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Reported covered position: N/A
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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.
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529); encourage retention of their tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
VANGUARD GROUP via VANGUARD GROUP
2015 · fourth_quarter · 4A
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Source: Senate LDA
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
Financial Stability Oversight Council Improvement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing
Financial Stability Oversight Council Improvement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Financial Stability Oversight Council Improvement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swaps clearinghouse risks Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues relating to modernization of mutual fund information reporting and enhanced portfolio disclosure
Financial Stability Oversight Council Improvement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Financial Stability Oversight Council Improvement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB), International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
National Cybersecurity Protection Advancement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
National Cybersecurity Protection Advancement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
National Cybersecurity Protection Advancement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
National Cybersecurity Protection Advancement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
National Cybersecurity Protection Advancement Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Empowering Parents to Invest in Choice Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Empowering Parents to Invest in Choice Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
Empowering Parents to Invest in Choice Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Empowering Parents to Invest in Choice Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of their current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor
Receiving Electronic Statements To Improve Retiree Earnings Act
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Financial Services and General Government Appropriations Act, 2016
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Financial Services and General Government Appropriations Act, 2016
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
To amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
To amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
To amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
To amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529); encourage retention of their tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
To amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swaps clearinghouse risks Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues relating to modernization of mutual fund information reporting and enhanced portfolio disclosure
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Data Security and Breach Notification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Data Security and Breach Notification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Data Security and Breach Notification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Data Security and Breach Notification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Data Security and Breach Notification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Consumer Financial Choice and Capital Markets Protection Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Consumer Financial Choice and Capital Markets Protection Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Consumer Financial Choice and Capital Markets Protection Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing
Financial Services and General Government Appropriations Act, 2016
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Financial Services and General Government Appropriations Act, 2016
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
A bill to amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
A bill to amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
A bill to amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
A bill to amend the Internal Revenue Code of 1986 to improve 529 plans.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529); encourage retention of their tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Mobile Workforce State Income Tax Simplification Act of 2015
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
To improve cybersecurity in the United States through enhanced sharing of information about cybersecurity threats, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
To improve cybersecurity in the United States through enhanced sharing of information about cybersecurity threats, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
To improve cybersecurity in the United States through enhanced sharing of information about cybersecurity threats, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
To improve cybersecurity in the United States through enhanced sharing of information about cybersecurity threats, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
To improve cybersecurity in the United States through enhanced sharing of information about cybersecurity threats, and for other purposes.
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the design and function of the ABLE Act (S.313 and H.R.647) Issues related to development of the 401(Kids) Education Savings Account Act proposal General tax issues related to mutual funds
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings (See attached addendum page)Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives General tax issues related to mutual funds
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the ABLE Act (S.313 and H.R.647) Issues related to development of the 401(Kids) Education Savings Account Act proposal General tax issues related to mutual funds Issues related to Security Transaction tax proposals and H.R. 880, S. 410
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings (See attached addendum page)Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the ABLE Act (S.313 and H.R.647) General tax issues related to mutual funds
