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 |
|---|---|---|---|
| 2nd Quarter - Report | Jul 20, 2023 | $1,480,000 | Replaced |
| 2nd Quarter - Amendment (this page) | Jan 4, 2024 | $1,480,000 | Replaced |
| 2nd Quarter - Amendment | Apr 9, 2024 | $1,480,000 | Yes |
What was lobbied
5 issue areas, each in the filer's own words, with who lobbied on it and where.
Banking BAN
Prudential agency (Federal Reserve, OCC and FDIC) proposal to implement the Basel Endgame reforms in the U.S. and congressional (U.S. House and Senate) oversight of the same, including revisions to the trading book capital rules, stress testing, capital surcharges and buffers; Potential legislation on digital asset market structure; SEC Prohibition Against Conflicts of Interest in Certain Securitizations proposed rule; H.R. 2593 - the Senior Security Act of 2023; H.R. 4168 - a bill to amend the Securities Act of 1933 to require that information required to be disclosed to the Securities and Exchange Commission by issuers be material to voting or investment decisions regarding those issuers, and for other purposes; H.R. 4237 - a bill to amend the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 to specify requirements concerning the consideration of pecuniary and non-pecuniary factors; H.R. 1807 - the Improving Disclosure for Investors Act of 2023; SEC proposed rule regarding the safeguarding of client assets (custody proposal); S. 2190 - the RECOUP Act, a bill to amend the Federal Deposit Insurance Act to increase bank executive accountability and to improve financial stability; H.R. 2793 - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. 835 - the Fair Opportunities for Professional Experts Act; H.R. 2651 - the Regulation A+ Improvement Act of 2023; H.R. 2590 - the Unlocking Capital for Small Businesses Act of 2023; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II), including H.R. 2622 and S. 2141, to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____ - to exempt 144a fixed income securities from Rule 15c2-11; S. 1038 - the American Infrastructure Bonds Act of 2023; H.R. 1837 - the Investing in Our Communities Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121; SEC Safeguarding Advisory Client Assets proposed rule; SEC Security-based Swaps Large Position Reporting proposed rule; SEC Securities Loans proposed rule. S. 3529 - Empowering States to Protect Seniors From Bad Actors Act, as part of the National Defense Authorization Act for Fiscal Year 2024.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| COOPER D'ANTON | — |
| BRADLEY GASKINS EDGELL | — |
| MATT GRINNEY | — |
| JENNIFER R JACOBY | — |
| LINDSEY WEBER KELJO | — |
| NICHOLAS KEY | — |
| CHRISTOPHER B KILLIAN | — |
| CARTER MCDOWELL | — |
| MARGARET MORGAN New | Congressman Mo Brooks: Intern. |
| LESLIE MARION NORWOOD | — |
| COURTNEY RYAN New | — |
| LUCAS WEST New | Congressman Blaine Luetkemeyer: Senior Policy Advisor, Legislative Director, Legislative Assistant, Legislative Correspondent, Staff Assistant. |
| JOSHUA WILSUSEN | — |
Commodities (big ticket) CDT
SEC proposal related to security-based swaps large trader reporting; H.R. ____ - legislation relating to digital asset market structure.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| BRADLEY GASKINS EDGELL | — |
| MATT GRINNEY | — |
| JENNIFER R JACOBY | — |
| CARTER MCDOWELL | — |
| COURTNEY RYAN New | Congressman Mo Brooks: Intern. |
| LUCAS WEST New | Congressman Blaine Luetkemeyer: Senior Policy Advisor, Legislative Director, Legislative Assistant, Legislative Correspondent, Staff Assistant. |
| JOSHUA WILSUSEN | — |
Financial Institutions/Investments/Securities FIN
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837 - Investing in Our Communities Act; Implementation of the SECURE 2.0 Act, part of H.R. 2617, the Consolidated Appropriations Act of 2023; S. 1453 - the LOCAL Infrastructure Act; H.R. 4664 and S. 2309 - the Fiscal Year 2024 Financial Services and General Government Appropriations bill related to the Consolidated Audit Trail and SEC regulatory agenda.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| BRADLEY GASKINS EDGELL | — |
| MATT GRINNEY | — |
| JENNIFER R JACOBY | — |
| LINDSEY WEBER KELJO | — |
| NICHOLAS KEY | — |
| CHRISTOPHER B KILLIAN | — |
| MELISSA MACGREGOR | — |
| PETER MATHESON | — |
| CARTER MCDOWELL | — |
| MARGARET MORGAN New | Congressman Mo Brooks: Intern. |
| LESLIE MARION NORWOOD | — |
| COURTNEY RYAN New | — |
| JUSTIN SOK | — |
| LUCAS WEST New | Congressman Blaine Luetkemeyer: Senior Policy Advisor, Legislative Director, Legislative Assistant, Legislative Correspondent, Staff Assistant. |
| JOSHUA WILSUSEN | — |
Taxation/Internal Revenue Code TAX
S. 1308 - American Infrastructure Bonds of 2023; H.R. 1837 - Investing in Our Communities Act; S. 1453 - the LOCAL Infrastructure Act; S. 1990 - Tax on Wall Street Speculation Act.
| Lobbyist | Covered position, as disclosed |
|---|---|
| PHILIP AUSTIN New | Senator Deb Fischer: Legislative Assistant; Senator Pat Roberts: Legislative Assistant; Senator Steve Danies: Tax and Economic Policy Advisor. |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| COOPER D'ANTON | — |
| BRADLEY GASKINS EDGELL | — |
| JENNIFER R JACOBY | — |
| LINDSEY WEBER KELJO | — |
| NICHOLAS KEY | — |
| LESLIE MARION NORWOOD | — |
| COURTNEY RYAN New | — |
| JUSTIN SOK | — |
| JOSHUA WILSUSEN | — |
Retirement RET
SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; H.R. 1177 and S. 427 - the Financial Freedom Act of 2023.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| BRADLEY GASKINS EDGELL | — |
| TRACY EICHLER | — |
| MATT GRINNEY | — |
| NICHOLAS KEY | — |
| COURTNEY RYAN New | — |
| JUSTIN SOK | — |
| JOSHUA WILSUSEN | — |
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.