SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
What was lobbied
5 issue areas, each in the filer's own words, with who lobbied on it and where.
Banking BAN
Equity market structure issues; Self-Regulatory Organization (SRO) Reform; SEC Rule 15c2-11; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); SEC short comment periods; H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; 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; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes; SEC Staff Accounting Bulletin 121 - SEC, House & Senate; S. 4147 - Financial Freedom Act of 2022.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| WILLIAM CARDON | — |
| COOPER D'ANTON | Sen. Chris Van Hollen (D-MD) (March 2019-May 2021) Legislative Correspondent; Sen. Chris Van Hollen (D-MD) (2018-March 2019) Special Assistant; Sen. Chris Van Hollen (D-MD) (Jan. 2017-2018) Staff Assistant |
| BRADLEY GASKINS EDGELL | — |
| MATT GRINNEY New | Sr. Policy and Comms Advisor, Federal Housing Finance Agency; Dep. Director of Speechwriting, VP of the United States; Speechwriter, U.S. Dept. of Health and Human Services; Comms Advisor, Sen. Mike Lee; Staff Assistant, Rep. James Clyburn. |
| JENNIFER R JACOBY New | — |
| LINDSEY WEBER KELJO | — |
| NICHOLAS KEY New | — |
| CHRISTOPHER B KILLIAN | — |
| CARTER MCDOWELL | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JAMIE WALL | — |
Commodities (big ticket) CDT
SEC Rule 15c2-11; Fixed income securities; SBS large trader rule proposal.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| WILLIAM CARDON | — |
| CARTER MCDOWELL | — |
| MARK SCHUERMANN | — |
Financial Institutions/Investments/Securities FIN
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021; Private Fund Proposals (SEC); H.R. 6285 - Accelerating 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; 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. 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.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| NICHOLAS KEY New | — |
| CHRISTOPHER B KILLIAN | — |
| MELISSA MACGREGOR | — |
| PETER MATHESON | — |
| CARTER MCDOWELL | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
Taxation/Internal Revenue Code TAX
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; 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; Modernization Derivatives Tax Act; S. 479 - 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; 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.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
Retirement RET
Tax incentives for retirement savings; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 4147 - Financial Freedom Act of 2022; DOL Independent Contractor - House; PTE Changes - House; Open Brokerage Window - House.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| TRACY EICHLER | — |
| MATT GRINNEY New | Sr. Policy and Comms Advisor, Federal Housing Finance Agency; Dep. Director of Speechwriting, VP of the United States; Speechwriter, U.S. Dept. of Health and Human Services; Comms Advisor, Sen. Mike Lee; Staff Assistant, Rep. James Clyburn. |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
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.