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to portfolio management of exchange-traded funds (ETFs) (See attached addendum page)Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading, interactions and reporting of swaps trading Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to margin for uncleared swaps, including cash-only margin Issues related to capital requirements for cleared and uncleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, Regulation NMS and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds, including H.R. 5180 (Financial Stability Oversight Council Improvement Act of 2014) Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to regulation of mortgage- and other asset-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the overnight reverse repurchase agreement proposal Issues related to market activities and effects upon Treasury inflation protected securities Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry Issues related to the EU safe harbor framework Issues related to the flash crash and availability of liquidity in the fixed income markets
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions (See attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to FINRAs advertising rules Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to margin for uncleared swaps, including cash-only margin Issues related to capital requirements for cleared and uncleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, market data feeds, Regulation NMS and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds, including H.R. 5180 (Financial Stability Oversight Council Improvement Act of 2014) Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the overnight reverse repurchase agreement proposal Issues related to market activities and effects upon Treasury inflation protected securities Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Retirement Plan Simplification and Enhancement Act of 2013
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Provisions included in S.1270 (SAFE Retirement Act of 2013) Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds Issues related to retirement plan autoescalation safe harbor proposal
Retirement Plan Simplification and Enhancement Act of 2013
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds Issues related to retirement plan autoescalation safe harbor proposal
Retirement Plan Simplification and Enhancement Act of 2013
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (See attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Retirement Plan Simplification and Enhancement Act of 2013
Client: VANGUARD GROUP · Firm: VANGUARD GROUP
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (See attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions (See attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to FINRAs advertising rules Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2015 · fourth_quarter · Q4
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to tax extenders legislation, Protecting Americans From Tax Hikes of 2015
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550; Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484;and Financial Services and General Government Appropriations Act of 2016 - S. 1910/H.R. 2995) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to corporate governance
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2015 · third_quarter · Q3
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets, permit refunds to be recontributed without tax consequences, and eliminate the requirement that distributions from a 529 plan be aggregated for purposes of determining the amount includible in a taxpayers income ); encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2015 · second_quarter · Q2
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of their current tax incentives Issues related to employee benefit plan administration Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to swaps clearinghouse risks Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to federal budget implications for retirement and health benefits Issues relating to modernization of mutual fund information reporting and enhanced portfolio disclosure
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529 and S. 335, which among other provisions would permit the purchase of a computer for educational purposes from 529 Plan assets ); encourage retention of their tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2015 · first_quarter · Q1
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB), International Organization of Securities Commissions (IOSCO) for mutual funds Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund regulations Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, and the maker-taker model Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to financial services and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to cross border derivative trading provisions Issues related to ISDA Termination Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability of liquidity in the fixed income markets Issues related to the structure of the fixed income markets Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913)
Issues related to tax incentives for retirement savings; encourage retention of their current tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to retirement coverage proposals Issues related to the MyRA proposal Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act (H.R. 1464) Issues related to limitations on exclusion of municipal bond interest Issues related to 529 college savings plans (including H.R. 529); encourage retention of their tax incentives Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S.386)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2014 · fourth_quarter · Q4
Provisions included in S.1270 (SAFE Retirement Act of 2013) Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds Issues related to retirement plan autoescalation safe harbor proposal
VANGUARD GROUP via VANGUARD GROUP
2014 · third_quarter · Q3
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the ABLE Act (S.313 and H.R.647) Issues related to development of the 401(Kids) Education Savings Account Act proposal General tax issues related to mutual funds Issues related to Security Transaction tax proposals and H.R. 880, S. 410
VANGUARD GROUP via VANGUARD GROUP
2014 · second_quarter · Q2
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (See attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
VANGUARD GROUP via VANGUARD GROUP
2014 · first_quarter · Q1
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings (See attached addendum page)Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives General tax issues related to mutual funds
VANGUARD GROUP via VANGUARD GROUP
2013 · fourth_quarter · Q4
Issues related to cybersecurity, infrastructure protection and security technology, including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013)
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules, systemic risk, orderly liquidation authority and derivatives Issues related to portfolio management of exchange-traded funds (ETFs) (see attached addendum page)Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on municipal bonds Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013)
VANGUARD GROUP via VANGUARD GROUP
2013 · third_quarter · Q3
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
