Loading…
Reported covered position: Senior Policy Advisor, House Financial Services Committee
How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3382, the Small Entity Update Act; Senate proposed version of the Digital Asset Market Clarity Act and draft versions of digital assets market structure legislation; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; SEC File No. S7-2026-01, Amendments to the Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act.; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to tokenized securities and broker-dealer liquidity; Issues related to escheatment.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2026 · third_quarter · Q3
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act; H.R. 3382/S. 2924, the Small Business Entity Update Act (HR 3382/S 2924); File No. S7-2026-25/RIN 3235-AN57, SECs Proposed Regulation E-Delivery; SEC Release No. 34-106402/File No. 4-927, the Innovation Exemption and other legislative and regulatory proposals related to the tokenization of securities; Issues related to fraud in micro-cap securities; Issues related to Trump Accounts, including the rollover of accounts to other financial providers; Issues related to escheatment.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Source: Senate LDA
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act.; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to the Community Development Financial Institutions (CDFI) Fund; Issues related to tokenized securities and broker-dealer liquidity; Issues related to fraud in micro-cap securities.
Small Entity Update Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act; H.R. 3382/S. 2924, the Small Business Entity Update Act (HR 3382/S 2924); File No. S7-2026-25/RIN 3235-AN57, SECs Proposed Regulation E-Delivery; SEC Release No. 34-106402/File No. 4-927, the Innovation Exemption and other legislative and regulatory proposals related to the tokenization of securities; Issues related to fraud in micro-cap securities; Issues related to Trump Accounts, including the rollover of accounts to other financial providers; Issues related to escheatment.
Small Entity Update Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3382, the Small Entity Update Act; Senate proposed version of the Digital Asset Market Clarity Act and draft versions of digital assets market structure legislation; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; SEC File No. S7-2026-01, Amendments to the Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act.; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to tokenized securities and broker-dealer liquidity; Issues related to escheatment.
Digital Asset Market Clarity Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act.; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to the Community Development Financial Institutions (CDFI) Fund; Issues related to tokenized securities and broker-dealer liquidity; Issues related to fraud in micro-cap securities.
Digital Asset Market Clarity Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act; H.R. 3382/S. 2924, the Small Business Entity Update Act (HR 3382/S 2924); File No. S7-2026-25/RIN 3235-AN57, SECs Proposed Regulation E-Delivery; SEC Release No. 34-106402/File No. 4-927, the Innovation Exemption and other legislative and regulatory proposals related to the tokenization of securities; Issues related to fraud in micro-cap securities; Issues related to Trump Accounts, including the rollover of accounts to other financial providers; Issues related to escheatment.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio and the Federal Reserves tailoring rule; Legislative and regulatory proposals related to brokered deposits.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3382, the Small Entity Update Act; Senate proposed version of the Digital Asset Market Clarity Act and draft versions of digital assets market structure legislation; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; SEC File No. S7-2026-01, Amendments to the Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act.; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to tokenized securities and broker-dealer liquidity; Issues related to escheatment.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act.; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to the Community Development Financial Institutions (CDFI) Fund; Issues related to tokenized securities and broker-dealer liquidity; Issues related to fraud in micro-cap securities.
Small Entity Update Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act; H.R. 3382/S. 2924, the Small Business Entity Update Act (HR 3382/S 2924); File No. S7-2026-25/RIN 3235-AN57, SECs Proposed Regulation E-Delivery; SEC Release No. 34-106402/File No. 4-927, the Innovation Exemption and other legislative and regulatory proposals related to the tokenization of securities; Issues related to fraud in micro-cap securities; Issues related to Trump Accounts, including the rollover of accounts to other financial providers; Issues related to escheatment.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio and the Federal Reserves tailoring rule; Legislative and regulatory proposals related to brokered deposits.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio and the Federal Reserves tailoring rule; Legislative and regulatory proposals related to brokered deposits.
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio.
Retirement Fairness for Charities and Educational Institutions Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1013, the Retirement Fairness for Charities and Educational Institutions Act of 2025.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, microcap securities fraud, and broker-dealer liquidity. Issues related to financial institutions and the custody of digital assets. H.R. 3633, the Digital Asset Market Clarity Act and related Senate proposals. Rule 611, the Order Protection Rule, of Regulation NMS (National Market System).
