SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
A later version of this report replaces this one, so LegiList's totals use the current version instead. This page shows this version exactly as filed.
Versions of this report
Every filing the register holds for this firm, client and period, oldest first. The most recent one is the version LegiList counts.
| Filing | Filed | Amount | Counted |
|---|---|---|---|
| 4th Quarter - Report (this page) | Jan 20, 2010 | $1,230,000 | Replaced |
| 4th Quarter - Amendment | Jan 25, 2010 | $1,290,000 | Yes |
What was lobbied
5 issue areas, each in the filer's own words, with who lobbied on it and where.
Financial Institutions/Investments/Securities FIN
H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); H.R. 1731 (Credit Risk Retention Act); H.R. 1944 (Active Financing Rules); H.R. 2221 (Data Accountability and Trust Act); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 3306 (to enhance Social Security account number privacy protections); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3817 (Investor Protection Act of 2009); H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009); H.R. 3890 (Accountability and Transparency in Rating Agencies Act); H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009); S. 139 (Data Breach Notification Act); S. 386 (Fraud Enforcement and Recovery Act); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); S. 773 (Cyber Security Act of 2009); S. 931 (Arbitration Fairness Act of 2009); S. 961 (Authorizing the Regulation of Swaps Act); S. 1490 (Personal Data Privacy and Security Act of 2009); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal); S. 2927 (Wall Street Fair Share Act); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); State Regulation of Credit Default Swaps as Insurance; Sen. Dodd's Financial Reform Legislation; PPIP Investor and Asset Manager Requirements; China - strategic and economic dialog; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues; Transpacific Partnership; Covered bonds; Broker-Dealer Duty of Care; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); G-20 (Issues related to the November 15, 2008 "Washington Action Plan").
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| JOHN SCOTT DEFIFE | — |
| JOHN DAMERON HALLMARK New | Legislative Aide, Sen. Enzi, 2003-2009 |
| NANCY ELLEN MCCARTHY New | Tax Counsel, Sen. Grassley, 2007-2008 |
| CARTER MCDOWELL New | Chief Legislative Counsel, HFS Cmte, 01-07 |
| TIMOTHY RYAN | — |
| MARGARET SIMMONS | — |
| DAVID STRONGIN | — |
| CORY STRUPP | — |
| ELIZABETH VARLEY | — |
| JOSEPH VAUGHAN | — |
Banking BAN
H.R. 1 (The American Recovery and Reinvestment Act of 2009) (foreclosure avoidance and loan modifications); H.R. 200 (Helping Families Save Their Homes in Bankruptcy Act); H.R. 225 (Emergency Homeownership and Equity Protection Act); H.R. 230 (Housing Opportunity and Mortgage Equity Act of 2009) (foreclosure avoidance and loan modifications); H.R. 384 (TARP Reform and Accountability Act) (foreclosure avoidance and loan modifications); H.R. 703 (Legislation to promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements); H.R. 786 (To make permanent the temporary increase in deposit insurance coverage, and for other purposes); H.R. 787 (to make improvements in the Hope for Homeowners Program) (foreclosure avoidance and loan modifications); H.R. 788 (To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1106 (Helping Families Save Their Homes Act) (foreclosure avoidance and loan modifications); H.R. 1728 (To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes) (mortgage reform); H.R. 1758 (Mortgage Reform and Anti-predatory Lending Act of 2009); H.R. 3269 (Corporate and Financial Institution Compensation Fairness Act of 2009); H.R. 3451 (To require mortgagees for mortgages in default to engage in reasonable loss mitigation activities); H.R. 3606 (Consumer Financial Protection Agency