2nd Quarter - Report — WILLIAMS AND JENSEN, PLLC for TD AMERITRADE (2019)

Firm

WILLIAMS AND JENSEN, PLLC

Client

TD AMERITRADE

Income

$50,000

Expenses

—

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

Fiduciary Duty. Regulation BI; Consumer Information Notification Requirement; Data security; Equity market structure and Market data issues; Venture exchange proposals. Retail futures trading issues.

Lobbyist	Covered position, as disclosed
DAVID E FRANASIAK	—
MELINDA M MAXFIELD	—
JOEL OSWALD	—
CHRISTOPHER E. WILCOX	Regional Staff Asst & Staff Asst, Sen. Moynihan ;LA, Leg Counsel, LD & Counsel, Rep. Arcuri; LD & Counsel, Rep. Demings

Contacted: Securities & Exchange Commission (SEC); Commodity Futures Trading Commission (CFTC); HOUSE OF REPRESENTATIVES; SENATE

Taxation/Internal Revenue Code TAX

Financial transaction tax; FIFO cost basis.

Lobbyist	Covered position, as disclosed
DAVID E FRANASIAK	—
JOEL OSWALD	Prof.Staff, Senate Banking; LA, Sen. Enzi.

Contacted: Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES; SENATE; Commodity Futures Trading Commission (CFTC)

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.