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to electronic delivery, including H.R. 2441, the Improving Disclosure for Investors Act. SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22) and Order Competition Rule (File No. S7-31-22). Issues related to financial institutions and the custody of digital assets. Issues related to combating fraud in microcap stocks.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to electronic delivery, including H.R. 2441, the Improving Disclosure for Investors Act. Issues related to microcap securities fraud, Issues related to financial institutions and the custody of digital assets, including the Federal Reserves 2022 guidance on Engagement in Crypto-Asset-Related Activities by Federal Reserve Supervised Banking Organizations. Issues related to the SECs Consolidated Audit Trail. Legislative proposals to reform the Financial Industry Regulatory Authority (FINRA). Issues related to broker-dealer liquidity.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3383, the INVEST Act; Senate proposed version of the Digital Asset Market Clarity Act; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, foreign microcap securities fraud, and broker-dealer liquidity.
Incentivizing New Ventures and Economic Strength Through Capital Formation Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3383, the INVEST Act; Senate proposed version of the Digital Asset Market Clarity Act; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, foreign microcap securities fraud, and broker-dealer liquidity.
Digital Asset Market Clarity Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, microcap securities fraud, and broker-dealer liquidity. Issues related to financial institutions and the custody of digital assets. H.R. 3633, the Digital Asset Market Clarity Act and related Senate proposals. Rule 611, the Order Protection Rule, of Regulation NMS (National Market System).
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 3383, the INVEST Act; Senate proposed version of the Digital Asset Market Clarity Act; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, foreign microcap securities fraud, and broker-dealer liquidity.
Improving Disclosure for Investors Act of 2025
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, microcap securities fraud, and broker-dealer liquidity. Issues related to financial institutions and the custody of digital assets. H.R. 3633, the Digital Asset Market Clarity Act and related Senate proposals. Rule 611, the Order Protection Rule, of Regulation NMS (National Market System).
Main Street Depositor Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Legislative proposals related to federal deposit insurance, including S. 2999, the Main Street Depositor Protection Act; Issues related to the funding of Community Development Financial Institutions; Issues related to the Liquidity Coverage Ratio.
A bill to amend the FISA Amendments Act of 2008 to provide for an extension of certain authorities under title VII of the Foreign Intelligence Surveillance Act of 1978.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 4197, Retirement Fairness for Charities and Educational Institutions Act and related legislation.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22) and Order Competition Rule (File No. S7-31-22. SEC proposal on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Consumer Financial Protection Bureaus rule on Personal Financial Data Rights (Docket No. CFPB-2023-0052). Legislative proposals related to electronic delivery. Issues related to the financial institutions and the custody of digital assets. Issues related to the legal and regulatory environment for retail broker-dealers.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). Legislative proposals related to electronic delivery. Issues related to the legal and regulatory environment for retail broker-dealers.
Improving Disclosure for Investors Act of 2023
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22). H.R. 1807, the Improving Disclosure for Investors Act. General issues regarding the Federal Reserves Overnight Reverse Repurchase Agreement Facility (ON RRP).
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22).General issues related to the regulation of digital assets.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Consumer Financial Protection Bureau proposed Required Rulemaking on Personal Financial Data Rights (Docket No. CFPB-2023-0052). Regulatory and legislative proposals related to electronic delivery.
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23).
A bill to authorize an additional district judgeship for the district of Idaho.
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22). H.R. 1807, the Improving Disclosure for Investors Act. General issues regarding the Federal Reserves Overnight Reverse Repurchase Agreement Facility (ON RRP).
Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics. Issues related to the treatment of digital assets. Issues related to environmental, social and governance (ESG) investing. S. 4241, the INDEX Act.
Equity market structure issues, including payment for order flow and trading mechanics. Issues related to the electronic delivery of disclosures and other documents. S. 4241, the INDEX Act.
The Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.
S. 4808, the Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.
S. 4808, the Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.
SAFE Banking Act of 2021
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1996/S. 910, the SAFE Banking Act.
