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SRO rulemaking reform (HR 4173) Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173) Financial services regulatory reform (HR 4173) Government disposition of TARP assets via an exchange traded fund Funding for developing nations to improve capital markets Security market structure and price transparency Taxation of securities transactions
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2009 · fourth_quarter · Q4
Proprietary ownership and distribution of market data Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173) Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SRO rulemaking reform (HR 4173) Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173) Financial services regulatory reform (HR 4173) Government disposition of TARP assets via an exchange traded fund Funding for developing nations to improve capital markets Security market structure and price transparency Taxation of securities transactions
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · third_quarter · Q3
Mutual recognition of foreign securities markets Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-bassed products SRO rulemaking form Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps Emergency Economic Stabilization Act of 2008 Financial services regulatory reform Government disposition of TARP assets via an exchange traded fund
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2009 · second_quarter · Q2
Mutual recognition of foreign securities markets Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products Role of Nasdaq Clearing Corporation in the marketplace SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency and clearing of over-the-counter trading derivatives, credit default swaps and interest rates swaps (HR977) Financial services regulatory reform
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2009 · first_quarter · Q1
Mutual recognition of foreign securities markets Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products Role of Nasdaq Clearing Corporation in the marketplace SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency and clearing of over-the-counter trading derivatives, credit default swaps and interest rate swaps (HR977) Financial services regulatory reform
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2008 · third_quarter · 3A
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange Consolidation Mutual recognition of foreign securities Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Symbology Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Capital formation process in the United States Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-basesd products Role of Nasdaq Clearing Corporation in the marketplace SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps, interest rate swaps and other crucial products Emergency Economic Stabilization Act of 2008
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2008 · first_quarter · 1A
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange consolidation Mutual recognition of foreign securities Securities issuances under Section 144a of the Securities Act of 1933 Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868 Symbology Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Consideration of Nasdaq application to open representative office in Beijing Capital formation process in the United States Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SEC implementation of Regulation NMS SEC reform of self-regulatory organizations SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Filing targets: Commerce, Dept of (DOC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2008 · first_quarter · 1A
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange consolidation Mutual recognition of foreign securities Securities issuances under Section 144a of the Securities Act of 1933 Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Symbology Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Consideration of Nasdaq application to open representative office in Beijing Capital formation process in the United States Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SEC implementation of Regulation NMS SEC reform of self-regulatory organizations SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Filing targets: Commerce, Dept of (DOC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2008 · fourth_quarter · Q4
Mutual recognition of foreign securities markets Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products Role of Nasdaq Clearing Corporation in the marketplace SRO rulemaking form Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps Emergency Economic Stabilization Act of 2008 Financial services regulatory reform
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2008 · third_quarter · Q3
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange Consolidation Mutual recognition of foreign securities Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Symbology Corporate governance issues, including Sarbanes-Oxlex implementation and enhanced listing standards Capital formation process in the United States Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products Role of Nasdaq Clearing Corporation in the marketplace SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals SEC policies related to short sales during turbulent market conditions Increased transparency of over-the-counter trading of derivatives, credit default swaps, interest rate swaps and other crucial products Emergency Economic Stabilization Act of 2008
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2008 · second_quarter · Q2
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange consolidation Mutual recognition of foreign securities Securities issuance under Section 144a of the Securities Act of 1933 Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Symbology Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Capital formation process in the United States Effects of hedge fund regulation on US markets and trading volumes Treatment of investment compnay and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SEC implementation of Regulation NMS SEC reform of self-regulatory organizations SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals Mutual recognition of foreign securities markets China's policies affect cross border listings in China and the U.S. Interest Rate Swaps and other derivatives and how they trade in the U.S.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2008 · first_quarter · Q1
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange Global Exchange consolidation Mutual recognition of foreign securities Securities issuances under Section 144a of the Securities Act of 1933 Proprietary ownership and distribution of market data Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Symbology Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards Consideration of Nasdaq application to open representative office in Beijing Capital formation process in the United States Effects on hedge fund regulation on US markets and trading volumes Treatment of investment company and private equity firms Trading rules for options exchanges Security index products, exchange traded funds and other index-based products SEC implementation of Regulation NMS SEC reform of self-regulatory organizations SRO rulemaking reform Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of