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Reported covered position: Scheduler, Rep. Al Green, 2009-2011; Legislative Assistant, Rep. Al Green, 2011-2012; Senior Legislative Assistant, Rep. Al Green, 2012; Legislative Director, Rep. Al Green, 2016-2017; Chief of Staff, Rep. Al Green, 2017-2019
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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.
Senior Security Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · 4A
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Source: Senate LDA
Senior Security Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Senior Security Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
Information Transparency & Personal Data Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
Information Transparency & Personal Data Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Information Transparency & Personal Data Control Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Financial Exploitation Prevention Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Financial Exploitation Prevention Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Financial Exploitation Prevention Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288, to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Financial Services and General Government Appropriations Fiscal Year 2022 bill; Secure 2.0 Legislation; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; H.R. ______ - Investing in Our Communities Act; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R. ___/S.___ - Retirement Parity for Student Loans Act.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 4203 (116th Cong.) - American Infrastructure Bond Act; Public Law 116-136 - CARES Act (retirement and savings provisions); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; S. 479, the LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. ______ - Investing in Our Communities Act; S. ______ - Retirement Security and Savings Act; H.R. ___/S.___ - Retirement Parity for Student Loans Act; H.R. ______ - Securing a Strong Retirement Act.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Investing in Our Communities Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
LIFT Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package.
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Retirement Parity for Student Loans Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package.
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Securing a Strong Retirement Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
CAN Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Wall Street Tax Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Wall Street Tax Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Wall Street Tax Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Wall Street Tax Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Infrastructure Investment and Jobs Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Adjustable Interest Rate (LIBOR) Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Adjustable Interest Rate (LIBOR) Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
To be added Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
To be added Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
To be added Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Short Sale Transparency and Market Fairness Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Short Sale Transparency and Market Fairness Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Short Sale Transparency and Market Fairness Act
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Inflation Reduction Act of 2022
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Protecting the Right to Organize Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Protecting the Right to Organize Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Protecting the Right to Organize Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
Protecting the Right to Organize Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Protecting the Right to Organize Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288, to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Financial Services and General Government Appropriations Fiscal Year 2022 bill; Secure 2.0 Legislation; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; H.R. ______ - Investing in Our Communities Act; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R. ___/S.___ - Retirement Parity for Student Loans Act.
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021
Client: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION · Firm: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps; SEC Rule 15c2-11; Fixed income securities.
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · fourth_quarter · Q4
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; H.R. 5376 - Build Back Better Act of 2021.
Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act; S.1403 Move America Act of 2021
Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.
Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; H.R. 5376 - Build Back Better Act of 2021
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps; SEC Rule 15c2-11; Fixed income securities.
Filing targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · third_quarter · Q3
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps.
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package.
United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; Proposals to expand bank information reporting requirements; H.R. 328/S. 817 - Wall Street Tax Act of 2021; H.R. 3684 - Infrastructure Investment and Jobs Act; H.R. 5376 - Build Back Better Act.
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes; Budget Reconciliation Package.
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · second_quarter · Q2
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes.
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; H.R. 2634 - Local Infrastructure Financing Tools Act; S. 1676 - Rural Broadband Financing Flexibility Act; S. 1308 - American Infrastructure Bonds Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act; H.R. 2977 - Connect America Now (CAN) Act; H.R. ___ Capital Markets Transparency Act H.R.___ to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading. H.R. ___ to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates.
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps.
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 817/H.R. 328 - Wall Street Tax Act of 2021; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2021 · first_quarter · Q1
H.R. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019; United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); S. 4203 (116th Cong.) - American Infrastructure Bond Act; Public Law 116-136 - CARES Act (retirement and savings provisions); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; S. 479, the LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. ______ - Investing in Our Communities Act; S. ______ - Retirement Security and Savings Act; H.R. ___/S.___ - Retirement Parity for Student Loans Act; H.R. ______ - Securing a Strong Retirement Act.
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288, to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Financial Services and General Government Appropriations Fiscal Year 2022 bill; Secure 2.0 Legislation; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; H.R. ______ - Investing in Our Communities Act; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R. ___/S.___ - Retirement Parity for Student Loans Act.
H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act; H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act; H.R. 1565, Senior Security Act of 2021; SEC Temporary Exemptive Order related to municipal advisors; S. 856, Senior Security Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021.
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps.
Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments); ESG Investing relating to retirement accounts; S. ______ - Retirement Security and Savings Act; H.R. ___/S.___ - Retirement Parity for Student Loans Act; H.R. ______ - Securing a Strong Retirement Act.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · fourth_quarter · Q4
Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; S. 4203 - American Infrastructure Bonds Act of 2020; Federal government market support programs (e.g. TALF); H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program; Net Stable Funding Ratio Regulatory Proposal; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4159 - E-SIGN Modernization Act of 2020; SEC Temporary Exemptive Order related to municipal advisors; LIBOR; Stress Testing Reform; H.R. 2923 - Inclusive Prosperity Act of 2019; Increase in the bank qualified bond limit - Rep. Sewell Bill; H.R.6395 - National Defense Authorization Act for Fiscal Year 2021; H.R. 8696, Securing a Strong Retirement Act of 2020; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act .
