VANGUARD GROUP for VANGUARD GROUP
What was lobbied
3 issue areas, each in the filer's own words, with who lobbied on it and where.
Financial Institutions/Investments/Securities FIN
H.R. 4173 and issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations specifically, derivatives, systemic risk, and orderly liquidation authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to investment advice Issues related to municipal disclosure Issues related to adoption of rules governing communications with the public, use of investment company rankings, and requirements for the use of bond mutual fund volatility ratings Issues relating to credit risk retention Issues related to Basel III and Volcker rules Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues associated with possible revisions to the Public Company Accounting Oversight Boards standards relating to reports on audited financial statements Issues related to the Financial Stability Oversight Council and mutual funds Issues related to regulation of money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approaches) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE New | — |
| BRIAN S MATTES | — |
Taxation/Internal Revenue Code TAX
General tax issues related to mutual funds Capital gain and dividend tax rates as they relate to mutual funds (including draft legislation that subsequently became the Tax Hike Prevention & Business Certainty Act, H.R. 3091 and S. 1647) (see attached addendum sheet) Issues related to a securities transaction tax Issues related to limiting the tax-free nature of municipal bond income
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE New | — |
| BRIAN S MATTES | — |
Retirement RET
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534, Small Businesses Add Value for Employees Act (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to retirement target date funds Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to 401(k) fee disclosures and investment advice in retirement plans Proposals to expand electronic delivery of retirement plan notices Proposals to promote creation and maintenance of employer-sponsored retirement plans Proposals to expand self-correction programs for retirement plan compliance errors
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE New | — |
| BRIAN S MATTES | — |
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.