VANGUARD GROUP for VANGUARD GROUP
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
Issues arising from Dodd-Frank regulations - including systemic risk regulation of non-bank financial institutions, FSOC process improvements, SIFI designations for non-bank financial institutions, and approaches to reducing systemic risk in the financial system (including the Financial Stability Oversight Council Improvement Act of 2015 - H.R. 1550 - and Section 302 of the Financial Regulatory Improvement Act of 2015 - S. 1484) Issues related to systemic risk standards being developed by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) for mutual funds and fund companies Issues related to the Office of Financial Research and its analysis of asset managers and mutual funds Issues related to money market fund operations and regulations, including the Consumer Financial Choice and Capital Markets Protection Act of 2015 (S. 1802) Issues related to private label securitization market and appropriate benchmarks Issues related to the management of ETFs, including portfolio transparency, custom basket rules and usage of custom baskets, and general rulemaking and policy guidance on ETFs Issues related to municipal bonds and other securities and the structure of the municipal securities market, including issues related to bankruptcy Issues related to equity market structure matters, including trade-at, Regulation NMS reform, minimizing latency of market data feeds, improving resiliency of technology and infrastructure to avoid single points of failure, access fees, the maker-taker model, ETF trading, limit-up/limit-down, and reopening processes Issues related to a pilot program for expanded tick sizes for small capitalization stocks Issues related to monetary policy Issues related to existing and potential financial services, investment offerings and asset management Issues related to proposed margin rules for uncleared swaps, including eligible collateral, initial margin thresholds, variation margin and segregation of margin Issues related to supplemental leverage ratio Issues related to security-based swaps reporting Issues related to swap clearinghouse risks and swap execution facility liquidity Issues related to cross border derivative trading provisions Issues related to ISDA Resolution Stay Protocol Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to the availability and management of liquidity in the fixed income markets Issues related to the structure of the fixed income markets, including the Treasury market Issues related to the harmonization of standards of care for Registered Investment Advisers and Broker-Dealers (Dodd-Frank Act Section 913) Issues related to modernization of mutual fund information reporting and enhanced portfolio disclosure Issues related to operational risk in the asset management industry Issues related to liquidity management rules for mutual funds and ETFs, including swing pricing Issues related to funds' use of derivatives Issues related to corporate governance Issues related to SEC rulemaking toward electronic delivery of mutual fund disclosures
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JILLIEN WILLIAMS FLORES | — |
| GERARD M GOLDEN | — |
| ALEX HULA New | — |
Taxation/Internal Revenue Code TAX
General tax issues related to mutual funds Commodity related investments, savings Capital gains and dividend tax rates as they relate to mutual funds Security or financial transaction tax proposals, including the Inclusive Prosperity Act of 2015 (H.R. 1464 and S. 1371) and the College for All Act (S. 1373) Issues related to limitations on exclusion of municipal bond interest Issues related to the impact of tax reform proposals on the municipal bond market and issuers Issues related to 529 college savings plans; encourage retention of 529 plan tax incentives Issues related to allowing the payment of qualified elementary and secondary education expenses from 529 college savings plans, including the Empowering Parents to Invest in Choice Act (H.R. 1928) Issues related to mobile workforce legislation, including the Mobile Workforce State Income Tax Simplification Act (S. 386, H.R. 2315) Issues related to legislation that would impact the American Opportunity Tax Credit and 529 Plan contribution eligibility Issues related to tax incentives for retirement savings Issues related to the excise tax on the excess benefit portion of high-cost employer sponsored health care plans (known as Cadillac plans), including the Ax the Tax on Middle Class Americans' Health Plans Act (H.R. 879).
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JILLIEN WILLIAMS FLORES | — |
| GERARD M GOLDEN | — |
| ALEX HULA New | — |
Retirement RET
Issues in support of the Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656) to provide for electronic delivery of ERISA-mandated statements and disclosures Issues related to the Department of Labors proposed fiduciary standard and the delivery of investment advice or guidance to investors in qualified retirement plans Issues related to tax incentives for retirement savings; encourage retention of current tax incentives Issues related to employee benefit plan administration Issues related to MyRA Issues related to limitations on retirement plan contributions or assets Issues related to the DOL's budget proposal and the agency's views on state-based retirement plans for private sector workers Issues related to multiple-employer retirement plans Issues related to retirement coverage proposals Issues related to removing the prohibition on 403(b) plans investing in collective investment trusts Issues related to expanding relief under IRS Employee Plans Compliance Resolution Systems (EPCRS) Issues related to auto-enrollment safe harbor Issues related to improving, simplifying, and enhancing retirement plans Issues related to lifetime income options Issues related to federal budget implications for retirement and health benefits
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JILLIEN WILLIAMS FLORES | — |
| GERARD M GOLDEN | — |
| ALEX HULA New | — |
Homeland Security HOM
Cybersecurity Issues (e.g., information sharing abilities, data breach notifications, enforcement actions, and related matters) including the Cybersecurity Threat Sharing Act of 2015 (S. 456), the Data Security and Breach Notification Act of 2015 (S. 177), the Cyber Intelligence Sharing and Protection Act (H.R. 234), the Cybersecurity Information Sharing Act of 2015 (S. 754), the Protecting Cyber Networks Act (H.R. 1560), the National Cybersecurity Protection Advancement Act of 2015 (H.R. 1731), and the Data Accountability and Trust Act (H.R. 580)
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JILLIEN WILLIAMS FLORES | — |
| GERARD M GOLDEN | — |
| ALEX HULA New | — |
Budget/Appropriations BUD
Issues related to reductions in the federal debt and federal budget deficit Issues related to raising the debt ceiling and avoiding federal government default
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JILLIEN WILLIAMS FLORES | — |
| GERARD M GOLDEN | — |
| ALEX HULA New | — |
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.