Act); H.R. 3996 (The Financial Stability Improvement Act of 2009); S. 61 (Helping Families Save Their Homes in Bankruptcy Act); S. 376 (Real Estate Mortgage Investment Conduit Improvement Act of 2009); S. 896 (Helping Families Save Their Homes Act); S. 931 (Arbitration Fairness Act of 2009); S. 1073 (Rating Accountability and Transparency Enhancement Act of 2009); S. 1540 (To provide for enhanced authority of the FDIC to act as receiver for certain affiliates of depository institutions); S. 1731 (To require certain mortgages to make loan modifications and establish grant programs for state and local government mediation programs); Housing Affordability and Stability Plan; Student loans (special allowance payment rates); Credit Rating Agency Reform.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| JOHN SCOTT DEFIFE | — |
| JOHN DAMERON HALLMARK New | Legislative Aide, Sen. Enzi, 2003-2009 |
| CARTER MCDOWELL New | Chief Legislative Counsel, HFS Committee, 01-07 |
| TIMOTHY RYAN | — |
| MARGARET SIMMONS | — |
| JOSEPH VAUGHAN | — |
Commodities (big ticket) CDT
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009); S. 272 (Derivatives Trading Integrity Act of 2009) (derivatives regulation); Regulation of OTC derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); H.R. 2454 (American Clean Energy and Security Act of 2009)(sections 342 and 351 through 360 - derivatives regulation); H.R. 3300 (Derivative Trading Accountability and Disclosure Act); H.R. 3795 (Over-the-Counter Derivatives Markets Act of 2009); S. 1412 (Commodity Speculation Reform Act of 2009); S. 1691 (Comprehensive Derivatives Regulation Act of 2009); S. 2120 (Sen. Collin's Derivatives Reform bill); Title VII (Over-the-Counter Derivatives Markets Act of 2009 - Treasury Department's draft legislation).
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| JOHN SCOTT DEFIFE | — |
| JOHN DAMERON HALLMARK New | Legislative Aide, Sen. Enzi, 2003-2009 |
| CARTER MCDOWELL New | Chief Legislative Counsel, HFS Committee, 01-07 |
| TIMOTHY RYAN | — |
| MARGARET SIMMONS | — |
| CORY STRUPP | — |
Taxation/Internal Revenue Code TAX
H.R. 2452 (Net Operating Loss (NOL) Carryback Act); Administration's FY2010 International Tax Proposals; Administration's FY2010 and Senate Finance Committee discussion draft offshore tax compliance proposals; S. 506 (Stop Tax Haven Abuse Act) (Administration's FY2010 dividend witholding proposals); H.R. 1256 (Family Smoking Prevention and Tobacco Control Act) (Administration's FY2010 dividend witholding proposals); H.R. 3408 (Taxpayer Responsibility, Accountability, and Consistency Act of 2009); H.R. 3933 (Foreign Account Tax Compliance Act); H.R. 4213 (Tax Extenders Act of 2009); S. 2882 (Taxpayer Reponsibility, Accountability and Consistency Act of 2009); Securitization reform; Tax issues related to standardization of credit default swaps; Extension of Active Financing Rules; Tax issues related to implementation of charge for failure to deliver Treasury securities.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| JOHN SCOTT DEFIFE | — |
| NANCY ELLEN MCCARTHY New | Tax Counsel, Sen. Grassley, 2007-2008 |
| TIMOTHY RYAN | — |
| MARGARET SIMMONS | — |
| ELIZABETH VARLEY | — |
Retirement RET
H.R. 1984 (401(k) Fair Disclosure Act); H.R. 1988 (Conflicted Investment Advice Prohibition Act of 2009); H.R. 2989 (401(k) Fair Disclosure and Pension Security Act of 2009); S. 906 (Senior Investment Protection Act); H.R. 2779 (Defined Contribution Plan Fee Transparency Act of 2009); H.R. 4126 (Retirement Fairness Act of 2009).
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| JOHN SCOTT DEFIFE | — |
| CARTER MCDOWELL New | Chief Legislative Counsel, HFS Committee, 01-07 |
| TIMOTHY RYAN | — |
| ELIZABETH VARLEY | — |
Shown as published by the Senate Office of Public Records and the House Clerk under the Lobbying Disclosure Act. The official filing is the record; open it for the full form.