General tax issues related to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)Capital gains and dividend tax rates as they relate to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
VANGUARD GROUP via VANGUARD GROUP
2013 · second_quarter · Q2
Issues related to cybersecurity, infrastructure protection and security technology
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees) H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks
VANGUARD GROUP via VANGUARD GROUP
2013 · first_quarter · Q1
Issues related to cybersecurity
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
VANGUARD GROUP via VANGUARD GROUP
2012 · fourth_quarter · Q4
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to H.R. 6127 - Liquidity Enhancement for Small Public Companies Act Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to retirement target date funds Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
VANGUARD GROUP via VANGUARD GROUP
2012 · third_quarter · Q3
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 and H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
VANGUARD GROUP via VANGUARD GROUP
2012 · second_quarter · Q2
Tax Hike Prevention & Business Certainty Act H.R.3091 and S.1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security transaction tax proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues related to commodity related investments Issues related to tax treatment of exchange-traded notes (ETNs)
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Issues related to Commodity Futures Trading Commission Rule 4.5 on commodity pool operators
VANGUARD GROUP via VANGUARD GROUP
2012 · first_quarter · Q1
Issues related to operational and cost impact of closing an important postal facility and proposed changes to postal rate structure
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R. 4050, Retirement Plan Simplification and Enhancement Act
VANGUARD GROUP via VANGUARD GROUP
2011 · fourth_quarter · 4A
General tax issues related to mutual funds Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds (see attached addendum sheet) Transaction tax proposals Tax rules regarding mutual fund investments in commodities Tax treatment of exchange traded notes
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations derivatives, systemic risk, and Orderly Liquidation Authority, SIFI Rules Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to systemic risk regulation Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry Issues related to standards for audited financial statement reports, auditor independence and audit firm rotation (PCAOB) Issues regarding prohibition against conflicts of interest in certain securitizations Issues relating to exchange traded funds
VANGUARD GROUP via VANGUARD GROUP
2011 · third_quarter · Q3
General tax issues related to mutual funds Capital gain and dividend tax rates as they relate to mutual funds (including draft legislation that subsequently became the Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647) (see attached addendum sheet) Issues related to a securities transaction tax Issues related to limiting the tax-free nature of municipal bond income
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to 401(k) fee disclosures and investment advice in retirement plans Proposals to expand electronic delivery of retirement plan notices Proposals to promote creation and maintenance of employer-sponsored retirement plans Proposals to expand self-correction programs for retirement plan compliance errors
VANGUARD GROUP via VANGUARD GROUP
2011 · second_quarter · Q2
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds
HR 4173 and issues related to Dodd-Frank implementation and regulations derivatives, systemic risk, and Orderly Liquidation Authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to the "limit up - limit down" proposal issued by the national securities exchanges and FINRA Issues related to Basel III and Volcker rules Issues related to SEC proxy access proposal Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approach) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
VANGUARD GROUP via VANGUARD GROUP
2011 · first_quarter · Q1
Issues related to Dodd-Frank implementation and regulations - derivatives, systemic risk, Orderly Liquidation Authority, money market funds Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to Basel III and Volcker rules Issues related to SEC proxy access proposal Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues relating to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g., floating net asset value, liquidity protection, alternative regulatory approach) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
VANGUARD GROUP via VANGUARD GROUP
2010 · fourth_quarter · Q4
H.R. 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act (and S. 3217 Restoring American Financial Stability Act of 2010) - Title 7: derivatives; Title 10: CFPB; Title 11: treatment of creditors H.R. 3126 Consumer Financial Protection Agency Act of 2009 (see attached addendum sheet) H.R. 3126 - Consumer Financial Protection Agency - re: issues affecting money market funds H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization H.R. 1754 - Financial System Stabilization and Reform Act of 2009 - re: systemic risk regulation H.R. 1349 - Federal Accounting Oversight Board Act of 2009 - re: accounting principles and standards H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 1106 - Helping Families Save Their Homes Act of 2009 - re: bankruptcy cram down H.R. 4337 - Regulated Investment Company Modernization Act of 2010 (use of commodities provision) S. 895 - Helping Families Save Their Homes Act of 2009 - re: servicer safe harbor provisions S. 896 - Helping Families Save Their Homes Act of 2009 - re: amendment #1019 to make changes in the safe harbor S. 664 - Financial System Stabilization and Reform Act of 2009 - re: systemic risk regulation S. 722 - Taxpayer Certainty and Relief Act of 2009 - re: dividend and capital gain tax rates Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to swap execution facility trading and reporting Issues related to systemic risk regulation Issues related to OTC derivatives trading Issues related to market structure matters Issues related to target date funds Issues related to investment advice Issues related to municipal disclosure & Tower Amendment Issues related to Basel III and Volcker rules Issues related to SEC proxy access proposal Issues related to SEC proposed changes to Regulation AB2 Issues related to the supervision and regulation of certain nonbank financial institutions Issues related to legislation and regulations affecting the mutual fund industry Proposals related to money market funds (floating net asset value, liquidity)
VANGUARD GROUP via VANGUARD GROUP
2010 · third_quarter · Q3
