SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION

Banking BAN

Equity market structure issues; LIBOR transition issues; SEC Final Regulation Best Interest; Implementation of Electronic Signature in Global and National Commerce Act; Consolidated Audit Trail (CAT) - US House and US Senate; Legislation related to changes in certain private activity bond treatment; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Federal Reserve Board and Prudential Agency Covid-19 Actions; S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act; Self-Regulatory Organization (SRO) Reform; S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019; Federal government market support programs (e.g. TALF); LIBOR; Stress Testing Reform; H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019; Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act; Privacy Bills - various; S. 479, LOCAL Infrastructure Act; H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021; Increase in the bank qualified bond limit - Rep. Sewell Bill; S.910 - SAFE Banking Act of 2021; Cryptocurrency and digital assets; 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. 2977 - Connect America Now (CAN) 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; S. 2407 - Cyber Incident Notification Act of 2021; SEC Rule 15c2-11; H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes.; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act; H.R. 4619 - To amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.

Contacted: State, Dept of (DOS); U.S. Trade Representative (USTR); Securities & Exchange Commission (SEC); Commerce, Dept of (DOC); Natl Security Council (NSC); Labor, Dept of (DOL); Federal Deposit Insurance Corporation (FDIC); SENATE; Natl Economic Council (NEC); HOUSE OF REPRESENTATIVES; Homeland Security, Dept of (DHS); Federal Reserve System; Internal Revenue Service (IRS); Federal Housing Finance Agency (FHFA); Office of the Comptroller of the Currency (OCC); Commodity Futures Trading Commission (CFTC); Housing & Urban Development, Dept of (HUD); Natl Credit Union Administration (NCUA); Ginnie Mae; Executive Office of the President (EOP); Treasury, Dept of

Bills named: H.R. 2265 (117th), H.R. 2917 (117th), H.R. 2288 (117th), H.R. 935 (117th), S. 2407 (117th), S. 910 (117th), S. 1236 (117th), H.R. 2977 (117th), H.R. 2634 (117th), S. 420 (117th), S. 479 (117th), H.R. 842 (117th), H.R. 4617 (117th), H.R. 4619 (117th), H.R. 4618 (117th), S. 1676 (117th), H.R. 3967 (117th), S. 3550 (117th), S. 1443 (117th), S. 1308 (117th), H.R. 2923 (117th), H.R. 2954 (117th), S. 1770 (117th)

Financial Institutions/Investments/Securities FIN

H.R. 2513 (116th Cong.) - Corporate Transparency Act of 2019; Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; Housing finance reform (general); H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019; H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; H.R. 2 (116th Cong.) - Moving Forward Act; SEC Temporary Exemptive Order related to municipal advisors; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Anticipated retirement legislation in the Senate; Prime brokerage regulation; Security-based Swaps; Clearing and Settlement; Margin for uncleared swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes; H.R. 1565/S.856 - Senior Security Act of 2021; 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. 3684 - INVEST in America Act; H.R. 2977 - Connect America Now (CAN) 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; Budget Reconciliation Package.

Contacted: Internal Revenue Service (IRS); Housing & Urban Development, Dept of (HUD); Ginnie Mae; Homeland Security, Dept of (DHS); Natl Economic Council (NEC); Treasury, Dept of; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Housing Finance Agency (FHFA); Commerce, Dept of (DOC); Commodity Futures Trading Commission (CFTC); State, Dept of (DOS); Natl Credit Union Administration (NCUA); Labor, Dept of (DOL); Federal Reserve System; HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC); Natl Security Council (NSC); SENATE; Executive Office of the President (EOP); U.S. Trade Representative (USTR)

Bills named: H.R. 1816 (117th), H.R. 1565 (117th), S. 479 (117th), S. 1676 (117th), S. 856 (117th), H.R. 2513 (117th), H.R. 2977 (117th), S. 1308 (117th), H.R. 6242 (117th), H.R. 609 (117th), H.R. 2634 (117th), H.R. 7000 (117th), S. 2184 (117th), S. 1770 (117th), S. 945 (117th), H.R. 3684 (117th), H.R. 2288 (117th), H.R. 2 (117th), H.R. 2954 (117th)

