SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
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, 2012 | $1,330,000 | Replaced |
| 2nd Quarter - Amendment (this page) | Oct 22, 2012 | $1,380,000 | 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. 363 (Housing Opportunity and Mortgage Equity Act of 2011); H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011); H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011); H.R. 653 (Financial Information Privacy Act of 2011); H.R. 757 (Equitable Treatment of Investors Act); H.R. 836 (Emergency Mortgage Relief Program Termination Act); H.R. 1062 (Burdensome Data Collection Relief Act); H.R. 1070 (Small Company Capital Formation Act of 2011); H.R. 1082 (Small Business Capital Access and Job Preservation Act); H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011); H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011); H.R. 1341 (A bill to provide a point of order against consideration of any measure that would increase the statutory limit on the public debt above $14.294 trillion unless that measure has been publicly available for a full 7 calendar days before consideration on the floor of the Senate); H.R. 1438 (Regulation Moratorium and Jobs Preservation Act of 2011); H.R. 1532 (A bill to amend the Budget Control Act of 2011 to require the joint select committee of Congress to report findings and propose legislation to restore the Nation's workforce to full employment over the period of fiscal years 2012 and 2013); H.R. 1535 (Personal Data Protection and Breach Accountability Act of 2011); H.R. 1539 (Asset-Backed Market Stabilization Act of 2011); H.R. 1544 (Small Company Capital Formation Act of 2011); H.R. 1550 (National Infrastructure Bank Act of 2011); H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011); H.R. 1838 (To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants); H.R. 1840 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.); H.R. 2167 (Private Company Flexibility Act); H.R. 2308 (SEC Regulatory Accountability Act); H.R. 2313 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); H.R. 2413 (Secondary Market Facility for Residential Mortgages Act of 2011); H.R. 2483 (Whistleblower Improvement Act); H.R. 2517 (Shareholder Protection Act of 2011); H.R. 2586 (Swap Execution Facility Clarification Act); H.R. 2603 (Maintaining Agency Direction on Financial Fraud Act); H.R. 2612 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal the authority of the Bureau of Consumer Financial Protection to prohibit certain acts or practices); H.R. 2651 (To require that the United States Government prioritize all obligations on the debt held by the public, Social Security benefits, and military pay in the event that the debt limit is reached, and for other purposes); H.R. 2682 (Business Risk Mitigation and Price Stabilization Act); H.R. 2779 (To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act); H.R. 2827 (To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes); H.R. 2855 (Emergency Jobs Now Act); H.R. 2930 (Entrepreneur Access to Capital Act); H.R. 2931 (Full Faith and Credit Act); H.R. 2940 (Access to Capital for Job Creators Act); H.R. 2964 (Unfunded Mandates Accountability Act); H.R. 3010 (Regulatory Accountability Act of 2011); H.R. 3078 (United States-Colombia Trade Promotion Agreement Implementation Act); H.R. 3079 (United States-Panama Trade Promotion Agreement Implementation Act); H.R. 3080 (United States-Korea Free Trade Agreement Implementation Act); H.R. 3084 (Mortgage Credit Availability Act of 2011); H.R. 3128 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of exempting smaller institutions from capital deductions); H.R. 3213 (Small Company Job Growth and Regulatory Relief Act of 2011); H.R. 3283 (Swap Jurisdiction Certainty Act); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 3318 (Growing Jobs Through Capital Act of 2011); H.R. 3336 (Small Business Credit Availability Act); H.R. 3527 (Protecting Main Street End-Users From Excessive Regulation); H.R. 3530 (Freddie Mac Debt Reduction Act of 2011); H.R. 3606 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); H.R. 3635 (Investing in America's Small Businesses Act of 2011); H.R. 