H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 H.R. 1984 - 401(k) Fair Disclosure and Pension Security Act of 2009 H.R. 2021 - Savings Recovery Act of 2009 (Please see addendum page) H.R. 2779 - Defined Contribution Plan Fee Transparency Act of 2009 H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009 H.R. 4213 - Unemployment Compensation Extension Act of 2010 H.R. 3760 - Home Buyer Tax Credit Act of 2009 H.R. 6099 - Automatic IRA Act of 2010 H.R. 4742 - SAVE Act of 2009 H.R. 4126 - Retirement Fairness Act of 2009 S. 401 - Defined Contribution Fee Disclosure Act of 2009 Proposals to reform the defined contribution plan system Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans, including automatic IRAs Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Issues related to retirement target date funds Issues related to retirement income Issues related to delivery of advice to participants in qualified retirement plans Issues related to investment choices in qualified retirement plans
VANGUARD GROUP via VANGUARD GROUP
2010 · second_quarter · Q2
H.R. 4191 - Let Wall Street Pay for the Restoration of Main Street Act of 2009 General tax issues related to mutual funds
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act S. 3217 - Restoring American Financial Stability Act of 2009 H.R. 1669 - Federal Municipal Bond Marketing Support & Securitization Act of 2009 (see attached addendum page) H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 - Amendment #1019 re Safe Harbor Provisions S. 664 - Financial system Stabilization and Reform Act of 2009 OTC derivatives trading Legislation and regulations affecting the mutual fund industry Proposals relating to money market mutual funds Issues relating to market structure matters Issues relating to target date funds Issues relating to investment advice
VANGUARD GROUP via VANGUARD GROUP
2010 · first_quarter · Q1
General tax issues related to mutual funds H.R. 4191, Security Transaction tax proposals S. 2927, Wall Street Fair Share Act
S. 3217, Restoring American Financial Stability Act of 2009 H.R. 3126, Consumer Financial Protection Agency H.R. 4173, the Wall Street Reform and Consumer Protection Act (See attached addendum page) H.R. 2589, Municipal Bond Insurance Enhancement Act of 2009 H.R. 2551, Municipal Market Liquidity Enhancement Act of 2009 H.R. 2549, Municipal Bond Fairness Act H.R. 1669, Municipal Bond Marketing Support and Securitization Act of 2009 HR. 1754, Financial System Stabilization and Reform Act of 2009 H.R. 1349, Federal Accounting Oversight Board Act of 2009 H.R. 1728, Mortgage Reform and Anti-Predatory Lending Act HR 1106, Helping Families Save Their Homes Act of 2009 S. 895, Helping Families Save their Homes Act of 2009 S. 896, Helping Families Save Their Homes Act of 2009 - Amendment #1019 re Safe Harbor provisions S. 664, Financial System Stabilization and Reform Act of 2009 S 1964, Mutual Fund Transparency Act of 2009 S. 722, Taxpayer Certainty and Relief Act of 2009 OTC derivatives trading Regulations impacting the mutual fund industry Proposals relating to money market mutual funds - changes to SEC Rule 2a-7
VANGUARD GROUP via VANGUARD GROUP
2009 · fourth_quarter · Q4
H.R. 4191 - Let Wall Street Pay for the Restoration of Main Street Act of 2009 S. 2927 - Wall Street Fair Share Act General tax issues related to mutual funds
S. 1964 - Mutual Fund Transparency Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 - Amendment # 1019 re Safe Harbor provisions (please see addendum page) S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 H.R. 4173 - The Wall Street Reform and Consumer Protection Act of 2009 H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 3795 - To enact the Over-the-Counter Derivatives Markets Act of 2009 H.R. 3817 - Investor Protection Act of 2009 H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 4191 - Let Wall Street Pay For The Restoration of Main Street Act of 2009 H.R. 4337 - Regulated Investment Company Modernization Act of 2009 H.R. 3890 - To amend the Securities Exchange Act of 1934 to enhance oversight of nationally recognized statistical rating organizations "Restoring American Financial Stability Act of 2009" (draft legislation) Money market mutual fund reform - changes to Rule 2a-7
VANGUARD GROUP via VANGUARD GROUP
2009 · third_quarter · Q3
H.R. 2549 - Municipal Bond Fairness Act H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 (please see addendum page) H.R. 1445 - Credit Rating Agency Transparency and Disclosure Act H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 H.R. 2448 - Prevent Unfair Manipulation of Prices Act of 2009 H.R. 2454 - The American Clean Energy and Security Act of 2009 H.R. 2998 - American Clean Energy and Security Act of 2009 H.R. 3145 - Credit Default Swap Prohibition Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act H.R. 977 - Derivatives Markets Transparency and Accountability Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 Amendment #1019 to make changes to the safe harbor S. 896 - Helping Families Save Their Homes Act of 2009 S. 961 - Authorizing the Regulation of Swaps Act S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 1691 - Comprehensive Derivatives Regulation Act of 2009 S. 1073 - Rating Accountability and Transparency Enhancement Act of 2009 Comment letter filed with the Securities and Exchange Commission regarding money market reform; Release No. IC-28807 - File No. S7-11-09 -- to amend Rule 2a-7 governing money market funds Comment letter filed with the Treasury Department regarding 529 college savings plans
VANGUARD GROUP via VANGUARD GROUP
2009 · second_quarter · Q2
H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act (please see addendum page) H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 S. 664 - Financial System Stabilization and Reform Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009' Comment letter filed with the Securities and Exchange Commission regarding proposed amendments to Regulation SHO
H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 1988 - 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 2021 - Savings Recovery Act of 2009 H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009
VANGUARD GROUP via VANGUARD GROUP
2009 · first_quarter · Q1
Comment letter filed with Department of Labor supporting recent regulations on investment advice in 401(k) plans. Comment letter filed with Senate Special Aging Committee regarding target date funds. Provided input for "Savings Recovery Act" (currently in draft form) Provided input for development of 401(k) system reforms
H.R. 1068 - To amend the Internal Revenue Code of 1986 to impose a tax on certain securities transactions to the extent required to recoup the net cost of the Troubled Asset Relief Program. S. 722 - A bill to amend the Internal Revenue Code of 1986 to provide for permanent alternative minimum tax relief, middle class tax relief, and estate tax relief, and to permanently extend certain expiring provisions, and for other purposes. S. 567 - A bill to repeal the sunset on the reduction of capital gain tax rates for individuals and on the taxation of dividends of individuals at capital gain rates.