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · third_quarter · Q3
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 6800, The Heroes Act (retirement and savings provisions); H.R. 2, Moving Forward Act (municipal finance provisions); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4129 - LOCAL Infrastructure Act.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · second_quarter · Q2
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0; H.R. 4233, Options Markets Stability Act of 2019; Global FX Code of Conduct; Financial Services and General Government Appropriations Act, Fiscal Year 2021; H.R.7046 - To amend the Bank Holding Company Act of 1956 to place certain limitations on commodity ownership and to repeal the merchant banking authority, and for other purposes.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2020 · first_quarter · Q1
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 748 - CARES Act; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds, U.S House, U.S. Senate.
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · fourth_quarter · Q4
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · 3A
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · third_quarter · Q3
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION via SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
2019 · second_quarter · Q2
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Tax reform legislation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Mark-to-market tax proposal (Senate); Downward attribution rule; Treaty Doc. 111-8, Luxembourg Tax Treaty; Treaty Doc. 112-1, Swiss Tax Treaty; Treaty Doc. 113-4, Spain Tax Treaty; Treaty Doc. 114-1, Japan Tax Treaty; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act).
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Proposals to modify tax incentives for retirement savings and investment; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 2, Moving Forward Act (municipal finance provisions); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4129 - LOCAL Infrastructure Act; H.R. 8696 - Securing a Strong Retirement Act of 2020.
H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; Public Law 116-136, CARES Act; H.R. 4117 (IRA Preservation Act of 2019); S.1428/H.R.6276 (Retirement Parity for Student Loans Act); S. 1431 (Retirement Security and Savings Act of 2019), various retirement and savings provisions); SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments); H.R. 8696 (Securing a Strong Retirement Act of 2020).
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Block trades on swap execution facilities (SEFs); Derivatives regulation (general); H.R. 7668 - Financial Services and General Appropriations Act, 2021; H.R.7046 - To amend the Bank Holding Company Act of 1956 to place certain limitations on commodity ownership and to repeal the merchant banking authority, and for other purposes; CFTC proposed cross border rule; CFTC final rule on margin requirements for uncleared swaps.
H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; P.L. 106-229 (E-Sign Act); Issues related to restitution and disgorgement (not yet introduced); Housing finance reform (general); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; S. 1719 - Senior Security Act of 2019; Public Law 116-136, CARES Act; S. 4129 - LOCAL Infrastructure Act; S. 4203 - American Infrastructure Bonds Act of 2020; H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; H.R. 8696 - Securing a Strong Retirement Act of 2020.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); S. 452 (Fostering Innovation Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Accounting standards for municipalities; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; P.L. 106-229 (E-Sign Act); Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; S. 1719 - Senior Security Act of 2019; H.R. 5336 - Investor Choice Act of 2019; Public Law 116-136, CARES Act; S. 4129 - LOCAL Infrastructure Act; S. 4203 - American Infrastructure Bonds Act of 2020; H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 3550 - Municipal Bonds Emergency Relief Act.
H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Tax incentives for retirement savings; SEC Final Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Public Law 116-136, CARES Act; H.R. 4117 (IRA Preservation Act of 2019); H.R.6800 (The Heroes Act); S.1428/H.R.6276 (Retirement Parity for Student Loans Act); S. 1431 (Retirement Security and Savings Act of 2019), various retirement and savings provisions); SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments); Department of Labor proposed rule on defining plan fiduciaries' duties under ERISA; Department of Labor proposed prohibited transaction exemption on investment advice; Department of Labor Proposed proxy advisor rule; Department of Labor proposed ESG rule.
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Block trades on swap execution facilities (SEFs); Derivatives regulation (general); Margin requirements for uncleared swaps; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; H.R. 7668 - Financial Services and General Appropriations Act, 2021; H.R.7046 - To amend the Bank Holding Company Act of 1956 to place certain limitations on commodity ownership and to repeal the merchant banking authority, and for other purposes; H.R. 4895 - CFTC Reauthorization Act of 2019; CFTC proposed cross border rule; CFTC final rule on margin requirements for uncleared swaps; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making).