3644 (Private Mortgage Market Investment Act); H.R. 3655 (Small Business Access to Capital Act of 2011); H.R. 3665 (Wall Street Accountability through Sustainable Funding Act); H.R. 3733 (Affordable Mortgage for Homeowners Act of 2011); H.R. 3871 (Proprietary Information Protection Act of 2012); H.R. 4088 (Capital Expansion Act); H.R. 4235 (To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts.); H.R. 4624 (Investment Advisor Oversight Act of 2012); H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.); S. 23 (Patent Reform Act of 2011); S. 556 (A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1276 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); S. 1544 (Small Company Capital Formation Act of 2011); S. 1619 (The Currency Exchange Act); S. 1641 (A Bill to Implement the U.S.-Colombia Trade Promotion Agreement); S. 1642 (A Bill to Implement the U.S.-Korea Trade Promotion Agreement); S. 1643 (A Bill to Implement the U.S.-Panama Trade Promotion Agreement); S. 1650 (Dodd-Frank Improvement Act of 2011); S. 1787 (Wall Street Trading and Speculators Tax Act); S. 1791 (Democratizing Access to Capital Act of 2011); S. 1824 (Private Company Flexibility and Growth Act); S. 1831 (Access to Capital for Job Creators Act); S. 1835 (United States Covered Bond Act); S. 1907 (PCAOB Enforcement Transparency Act of 2011); S. 1933 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); S. 1941 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1962 (Startup Expansion and Investment Act); S. 1963 (Mortgage Finance Act of 2011); S. 1970 (CROWDFUND Act); S. 1975 (No More IMF Bailouts Act); S. 1997 (FHA Bailout Protection Act of 2011); S. 2033 (Closing the Derivatives Blended Rate Loophole Act); S. 2038 (STOCK Act); S. 2055 (A bill to amend the Federal Deposit Insurance Act with respect to the protection of certain information.); S. Amdt. 1818 to S. 1813 (offshore tax havens); SR-NASDAQ-2012-005 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee); SR-NASDAQ-2012-042 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data); SR-NASDAQ-2012-044 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data); SR-NYSEArca-2011-96 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed); FINRA Rule 4560 (short interest reporting); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Recordkeeping under Exchange Act Rule 17a-4(b)(4); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Resolution Authority for Systemically Significant Financial Companies Act of 2009; China - strategic and economic dialogue; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Eminent domain; Russia Permanent Normal Trade Relations; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues, Response to Royal Bank of India discussion; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20; Amendments to the 2012 Indian Finance Bill; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| KYLE L BRANDON | — |
| KEVIN CARROLL | — |
| MICHAEL DECKER | — |
| RICHARD DORFMAN | — |
| BRADLEY GASKINS EDGELL | — |
| CHRISTOPHER B KILLIAN | — |
| MELISSA MACGREGOR | — |
| CARTER MCDOWELL | — |
| MATTHEW MCGINLEY | — |
| STEVE PASTRICK | — |
| PAYSON PEABODY | — |
| TIMOTHY RYAN | — |
| DAVID STRONGIN | — |
| JOSEPH VAUGHAN | — |
Banking BAN
H.R. 31 (The Fannie Mae and Freddie Mac Accountability and Transparency for Taxpayers Act of 2011); H.R. 1221 (The Equity in Government Compensation Act); H.R. 1222 (The GSE Subsidy Elimination Act); H.R. 1223 (The GSE Credit Risk Equitable Treatment Act); H.R. 1223 (GSE Credit Risk Equitable Treatment Act of 2011); H.R. 1224 (The Portfolio Risk Reduction Act); H.R. 1225 (The GSE Debt Issuance Approval Act); H.R. 1226 (The GSE Mission Improvement Act); H.R. 1227 (The GSE Risk and Activities Limitation Act); H.R. 1859 (Housing Finance Reform Act of 2011); H.R. 2413 (Seconday Market Facility for Residential Mortgages Act); H.R. 2425 (Transparency and Security in Mortgage Registration Act; H.R. 2428 (GSE Legal Fee Reduction Act); H.R. 2436 (Fannie Mae and Freddie Mac Taxpayer Payback Act); H.R. 2439 (Removing GSEs Charters During Receivership Act); H.R. 2440 (Market Transparency and Taxapayer Protection Act); H.R. 2441 (Housing Trust Fund Elimination Act); H.R. 2446 (RESPA Home Warranty Clarification Act); H.R. 2509 (Preserving Consumers' Mortgage Origination Choices Act); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Housing Affordability and Stability Plan; Housing finance reform; Servicing compensation; Credit Rating Agency Reform.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| KEVIN CARROLL | — |
