DAVIS & HARMAN LLP for BROKER/DEALER COORDINATION GROUP
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 |
|---|---|---|---|
| 2nd Quarter - Report | Jul 16, 2019 | $20,000 | Replaced |
| 2nd Quarter - Amendment (this page) | Jul 19, 2019 | $20,000 | Yes |
What was lobbied
2 issue areas, each in the filer's own words, with who lobbied on it and where.
Financial Institutions/Investments/Securities FIN
Issues related to the effect of the Department of Labor's fiduciary definition. H.R. 1815, SEC Disclosure Effectiveness Testing Act.
| Lobbyist | Covered position, as disclosed |
|---|---|
| CHRIS L GASTON | Chief of Staff, Representative Rush Holt |
| RANDOLF HURST HARDOCK | — |
| KENT A MASON | — |
Retirement RET
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with possible SEC action on broker/dealer standard of care. Proposed applicability date of regulation best interest. Legislative proposals to address the fiduciary issue. Preemption of state fiduciary rules.
| Lobbyist | Covered position, as disclosed |
|---|---|
| CHRIS L GASTON | Chief of Staff, Representative Rush Holt |
| RANDOLF HURST HARDOCK | — |
| KENT A MASON | — |
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.