Equity market structure issues; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; H.R. 3967, Municipal Bond Market Support Act of 2019; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; S. 4203 - American Infrastructure Bonds Act of 2020; S. 3798 - Hong Kong Autonomy Act; Federal government market support programs (e.g. TALF); H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); H.R. 6800, The Heroes Act (retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program; Net Stable Funding Ratio Regulatory Proposal; Off-Cycle CCAR; Financial Stability Board TooBigToFail Paper; Foreign Banking Organization RRP and Tailoring Proposal; Large Institution Supervision Coordinating Committee (LISCC) Review; S. 2866 - Rural Broadband Financing Flexibility Act; H.R. 7857 - Connect America Now (CAN) Act; S. 4159 - E-SIGN Modernization Act of 2020; SEC Temporary Exemptive Order related to municipal advisors; LIBOR; Federal Reserve G-SIB capital surcharge; Stress Testing Reform; Foreign Banking Organizations Tailoring Proposal Comment Letter; H.R. 2923 - Inclusive Prosperity Act of 2019; Increase in the bank qualified bond limit - Rep. Sewell Bill.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 1516 (Wall Street Tax Act of 2019); H.R. 2772 (Investing in Our Communities Act); S. 647 (Wall Street Tax Act of 2019); United States individual and business taxation; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Technical and policy modifications to P.L. 115-97; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act); H.R. 748 - CARES Act; H.R. 3967 - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995, the Remote and Mobile Worker Relief Act of 2020; H.R. 6800, The Heroes Act (retirement and savings provisions); H.R. 2, Moving Forward Act (municipal finance provisions); LOCAL Infrastructure Act (Wicker Advance Refunding); S. 4203, American Infrastructure Bond Act; Public Law 116-136, CARES Act (retirement and savings provisions); S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act.
H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC Final Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Public Law 116-136, CARES Act; H.R. 4117 (IRA Preservation Act of 2019); H.R.6800 (The Heroes Act); S.1428/H.R.6276 (Retirement Parity for Student Loans Act); S. 1431 (Retirement Security and Savings Act of 2019), various retirement and savings provisions); SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments); Department of Labor proposed rule on defining plan fiduciaries' duties under ERISA; Department of Labor proposed prohibited transaction exemption on investment advice.
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; Accounting standards for municipalities; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); P.L. 106-229 (E-Sign Act); United States-Mexico-Canada Agreement (USMCA); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest; S. 1719 - Senior Security Act of 2019; H.R. 4233 - Options Markets Stability Act; H.R. 5336 - Investor Choice Act of 2019; Fiscal Year 2021 Financial Services and General Government Appropriations bill; Public Law 116-136, CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act; LOCAL Infrastructure Act (Wicker Advance Refunding); American Infrastructure Bonds Act (Wicker direct pay bonds); H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 - Holding Foreign Companies Accountable Act; H.R. 2 - Moving Forward Act.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019; H.R. 748 - The CARES Act; Federal Reserve Board and Prudential Agency Covid-19 Actions; Brokered Deposit Comment Proposal from the FDIC; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; Increase in the bank qualified bond limit, Rep. Sewell Bill; S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019; S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act; American Infrastructure Bond Act (Wicker direct pay bonds) ; S. 3798 - Hong Kong Autonomy Act; Federal government market support programs (e.g. TALF); GSE Credit Risk Transfer Securities; H.R.2, Moving Forward Act (municipal finance provisions); Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions); H.R. 6800, The Heroes Act (retirement and savings provisions); S. 1428/H.R. 6276, Retirement Parity for Student Loans Act; S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions); SBA Paycheck Protection Program.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019; H.R. 748 - The CARES Act; Federal Reserve Board and Prudential Agency Covid-19 Actions; Brokered Deposit Comment Proposal from the FDIC; H.R. 5336 - Investor Choice Act of 2019; Diverse Investment Advisers Act (not introduced); H.R. 5084 - Improving Corporate Governance Through Diversity Act of 2019; S. 2563 - ILLICIT Cash Act; S. 3550 - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; H.R. 2772 - Investing in Our Communities Act; S. 2992 - Investor Choice Act of 2019; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill.
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest; S. 1719 - Senior Security Act of 2019; H.R. 4233 - Options Markets Stability Act; H.R. 5336 - Investor Choice Act of 2019; S. 2992 - Investor Choice Act of 2019; Fiscal Year 2021 Financial Services and General Government Appropriations bill; H.R. 748 - CARES Act; S. 3550 - Municipal Bonds Emergency Relief Act.
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0; Issues related to H.R. 648, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019; H.R. 4233, Options Markets Stability Act of 2019; Global FX Code of Conduct.
H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC Final Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; H.R. 748 CARES Act.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
Legislative riders in H.R. 3164 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; CFTC's Project Kiss; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0; Issues related to H.R. 648, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019; H.R. 4233, Options Markets Stability Act of 2019.
H.R. 1007 (Retirement Enhancement and Savings Act of 2019); H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 972 (Retirement Enhancement and Savings Act (RESA) of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC proposed Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Reporting and withholding tax upon escheatment of IRA assets.