Taxation/Internal Revenue Code TAX

United States individual and business taxation; 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; Tax Incentives to preserve interest deduction related to municipal bonds; Tax Incentives to reinstate advance refunding bonds; Tax Incentives to provide for direct pay municipal bonds; Issues related to taxation of ownership of securities and securities transactions; H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019; Proposals to expand Private Activity Bonds; S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020; H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions); Public Law 116-136 - CARES Act (retirement and savings provisions); S. 479, the 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; H.R. 3684 - INVEST in America Act; S. 1308 - American Infrastructure Bonds Act of 2021; S. 1676 - Rural Broadband Financing Flexibility Act; H.R. 2977 - Connect America Now (CAN) Act; S. 1770 - Retirement Security and Savings Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package; Modernization of Derivatives Tax Act; 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.

Contacted: Housing & Urban Development, Dept of (HUD); Federal Housing Finance Agency (FHFA); Homeland Security, Dept of (DHS); Securities & Exchange Commission (SEC); Treasury, Dept of; SENATE; Ginnie Mae; HOUSE OF REPRESENTATIVES; Federal Reserve System; Natl Credit Union Administration (NCUA); Labor, Dept of (DOL); Natl Security Council (NSC); Commodity Futures Trading Commission (CFTC); Office of the Comptroller of the Currency (OCC); Commerce, Dept of (DOC); Internal Revenue Service (IRS); Natl Economic Council (NEC); Executive Office of the President (EOP); U.S. Trade Representative (USTR); Federal Deposit Insurance Corporation (FDIC); State, Dept of (DOS)

Bills named: H.R. 3684 (117th), S. 1770 (117th), S. 3995 (117th), S. 1443 (117th), S. 1308 (117th), S. 479 (117th), S. 817 (117th), H.R. 3967 (117th), S. 1676 (117th), H.R. 2954 (117th), H.R. 328 (117th), H.R. 2 (117th), H.R. 2288 (117th), H.R. 5376 (117th), H.R. 2977 (117th), H.R. 2917 (117th)

Retirement RET

Tax incentives for retirement savings; SEC Final Regulation Best Interest; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; Budget Reconciliation Package.

Contacted: Internal Revenue Service (IRS); HOUSE OF REPRESENTATIVES; State, Dept of (DOS); Housing & Urban Development, Dept of (HUD); Commodity Futures Trading Commission (CFTC); Commerce, Dept of (DOC); Federal Housing Finance Agency (FHFA); Federal Deposit Insurance Corporation (FDIC); Homeland Security, Dept of (DHS); Natl Security Council (NSC); Office of the Comptroller of the Currency (OCC); Executive Office of the President (EOP); Federal Reserve System; SENATE; Treasury, Dept of; Natl Credit Union Administration (NCUA); Securities & Exchange Commission (SEC); Labor, Dept of (DOL); Ginnie Mae; U.S. Trade Representative (USTR); Natl Economic Council (NEC)

Bills named: S. 1443 (117th), S. 1770 (117th), H.R. 2954 (117th), H.R. 2917 (117th)

Commodities (big ticket) CDT

Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Derivatives regulation (general); CFTC final rule on margin requirements for uncleared swaps.

Contacted: Natl Security Council (NSC); Treasury, Dept of; Homeland Security, Dept of (DHS); State, Dept of (DOS); U.S. Trade Representative (USTR); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); SENATE; Office of the Comptroller of the Currency (OCC); Ginnie Mae; Federal Reserve System; Natl Credit Union Administration (NCUA); Natl Economic Council (NEC); Federal Deposit Insurance Corporation (FDIC); Labor, Dept of (DOL); Internal Revenue Service (IRS); Housing & Urban Development, Dept of (HUD); Executive Office of the President (EOP); Federal Housing Finance Agency (FHFA); Commerce, Dept of (DOC); HOUSE OF REPRESENTATIVES