LOCAL Infrastructure Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
SEC Release 34-88216, Market Data Infrastructure. Equity market structure issues, including payment for order flow, clearing requirements, options trading and settlement times. Issues related to the electronic delivery of documents. S. 479, the LOCAL Infrastructure Act, and other legislation related to municipal finance.
SAFE Banking Act of 2021
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1996/S. 910, the SAFE Banking Act.
Retirement savings-related provisions of H.R. 6800, the Heroes Act; draft legislative proposals on retirement savings.
Retirement savings-related provisions of H.R. 748, the Coronavirus Aid, Recovery and Economic Stimulus (CARES) Act.
Brokered Deposit Affiliate-Subsidiary Modernization Act of 2019
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 3111, the Brokered Deposit Affiliate-Subsidiary Modernization Act; FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94). The Office of the Comptroller of the Currency (OCC) process for considering applications for national bank charters from non-depository financial technology companies.
Holding Foreign Companies Accountable Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 945, the Holding Foreign Companies Accountable Act.
Holding Foreign Companies Accountable Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
S. 945, the Holding Foreign Companies Accountable Act.
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
SAFE Banking Act of 2019
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Draft legislation related to brokered deposits. H.R. 1595 and S. 1200, the Secure and Fair Banking Enforcement Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
SEC Disclosure Effectiveness Testing Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act; SEC Regulation Best Interest (Proposed Rule: Release No. 34-83062; Final Rule: Release No. 34-86031). SEC Form CRS Relationship Summary and related amendments (Proposed Rule: Release No. 34-83063; Final Rule: Release No. 34-83032). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889) and Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA-5248). Market data and market structure issues. Issues related to reform of self-regulatory organizations.
SEC Disclosure Effectiveness Testing Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act; S. 733, the Consumer Financial Choice and Capital Markets Protection Act; SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Market data and market structure issues.
SEC Disclosure Effectiveness Testing Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act. H.R. 4492, the Consumer Financial Choice and Capital Markets Protection Act. Market data and market structure issues. Issues related to reform of self-regulatory organizations.
SEC Disclosure Effectiveness Testing Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act. Market data and market structure issues. SEC Release 34-84875, Transaction Fee Pilot for NMS Stocks. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. Draft legislation related to reform of self-regulatory organizations. Issues related to the Federal Reserves support for the repo market. SEC Release 34-86031, Regulation Best Interest. SEC Release 34-86032, Form CRS Relationship Summary.
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act. H.R. 4492, the Consumer Financial Choice and Capital Markets Protection Act. Market data and market structure issues. Issues related to reform of self-regulatory organizations.
SAFE Banking Act of 2019
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
Draft legislation related to brokered deposits. H.R. 1595 and S. 1200, the Secure and Fair Banking Enforcement Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
Consumer Financial Choice and Capital Markets Protection Act of 2019
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 1815, the SEC Disclosure Effectiveness Testing Act; S. 733, the Consumer Financial Choice and Capital Markets Protection Act; SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Market data and market structure issues.
Consumer Financial Choice and Capital Markets Protection Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Financial regulatory examination consolidation and coordination. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Issues related to the role and responsibilities of self-regulatory organizations.
Consumer Financial Choice and Capital Markets Protection Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Financial literacy.
Consumer Financial Choice and Capital Markets Protection Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Proposed and Final Rule on Disclosure of Order Handling Information (Release No. 34-84528). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Regulation of exchange-traded funds, including SEC Proposed Rule on Exchange-Traded Funds (Release No. 33-10515). Financial regulatory examination consolidation and coordination. Issues related to the role and responsibilities of self-regulatory organizations.
Exchange Regulatory Improvement Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Financial literacy.
Exchange Regulatory Improvement Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Proposed and Final Rule on Disclosure of Order Handling Information (Release No. 34-84528). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Regulation of exchange-traded funds, including SEC Proposed Rule on Exchange-Traded Funds (Release No. 33-10515). Financial regulatory examination consolidation and coordination. Issues related to the role and responsibilities of self-regulatory organizations.