| RICHARD DORFMAN | — |
| BRADLEY GASKINS EDGELL | — |
| CHRISTOPHER B KILLIAN | — |
| CARTER MCDOWELL | — |
| MATTHEW MCGINLEY | — |
| TIMOTHY RYAN | — |
| JOSEPH VAUGHAN | — |
Commodities (big ticket) CDT
H.R. 940 (United States Covered Bond Act of 2011); H.R. 1573 (To facilitate implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Regulatory rulemaking regarding swap dealer capital requirements and margin segregation); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Dodd-Frank proposed and final rules related to derivatives.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| KYLE L BRANDON | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| CARTER MCDOWELL | — |
| MATTHEW MCGINLEY | — |
| TIMOTHY RYAN | — |
Taxation/Internal Revenue Code TAX
H.R. 11 (Build America Bonds to Create Jobs Now Act of 2011); H.R. 747 (Build America Bonds Extension Act of 2011); H.R. 992 (Building American Jobs Act of 2011)(infrastructure tax legislation); H.R. 1439 (Business Activity Tax Simplification Act of 2011); H.R. 2495 (Tax Equity and Middle Class Fairness Act of 2011); H.R. 2669 (Stop Tax Haven Abuse Act); H.R. 2860 (Deficit Committee Transparency Act); H.R. 2892 (Invest in America Act of 2011); H.R. 2911 (American Jobs Act of 2011); H.R. 2945 (Capital Gains Inflation Relief Act of 2011); H.R. 2989 (Real Estate Jobs and Investment Act of 2011); H.R. 3091 (To make permanent the individual income tax rates for capital gains and dividends); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 4348 (Highway Investment, Job Creation, and Economic Growth Act of 2012); S. 727 (Bipartisan Tax Fairness and Simplification Act of 2011); S. 1346 (Stop Tax Haven Abuse Act); S. 1375 (Ending Excessive Corporate Deductions for Stock Options Act); S. 1647 (To repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gain rates); S. 1787 (Wall Street Trading and Speculators Tax Act); S.Amdt. 1746 (to amend S. 1813); Regulations implementing Internal Revenue Code Section 871(m); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Fair Playing Field Act of 2010 (worker classification); Public Employee Pension Transparency Act of 2010; Expansion of Build America Bond Rules to Tax Credit Bonds; Tax rules relating to regulation of over-the-counter derivative contracts; Financial Transaction Tax Proposals; 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; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Taxation of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Extension of the Alternative Minimum Tax, tax exemption for private activity bonds; Securities cost basis reporting regulations; Tax rules relating to Bearer Bonds; Taxation of Transportation and Regional Infrastructure Project (TRIP) Bonds; Tax rules relating to novation of swap contracts; International tax reform; United States individual and business taxation.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| CARTER MCDOWELL | — |
| MATTHEW MCGINLEY | — |
| PAYSON PEABODY | — |
| TIMOTHY RYAN | — |
| JOSEPH VAUGHAN | — |
Retirement RET
H.R. 567 (Public Employee Pension Transparency Act); H.R. 1534 (SAVE Act of 2011); S. 347 (Public Employee Pension Transparency Act); DOL ERISA Fiduciary Duty Rulemaking; H.R. 3045 (Retirement Income Protection Act of 2011); H.R. 4049 (Automatic IRA Act of 2012); H.R. 4050 (Retirement Plan Simplification and Enhancement Act of 2012); S.1557 (Automatic IRA Act of 2011); H. Con. Res. 101 (to express benefits of current tax incentives for savings); Partial rollovers; Business Conduct Standards; Swaps and pension plans; Department of Labor Field Assistance Bulletin 2012-02 (question and answer number 30).
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| CARTER MCDOWELL | — |
| MATTHEW MCGINLEY | — |
| TIMOTHY RYAN | — |
| JOSEPH VAUGHAN | — |
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.