VANGUARD GROUP via VANGUARD GROUP
2008 · fourth_quarter · Q4
H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivatives contracts S. 349 - Small Business and Work Opportunity Act of 2007 H.R. 3996 - Temporary Tax Relief Act of 2007 (See addendum page) H.R. 976 - Small Business Tax Relief Act of 2007 H.R. 5140 - Economic Stimulus Act of 2008 S. 2886 - Alternative Minimum Tax and Extenders Tax Relief Act of 2008 H.R. 5749 - Emergency Extended Unemployment Compensation Act of 2008 H.R. 6049 - Energy Improvement and Extension Act of 2008 H.R. 7202 - Temporary Tax Relief Act of 2008 S. 3335 - Jobs, Energy, Families and Disaster Relief Act of 2008
H.R. 1424 - Emergency Economic Stablization Act of 2008 H.R. 6604 - Commodities Markets Transparency and Accountability Act S. 3248 - Commodity Speculation Reform Act (See addendum page) S. 3268 - Stop Excessive Energy Speculation Act H.R. 3997 - Emergency Economic Stabilization Act of 2008
VANGUARD GROUP via VANGUARD GROUP
2008 · third_quarter · Q3
H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivatives contracts S. 349 - Small Business and Work Opportunity Act of 2007 H.R. 3996 - Temporary Tax Relief Act of 2007 (See addendum page) H.R. 976 - Small Business Tax Relief Act of 2007 H.R. 5140 - Economic Stimulus Act of 2008 S. 2886 - Alternative Minimum Tax and Extenders Tax Relief Act of 2008 H.R. 5749 - Emergency Extended Unemployment Compensation Act of 2008 H.R. 6049 - Energy Improvement and Extension Act of 2008 H.R. 7202 - Temporary Tax Relief Act of 2008 S. 3335 - Jobs, Energy, Families and Disaster Relief Act of 2008
S. 239 - Notification of Risk to Personal Data Act of 2007 S. 495 - Personal Data Privacy and Security Act of 2007 S. 1178 - Identity Theft Prevention Act
VANGUARD GROUP via VANGUARD GROUP
2008 · third_quarter · Q3
H.R. 1424 - Emergency Economic Stabilization Act of 2008 H.R. 6604 - Commodities Markets Transparency and Accountability Act S. 3248 - Commodity Speculation Reform Act (See addendum page) S. 3268 - Stop Excessive Energy Speculation Act H.R. 3997 - Emergency Economic Stabilization Act of 2008
H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribution Plan Fee Transparency Act S. 2473 - Defined Copntribution Fee Disclosure Act (See addendum page) S. 1141/H.R. 2167 - Automatic IRA Act S. 1974/H.R. 3361 - Pension Protection Technical Corrections Act
VANGUARD GROUP via VANGUARD GROUP
2008 · second_quarter · Q2
H.R. 878 - Simplification Through Additional Reporting Tax Act S. 601 - Simplification Through Additional Reporting Tax Act H.R. 3970 - Tax Reduction and Reform Act of 2007 H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivatives contracts
S.2452 - Home Ownership Preservation and Protection Act of 2007 H.R. 1427 - To reform the regulation of certain housing-related government-sponsored enterprises H.R. 6346 - To protect consumers from price-gouging of gasoline and other fuels (See addendum page) S. 3183 - A bill to amend the Commodities Exchange Act to provide oil and gas price relief by requiring the Commodity Futures Trading Commission to take action to end excessive speculation
VANGUARD GROUP via VANGUARD GROUP
2008 · first_quarter · Q1
H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribuiton Fee Disclosure Act S. 2473 - Defined Contribution Fee Disclosure Act S. 1141/H.R. 2167 - Automatic IRA Act S. 1974/H.R. 3361 - Pension Protection Technical Corrections Act
H.R. 1427 - To reform the regulation of certain housing-related government-sponsored enterprises S. 2452 - To amend the Truth-in-Lending Act to provide protection to consumers with respect to certain high-cost loans
H.R. 878 - Simplification Through Additional Reporting Tax Act S. 601 - Simplification Through Additional Reporting Tax Act H.R. 3970 - Tax Reduction and Reform Act of 2007 H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivatives contracts
VANGUARD GROUP via VANGUARD GROUP
2007 · year_end · YY
H.R. 878 - Simplification Through Additional Reporting Tax Act S. 601 - Simplification Through Additional Reporting Tax Act H.R. 3970 - Tax Reduction and Reform Act of 2007 H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivative contracts
H.R. 2 - Fair Minimum Wage Act of 2007 (Non-Qualified Deferred Compensation) H.R. 976 - Small Business Tax Relief Act of 2007 (Non-Qualified Deferred Compensation) H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribution Fee Disclosure Act
VANGUARD GROUP via VANGUARD GROUP
2006 · year_end · YY
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
VANGUARD GROUP via VANGUARD GROUP
2006 · year_end · YY
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
VANGUARD GROUP via VANGUARD GROUP
2005 · year_end · YY
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
VANGUARD GROUP via VANGUARD GROUP
2004 · year_end · YY
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
VANGUARD GROUP via VANGUARD GROUP
2004 · year_end · RR
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the design and function of the ABLE Act (S.313 and H.R.647) Issues related to development of the 401(Kids) Education Savings Account Act proposal General tax issues related to mutual funds
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading, interactions and reporting of swaps trading Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to margin for uncleared swaps, including cash-only margin Issues related to capital requirements for cleared and uncleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, Regulation NMS and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds, including H.R. 5180 (Financial Stability Oversight Council Improvement Act of 2014) Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to regulation of mortgage- and other asset-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the overnight reverse repurchase agreement proposal Issues related to market activities and effects upon Treasury inflation protected securities Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry Issues related to the EU safe harbor framework Issues related to the flash crash and availability of liquidity in the fixed income markets
Issues related to cybersecurity, infrastructure protection, security technology, and coordination of information relating to cybersecurity measures including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013), H.R. 2962 (Critical Infrastructure Research and Development Act), H.R. 3107 (Homeland Security Cybersecurity Boots-on-the-Ground Act, H.R. 3635 (Safe and Secure Federal Websites Act), S. 1353 (Cybersecurity Act of 2013), S. 2354 (DHS Cybersecurity Workforce Recruitment and Retention Act of 2014), S. 2519 (National Cybersecurity and Communications Integration Center Act of 2014), and S. 2521 (Federal Information Security Modernization Act of 2014)