Exchange Regulatory Improvement Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Financial regulatory examination consolidation and coordination. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Issues related to the role and responsibilities of self-regulatory organizations.
Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act.
Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act.
Brokered Deposit Affiliate-Subsidiary Modernization Act of 2018
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
Economic Growth, Regulatory Relief, and Consumer Protection Act
Client: CHARLES SCHWAB CORPORATION · Firm: THE CHARLES SCHWAB CORPORATION
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Financial literacy.
2026 · second_quarter · Q2
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio and the Federal Reserves tailoring rule; Legislative and regulatory proposals related to brokered deposits.
H.R. 3633, the Digital Asset Market Clarity (CLARITY) Act.; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to the Community Development Financial Institutions (CDFI) Fund; Issues related to tokenized securities and broker-dealer liquidity; Issues related to fraud in micro-cap securities.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2026 · first_quarter · Q1
H.R. 3382, the Small Entity Update Act; Senate proposed version of the Digital Asset Market Clarity Act and draft versions of digital assets market structure legislation; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act; SEC File No. S7-2026-01, Amendments to the Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act.; File No. SR-OCC-2025-018, Proposed Changes to Clearing Fund Allocation Methodology.; Issues related to tokenized securities and broker-dealer liquidity; Issues related to escheatment.
S. 2999/S. 4198 and H.R. 8087, the Main Street Depositor Protection Act; Issues related to the Liquidity Coverage Ratio.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2025 · fourth_quarter · Q4
H.R. 3383, the INVEST Act; Senate proposed version of the Digital Asset Market Clarity Act; Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, foreign microcap securities fraud, and broker-dealer liquidity.
Legislative proposals related to federal deposit insurance, including S. 2999, the Main Street Depositor Protection Act; Issues related to the funding of Community Development Financial Institutions; Issues related to the Liquidity Coverage Ratio.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2025 · third_quarter · Q3
Legislative proposals related to electronic delivery, including H.R. 2441 and S. 1877, the Improving Disclosure for Investors Act. Issues related to tokenized securities, microcap securities fraud, and broker-dealer liquidity. Issues related to financial institutions and the custody of digital assets. H.R. 3633, the Digital Asset Market Clarity Act and related Senate proposals. Rule 611, the Order Protection Rule, of Regulation NMS (National Market System).
Proposals to reform the Supplemental Leverage Ratio (SLR) for large banks. Issues related to federal deposit insurance reform.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2025 · second_quarter · Q2
Legislative proposals related to electronic delivery, including H.R. 2441, the Improving Disclosure for Investors Act. Issues related to microcap securities fraud, Issues related to financial institutions and the custody of digital assets, including the Federal Reserves 2022 guidance on Engagement in Crypto-Asset-Related Activities by Federal Reserve Supervised Banking Organizations. Issues related to the SECs Consolidated Audit Trail. Legislative proposals to reform the Financial Industry Regulatory Authority (FINRA). Issues related to broker-dealer liquidity.
H.R. 1013, the Retirement Fairness for Charities and Educational Institutions Act of 2025.
Filing targets: HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2025 · first_quarter · Q1
Legislative proposals related to electronic delivery, including H.R. 2441, the Improving Disclosure for Investors Act. SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22) and Order Competition Rule (File No. S7-31-22). Issues related to financial institutions and the custody of digital assets. Issues related to combating fraud in microcap stocks.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2024 · fourth_quarter · Q4
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22) and Order Competition Rule (File No. S7-31-22. SEC proposal on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Consumer Financial Protection Bureaus rule on Personal Financial Data Rights (Docket No. CFPB-2023-0052). Legislative proposals related to electronic delivery. Issues related to the financial institutions and the custody of digital assets. Issues related to the legal and regulatory environment for retail broker-dealers.
Federal Reserve Proposed Rule on Long-Term Debt Requirements for Large Bank Holding Companies, Certain Intermediate Holding Companies of Foreign Banking Organizations, and Large Insured Depository Institutions (RIN 7100-AG66). Federal Deposit Insurance Corporation (FDIC) Notice of Proposed Rulemaking on Brokered Deposits Restrictions (RIN 3064-AF99). Joint Proposal of the Office of the Comptroller of the Currency, the Federal Reserve and the FDIC on Regulatory Capital for Large Banks (RIN 7100-AG64).