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019; SEC Regulation Best Interest.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill; H.R. 2513 - Corporate Transparency Act of 2019; H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019; H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019; SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents; S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019; H.R. 4762, Fair Investment Opportunities for Professional Experts Act; S. 2724, Small Business Audit Correction Act of 2019; H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act; H.R. 3967, Municipal Bond Market Support Act of 2019; SEC Regulation Best Interest; S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions; H.R. 2923, Inclusive Prosperity Act of 2019.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced).
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill; H.R. 2513 - the Corporate Transparency Act.
H.R. 1007 (Retirement Enhancement and Savings Act of 2019); H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 972 (Retirement Enhancement and Savings Act (RESA) of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC proposed Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Reporting and withholding tax upon escheatment of IRA assets.
Legislative riders in H.R. 3164 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; CFTC's Project Kiss; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0; Issues related to H.R. 648, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 1007 (Retirement Enhancement and Savings Act of 2019); H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 972 (Retirement Enhancement and Savings Act (RESA) of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC proposed Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Reporting and withholding tax upon escheatment of IRA assets.
Legislative riders in H.R. 3164 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; CFTC's Project Kiss; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0; Issues related to H.R. 648, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019.
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019; Issues related to H.R.264, the Fiscal Year 2019 Financial Services and General Government Appropriations Act; Options Markets Stability Act (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced).
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies; Investor Protection Act (not introduced)/Investor Choice Act - Rep. Bill Foster (not introduced); H.R. 1815 SEC Disclosure Effectiveness Testing Act; Housing Finance Reform; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Data Aggregation; Consolidated Audit Trail (CAT) - US House and US Senate; Comprehensive Capital Analysis and Review - US Senate; Legislation related to changes in certain private activity bond treatment; Increase in the bank qualified bond limit, Rep. Sewell Bill; MSRB Bill, Rep. Kennedy Bill.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 1007 (Retirement Enhancement and Savings Act of 2019); H.R. 1439 (Increase Access to a Secure Retirement Act of 2019); H.R. 1516 (Wall Street Tax Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 1907 (Retirement Security for American Workers Act); H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans); H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019); S. 647 (Wall Street Tax Act of 2019); S. 972 (Retirement Enhancement and Savings Act (RESA) of 2019); S. 1431 (Retirement Security and Savings Act of 2019); S. 1719 (Senior Security Act of 2019); Senior investor protection legislation; Tax incentives for retirement savings; SEC proposed Regulation Best Interest; Senior Investor Report and Hold concept legislation; Electronic delivery of retirement plan documents and disclosures; Reporting and withholding tax upon escheatment of IRA assets.
H.R. 609 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019); H.R. 1815 (SEC Disclosure Effectiveness Testing Act); H.R. 1876 (Senior Security Act of 2019); H.R. 2513 (Corporate Transparency Act of 2019); H.R. 2515 (To amend the Securities and Exchange Act of 1934 to amend the definition of whistleblower); H.R. 3351 (Financial Services and General Government Appropriations Act, 2020); S. 452 (Fostering Innovation Act of 2019); S. 536 (Encouraging Public Offerings Act of 2019); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.); Senate Banking Committee request for information on privacy and data protection for consumers. Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy, cybersecurity, and data aggregation issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal information disclosure regulation; US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; The Brokaw Act (not yet reintroduced); Exchange Regulatory Improvement Act (not yet reintroduced); Fair Investment Opportunities for Professional Experts Act (not yet reintroduced); Small Business Audit Correction Act of 2018 (not yet reintroduced); Options Markets Stability Act (not yet reintroduced); National Senior Investor Initiative Act of 2018 (not yet reintroduced); Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2018 (not yet reintroduced); Improving Investment Research for Small and Emerging Issuers Act (not yet reintroduced); P.L. 106-229 (E-Sign Act); Section 956 of the Dodd Frank Act (Incentive Compensation); United States-Mexico-Canada Agreement (USMCA); Issues related to the Investor Choice Act (not yet reintroduced); Legislation related to Securities and Exchange Commission Regulation A; Issues related to restitution and disgorgement (not yet introduced); Legislation related to the FINRA arbitration system for broker-dealers; Housing finance reform (general); Financial technology (FinTech) issues (general); Issues related to the proposed Bad Actor Disqualification Act of 2019.
Legislative riders in H.R. 3164 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2020); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; CFTC's Project Kiss; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0.
Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Stress testing reform; Foreign Banking Organizations Tailoring Proposal comment letter; Living Will comment letters from the Federal Reserve Board and the Federal Deposit Insurance Corporation; Control Proposal by the Federal Reserve Board; Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal; Too Big to Fail comment requests from U.S. and global bodies.
Filing targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)