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to cybersecurity, infrastructure protection and security technology, including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013), H.R. 2962 (Critical Infrastructure Research and Development Act), H.R. 3107 (Homeland Security Cybersecurity Boots-on-the-Ground Act, and H.R. 3635 (Safe and Secure Federal Websites Act)
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to margin for uncleared swaps, including cash-only margin Issues related to capital requirements for cleared and uncleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, market data feeds, Regulation NMS and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds, including H.R. 5180 (Financial Stability Oversight Council Improvement Act of 2014) Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the overnight reverse repurchase agreement proposal Issues related to market activities and effects upon Treasury inflation protected securities Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds Issues related to retirement plan autoescalation safe harbor proposal
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to systemic risk regulation of non-bank financial institutions (See attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs), including transparency and custom baskets Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, high frequency trading, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to FINRAs advertising rules Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings (See attached addendum page)Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives Issues related to the ABLE Act (S.313 and H.R.647) General tax issues related to mutual funds
Issues related to cybersecurity, infrastructure protection and security technology, including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013)
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
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (See attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Issues related to cybersecurity, infrastructure protection and security technology, including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013)
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to portfolio management of exchange-traded funds (ETFs) (See attached addendum page)Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
Issues related to cybersecurity, infrastructure protection and security technology
Issues related to reductions in the federal debt and federal budget deficit
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page)Issues related to portfolio management of exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure and computerized trading matters Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on municipal bonds Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to the My Classroom Economy financial literacy program
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Capital gains and dividend tax rates as they relate to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) (see attached addendum page)General tax issues related to mutual funds Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds
Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 (SEAL Act) Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues related to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
Issues related to reductions in the federal debt and federal budget deficit
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Speculators Tax) (see attached addendum page)Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Issues related to tax incentives for retirement savings Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to taxation of derivatives Issues related to basis reporting for stocks and bonds
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including S. 606 Issues related to tax incentives for retirement savings Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (see attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (by Senator Harkin) Issues relating to limitations on retirement plan contributions or assets Issues related to the Department of Labors ERISA fiduciary definition regulation
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to reductions in the federal debt and federal budget deficit
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, orderly liquidation authority, and systemic risk Issues related to exchange-traded funds (ETFs) (see attached addendum page) Issues related to swap execution facility trading and reporting Issues related to use of derivatives by mutual funds Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Proposals related to market-maker incentive programs (H.R. 6127) Issues related to CFTC Rule 4.5 on commodity pool operators
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R.3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices H.R.4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to Department of Labor defined contribution plan fee disclosure regulations Issues related to potential Treasury guidance on 401(k) plan design features
Issues relevant to reductions in the federal debt and federal budget deficit
Issues related to operational and cost impact of closing an important postal facility and proposed changes to postal rate structure
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
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security Transaction Tax Proposals Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives and systemic risk Issues related to securities transactions and holdings (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R.1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S.1121/H.R. 3287- Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors proposed fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds 401(k) fee disclosures 401(k) investment advice Issues related to electronic delivery of employee plan notices and statements Proposals to simplify retirement plan administration
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC)
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations specifically, derivatives, systemic risk, and orderly liquidation authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to investment advice Issues related to municipal disclosure Issues related to adoption of rules governing communications with the public, use of investment company rankings, and requirements for the use of bond mutual fund volatility ratings Issues relating to credit risk retention Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues associated with possible revisions to the Public Company Accounting Oversight Boards standards relating to reports on audited financial statements Issues related to the Financial Stability Oversight Council and mutual funds Issues related to regulation of money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Proposals related to 401(k) plan loans and rollover loans to IRAs (see attached addendum page) Proposals related to expanding the definition of fiduciary under ERISA Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534 Small Businesses Add Value for Employees Act Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to retirement target date funds Issues related to tax incentives for retirement savings 401(k) fee disclosures, investment advice