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2024 · third_quarter · Q3
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). Legislative proposals related to electronic delivery. Issues related to the legal and regulatory environment for retail broker-dealers.
Federal Reserve Proposed Rule on Long-Term Debt Requirements for Large Bank Holding Companies, Certain Intermediate Holding Companies of Foreign Banking Organizations, and Large Insured Depository Institutions (RIN 7100-AG66). Federal Deposit Insurance Corporation (FDIC) Notice of Proposed Rulemaking on Brokered Deposits Restrictions (RIN 3064-AF99).
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2024 · second_quarter · Q2
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), and Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.
Department of Labor Proposed Retirement Security Rule (RIN 1210-AC02).
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2024 · first_quarter · Q1
Federal Reserve Proposed Rule on Long-Term Debt Requirements for Large Bank Holding Companies, Certain Intermediate Holding Companies of Foreign Banking Organizations, and Large Insured Depository Institutions (RIN 7100-AG66).
Department of Labor Proposed Retirement Security Rule (RIN 1210-AC02).
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Legislative proposals related to electronic delivery.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2023 · fourth_quarter · Q4
Federal Reserve Proposed Rule on Long-Term Debt Requirements for Large Bank Holding Companies, Certain Intermediate Holding Companies of Foreign Banking Organizations, and Large Insured Depository Institutions (RIN 7100-AG66).
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23). Consumer Financial Protection Bureau proposed Required Rulemaking on Personal Financial Data Rights (Docket No. CFPB-2023-0052). Regulatory and legislative proposals related to electronic delivery.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2023 · third_quarter · Q3
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23).
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2023 · second_quarter · Q2
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22). H.R. 1807, the Improving Disclosure for Investors Act. General issues regarding the Federal Reserves Overnight Reverse Repurchase Agreement Facility (ON RRP).
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2023 · first_quarter · Q1
SEC proposals on Equity Market Structure Reform, including Regulation Best Execution (File No. S7-32-22), Order Competition Rule (File No. S7-31-22), Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (File No. S7-30-22) and Disclosure of Order Execution Information (File No. S7-29-22). SEC Proposed Rule on Safeguarding Advisory Client Assets (File No. S7-04-23). SEC Proposed Rule on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (File No. S7-26-22).General issues related to the regulation of digital assets.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2022 · fourth_quarter · Q4
Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2022 · third_quarter · Q3
S. 4808, the Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.
Equity market structure issues, including payment for order flow, best execution, market data and trading mechanics. Issues related to the treatment of digital assets. Issues related to environmental, social and governance (ESG) investing. S. 4241, the INDEX Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2022 · second_quarter · Q2
Equity market structure issues, including payment for order flow and trading mechanics. Issues related to the electronic delivery of disclosures and other documents. S. 4241, the INDEX Act.
The Enhancing American Retirement Now Act; S. 4353, the Retirement Improvement and Savings Enhancement to Supplement Healthy Investments for the Nest Egg Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2022 · first_quarter · Q1
Equity market structure issues, including payment for order flow, settlement times and trading mechanics. Draft legislation to reform securities exchanges. Issues related to the oversight of self-regulatory organizations.
Filing targets: HOUSE OF REPRESENTATIVES
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2021 · fourth_quarter · Q4
Equity market structure issues, including payment for order flow, settlement times, digital engagement practices and trading mechanics. The issue of common ownership by institutional investors.
Proposals to require reporting to the Internal Revenue Service of customer bank account data when transactions exceed a certain annual threshold.
Legislative proposals (including draft proposals) related to a financial transaction tax, the taxation of unrealized gains and the taxation of in-kind redemptions.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2021 · third_quarter · Q3
Legislative proposals (including draft proposals) related to a financial transaction tax, the taxation of capital gains and dividends, the estate tax and taxation of in-kind redemptions.
