How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
Provisions in H.R. 1 relating to U.S. subsidiaries and their ability to operate connected political action committees.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
UBS AMERICAS INC via UBS AMERICAS INC.
2026 · third_quarter · Q3
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), Donor Advised Funds, and US-Swiss Tax Treaty.
Source: Senate LDA
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" -Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB32-Definition of the term "Fiduciary" - Deparment of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2026 · second_quarter · Q2
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), Donor Advised Funds, and US-Swiss Tax Treaty.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2026 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), Donor Advised Funds, and US-Swiss Tax Treaty.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2025 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2025 · third_quarter · Q3
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), Remittance Tax, and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2025 · second_quarter · Q2
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), Remittance Tax, and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2025 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion Anti-Abuse Tax (BEAT), Wash Sales and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · fourth_quarter · 4A
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · fourth_quarter · Q4
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards. Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · third_quarter · Q3
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation to provide emergency support to municipal bond market.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation to provide emergency support to municipal bond market.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Issues related to the taxation of municipal bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · third_quarter · Q3
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · second_quarter · Q2
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · first_quarter · Q1
Provisions in H.R. 1 relating to U.S. subsidiaries and their ability to operate connected political action committees.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · third_quarter · Q3
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · second_quarter · Q2
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · first_quarter · Q1
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · second_quarter · Q2
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · first_quarter · Q1
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · second_quarter · Q2
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · third_quarter · Q3
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · second_quarter · Q2
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · first_quarter · Q1
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB32-Definition of the term "Fiduciary" - Deparment of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" -Department of Labor Employee Benefits Security Administration.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · first_quarter · Q1
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of