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds
Proposals related to expanding the definition of fiduciary under ERISA Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business (see attached addendum page) Proposals related to 401(k) plan loans and rollover loans to IRAs Proposal related to stemming leakage from retirement plans through reform of plan loan rule Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to retirement target date funds Issues related to tax incentives for retirement savings 401(k) fee disclosures, investment advice
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009 (see attached addendum page) H.R. 2021 Savings Recovery Act of 2009 H.R. 2779 Defined Contribution Plan Fee Transparency Act H.R. 2989 401(k) Fair Disclosure and Pension Security Act H.R. 4213 American Jobs and Closing Tax Loopholes Act of 2010 S. 401 Defined contribution Fee Disclosure Act of 2009 S. 3760 Automatic IRA Act of 2010 S. 6099 Automatic IRA Act of 2010 H.R. 4742 Small Businesses Add Value for Employees Act H.R. 4126 Retirement Fairness Act Proposals to reform of the defined contribution plan system Proposals related to retirement savings Proposals related to defined contribution plan fees and fee disclosure practices Proposals related to the index fund mandate provision of H.R. 2989 Proposals related to the investment advice rules provision in H.R. 1988 Proposals related to mandated workplace savings arrangements for employees without access to employer retirement plans as included in S. 3760 and H.R. 6099 Proposals related to expansion of SIMPLE IRAs Proposals related to the establishment of discretionary payroll deduction IRAs Proposals related to the creation of new qualified retirement plans for small business (H.R. 4742 and H.R. 4126) Proposals related to 401(k) plan loans and rollover loans to IRAs Proposals related to expanding the definition of fiduciary under ERISA Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to retirement target date funds Issues related to tax incentives for retirement savings Proposals related to stemming leakage from retirement plans
H.R. 4191 - Security transaction tax proposals H.R. 4337 - Regulated Investment Company Modernization Act of 2010 H.R. 4853 - Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 (see attached addendum page) General tax issues related to mutual funds Tax loss carryforwards Capital gain and dividend tax rates as they relate to mutual funds
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
H.R. 4191 - Let Wall Street Pay for the Restoration of Main Street Act of 2009 H.R. 4337 - Regulated Investment Company Modernization Act of 2010 General tax issues related to mutual funds and tax incentives for retirement savings
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 (see attached addendum page) H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 (amendment #1019 re safe harbor provisions) S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 3217 - Restoring American Financial Stability Act of 2010 OTC derivatives trading Legislation and regulations affecting the mutual fund industry Proposals relating to money market funds Issues relating to market structure matters Issues relating to target date funds Issues relating to investment advice
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
S. 401 - Defined Contribution Fee Disclosure Act S. 3217 - Restoring American Financial Stability Act of 2010 H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act (Please see addendum page) H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021 - Savings Recovery Act of 2009 H.R. 2779 - Defined Contribution Plan Fee Transparency Act H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act H.R. 4213 - American Jobs and Closing Tax Loopholes Act of 2010 H.R. 4742 - Small Business Add Value for Employees Act H.R. 4126 - Retirement Fairness Act H.R. 4178 - Deposit Restricted Qualified Tuition Programs Act of 2010 Proposals to reform the defined contribution plan system Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans, including automatic IRAs Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Issues related to retirement target date funds Issues related to retirement income Issues related to delivery of advice to participants in qualified retirement plans Issues related to investment choices in qualified retirement plans
H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
Filing targets: Commodity Futures Trading Commission (CFTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
S. 401, Defined Contribution Fee Disclosure Act, H.R. 1984, 401(k) Fair Disclosure for Retirement Security Act, H.R. 2779, Defined Contribution Plan fee Transparency Act (Please see addendum page) H.R. 2989, 401(k) Fair Disclosure and Pension Security Act. H.R. 4126, the Retirement Fairness Act. H.R. 1988, Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021, Savings Recovery Act of 2009 401 (k) fee disclosures, investment advice Proposals related to investment advice rules H.R. 4742, the Small Businesses Add Value for Employees Act Proposals to reform the defined contribution plan system Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans, including automatic IRAs Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Issues related to retirement target date funds
Issues relating to regulation of derivatives
Filing targets: Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
S. 401 - Defined Contribution Fee Disclosure Act H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act H.R. 2779 - Defined Contribution Plan fee Transparency Act (please see addendum page) H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act H.R. 2021 - Savings Recovery Act of 2009 H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009 H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act H.R. 4126 - Retirement Fairness Act H.R. 4173 - Wall Street Reform and Consumer Protection Act. Proposals to reform the defined contribution plan system. Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans, including automatic IRAs. Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business. Proposals creating a consumer financial protection agency and issues related to its jurisdiction over retirement plans and services.