Equity market structure issues, including payment for order flow, settlement times, digital engagement practices and on-exchange vs. off-exchange trading. Issues related to the electronic delivery of documents. The Department of Labors Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees and related guidance.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2021 · second_quarter · Q2
Legislative proposals related to a financial transaction tax, the taxation of capital gains and dividends and the estate tax.
Equity market structure issues, including payment for order flow, clearing requirements, options trading and settlement times. Issues related to the electronic delivery of documents. Issues related to public company disclosure on diversity and inclusion. Issues related to the regulation of cryptocurrencies.
H.R. 1996/S. 910, the SAFE Banking Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2021 · first_quarter · Q1
SEC Release 34-88216, Market Data Infrastructure. Equity market structure issues, including payment for order flow, clearing requirements, options trading and settlement times. Issues related to the electronic delivery of documents. S. 479, the LOCAL Infrastructure Act, and other legislation related to municipal finance.
Legislative proposals related to a financial transaction tax, the taxation of capital gains and dividends and the estate tax.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2020 · fourth_quarter · Q4
Proposals to implement a financial transaction tax.
Federal Reserve Net Stable Funding Ratio rule (RIN 7100-AE 51). Issues related to the transition from the London Inter-bank Offered Rate (LIBOR).
Regulatory and legislative proposals relating to data aggregation, data protection and privacy.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2020 · third_quarter · Q3
SEC Release 34-88216, Market Data Infrastructure. Issues related to the electronic delivery of documents. Draft proposal to reform self-regulatory organizations.
Draft legislative proposals on retirement savings.
S. 3111, the Brokered Deposit Affiliate-Subsidiary Modernization Act; FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94). The Office of the Comptroller of the Currency (OCC) process for considering applications for national bank charters from non-depository financial technology companies.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2020 · second_quarter · Q2
S. 945, the Holding Foreign Companies Accountable Act.
Retirement savings-related provisions of H.R. 6800, the Heroes Act; draft legislative proposals on retirement savings.
SEC Release 34-88216, Market Data Infrastructure. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. SEC Release IC-31933, Use of Derivatives by Registered Investment Companies. Issues related to required bank leverage ratios. Issues related to money market funds and the Federal Reserves Money Market Mutual Fund Liquidity Facility. SEC/Finra in-person testing requirements. Issues related to the electronic delivery of documents.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2020 · first_quarter · Q1
Draft legislation related to brokered deposits. FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94); Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
Retirement savings-related provisions of H.R. 748, the Coronavirus Aid, Recovery and Economic Stimulus (CARES) Act.
Legislative proposals related to a financial transaction tax.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2019 · fourth_quarter · Q4
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
Draft legislation related to brokered deposits. H.R. 1595 and S. 1200, the Secure and Fair Banking Enforcement Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
Legislative and regulatory proposals related to data aggregation, data breaches and privacy.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2019 · third_quarter · Q3
Legislative and regulatory proposals related to data aggregation, data breaches and privacy.
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
H.R. 1815, the SEC Disclosure Effectiveness Testing Act. H.R. 4492, the Consumer Financial Choice and Capital Markets Protection Act. Market data and market structure issues. Issues related to reform of self-regulatory organizations.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2019 · second_quarter · Q2
H.R. 1815, the SEC Disclosure Effectiveness Testing Act; SEC Regulation Best Interest (Proposed Rule: Release No. 34-83062; Final Rule: Release No. 34-86031). SEC Form CRS Relationship Summary and related amendments (Proposed Rule: Release No. 34-83063; Final Rule: Release No. 34-83032). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889) and Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA-5248). Market data and market structure issues. Issues related to reform of self-regulatory organizations.
Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20). FDIC Advance Notice of Proposed Rulemaking, Unsafe and Unsound Banking Practices: Brokered Deposits and Interest Rate Restrictions (RIN 3064-AE94).
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2019 · first_quarter · Q1
Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20). FDIC Advance Notice of Proposed Rulemaking, Unsafe and Unsound Banking Practices: Brokered Deposits and Interest Rate Restrictions (RIN 3064-AE94).
H.R. 1815, the SEC Disclosure Effectiveness Testing Act; S. 733, the Consumer Financial Choice and Capital Markets Protection Act; SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Market data and market structure issues.