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
S. 401 - Defined Contribution Fee Disclosure Act of 2009 H.R. 1984 - 401(k) Fair Disclosure for Retirement Security Act H.R. 2779 - Defined Contribution Plan Fee Transparency Act (please see addendum page) H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021 - Savings Recovery Act of 2009 Proposals regarding target date funds utilized in retirement plans Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans Proposals related to expansion of SIMPLE IRAs Proposals relating to the establishment of discretionary payroll deduction IRAs Proposals relating to the creation of new qualified retirement plans for small business
H.R.. 676 - Expanded and Improved Medicare for All Act H.R. 1068 - Let Wall Street Pay for Wall Street's Bailout Act of 2009 H.R. 2448 - Prevent Unfair Manipulation of Prices Act of 2009
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R. 1068 - Let Wall Street Pay for Wall Street's Bailout Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
S. 560 - To amend the National Labor Relations Act to establish an efficient system to enable employees to form, join, or assist labor organizations, to provide for mandatory injunctions for unfair labor practices during organizing efforts, and for other purposes. (Single contact)
S. 664 - A bill to create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the Federal Government, and for other purposes. H.R. 1754 - To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the Federal Government, and for other purposes. H.R. 1349 - To establish the Federal Accounting Oversight Board to approve and oversee accounting principles and standards for the purposes of the Federal financial regulatory agencies, and for other purposes. H.R. 1728 - To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes. H.R. 1669 - To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes. Money market mutual fund reform - Changes to SEC Rule 2a-7.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribution Plan Fee Transparency Act S. 2473 - Defined Contribution Fee Disclosure Act (See addendum page) S. 1141/H.R. 2167 - Automatic IRA Act S. 1974/H.R. 3361 - Pension Protection Technical Correction Act
S. 239 - Notification of Risk to Personal Data Act of 2007 S. 495 - Personal Data Privacy and Security Act of 2007 S. 1178 - Identity Theft Prevention Act
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribution Plan Fee Transparency Act S. 2473 - Defined Contribution Fee Disclosure Act (See addendum page) S. 1141/H.R. 2167 - Automatic IRA Act S. 1974/H.R. 3361 - Pension Protection Technical Correction Act
H.R. 1424 - Emergency Economic Stablization Act of 2008 H.R. 6604 - Commodities Markets Transparency and Accountability Act S. 3248 - Commodity Speculation Reform Act (See addendum page) S. 3268 - Stop Excessive Energy Speculation Act H.R. 3997 - Emergency Economic Stabilization Act of 2008
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
H.R. 4912 - To Amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivatives contracts S. 349 - Small Business and Work Opportunity Act of 2007 H.R. 3996 Temporary Tax Relief Act of 2007 (See addendum page) H.R. 976 Small Business Tax Relief Act of 2007 H.R. 5140 Economic Stimulus Act of 2008 S. 2886 - Alternative Minimum Tax and Extenders Tax Relief Act of 2008 H.R. 5749 - Emergency Extended Unemployment Compensation Act of 2008 H.R. 6049 - Energy Improvement and Extension Act of 2008 H.R. 7202 Temporary Tax Relief Act of 2008 S. 3335 - Jobs, Energy, Families, and Disaster Relief Act of 2008
S. 239 - Notification of Risk to Personal Data Act of 2007 S. 495 - Personal Data Privacy and Security Act of 2007 S. 1178 - Identity Theft Prevention Act
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act H.R. 3765 - Defined Contribution Fee Disclosure Act S. 2473 - Defined Contribution Fee Disclosure Act S. 1141/H.R. 2167 - Automatic IRA Act S. 1974/H.R. 3361 - Pension Protection Technical Corrections Act
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of
H.R. 1171 - Money Market Fund Parity Act H.R. 1427 - To reform the regulation of certain housing-related government-sponsored enterprises S.2452 - To amend the Truth-in-Lending Act to provide protection to consumers with respect to certain high-cost loans
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, UNDETERMINED