Filing targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), White House Office
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2018 · fourth_quarter · Q4
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Proposed and Final Rule on Disclosure of Order Handling Information (Release No. 34-84528). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Regulation of exchange-traded funds, including SEC Proposed Rule on Exchange-Traded Funds (Release No. 33-10515). Financial regulatory examination consolidation and coordination. Issues related to the role and responsibilities of self-regulatory organizations.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2018 · third_quarter · Q3
Implications of the new tax reform law on investment advisers and on charitable giving.
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act. H.R. 3555, the Exchange Regulatory Improvement Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). Financial regulatory examination consolidation and coordination. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Issues related to the role and responsibilities of self-regulatory organizations.
CHARLES SCHWAB CORPORATION via THE CHARLES SCHWAB CORPORATION
2018 · second_quarter · Q2
H.R. 2319, the Consumer Financial Choice and Capital Markets Protection Act; H.R. 3555, the Exchange Regulatory Improvement Act; S. 2155, the Economic Growth, Regulatory Relief and Consumer Protection Act. SEC Regulation Best Interest (Release No. 34-83062). SEC Transaction Fee Pilot for NMS Stocks (Release No. 34-82873). SEC Form CRS Relationship Summary and related amendments (Release No. 34-83063). SEC Proposed Interpretation Regarding Standard of Conduct for Investment Advisers (Release No. IA- 4889). Financial regulatory examination consolidation and coordination. Legislative proposals related to the electronic delivery of shareholder reports. Issues related to the structure and regulatory responsibilities of the Federal Reserve. Financial literacy.
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
S. 4197, Retirement Fairness for Charities and Educational Institutions Act and related legislation.
Filing targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Federal Reserve Proposed Rule on Long-Term Debt Requirements for Large Bank Holding Companies, Certain Intermediate Holding Companies of Foreign Banking Organizations, and Large Insured Depository Institutions (RIN 7100-AG66).
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
Proposals to require reporting to the Internal Revenue Service of bank account data.
Filing targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE
SEC Release 34-88216, Market Data Infrastructure, and related equity market structure issues. Issues related to the electronic delivery of documents. Draft proposal to reform self-regulatory organizations.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Regulatory and legislative proposals relating to data aggregation, data protection and privacy.
S. 945, the Holding Foreign Companies Accountable Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Draft legislation related to brokered deposits. FDIC Proposed Rule on Brokered Deposits Restrictions (RIN 3064-AE94); Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20). Issues related to required bank leverage ratios.
Legislative proposals related to a financial transaction tax. The deductibility of financial advisor fees.
Filing targets: Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), White House Office
Market data and market structure issues. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. Draft legislation related to reform of self-regulatory organizations. SEC Release 34-86031, Regulation Best Interest. SEC Release 34-86032, Form CRS Relationship Summary. Issues related to required bank leverage ratios. Issues related to the Federal Reserves Money Market Mutual Fund Liquidity Facility. Issues related to the SECs Exchange Rebate Tier Agreements.
Filing targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE
H.R. 1815, the SEC Disclosure Effectiveness Testing Act. Market data and market structure issues. SEC Release 34-84875, Transaction Fee Pilot for NMS Stocks. SEC Release 34-86901, Proposed Amendments to the Consolidated Audit Trail. Draft legislation related to reform of self-regulatory organizations. Issues related to the Federal Reserves support for the repo market. SEC Release 34-86031, Regulation Best Interest. SEC Release 34-86032, Form CRS Relationship Summary.
Legislative proposals related to a financial transaction tax.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Draft legislation related to brokered deposits. Federal Reserve Proposed Rule on Prudential Standards for Large Bank Holding Companies and Savings and Loan Companies (RIN 7100-AF20).
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
H.R. 144, the Setting Every Community Up for Retirement Enhancement Act.
Issues related to the tax treatment of investment-related expenses.
Filing targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
H.R. 6158, the Brokered Deposit Affiliate-Subsidiary Modernization Act.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
Implications of the new tax reform law on investment advisers.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)