INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Retirement RET

Department of Labor ESG Investments Proposal Department of Labor Fiduciary Rulemaking

Contacted: HOUSE OF REPRESENTATIVES; Treasury, Dept of; SENATE; Labor, Dept of (DOL)

Taxation/Internal Revenue Code TAX

H.R. 6800 - The Heroes Act (Lowey) H.R. 7772 - Tax Parity for US Mutual Funds Act of 2020 (Davis) S. 1431 - Retirement Security and Savings Act of 2019 (Portman) Allow 403(b) plans to invest in collective investment trusts Allow variable annuities to invest in exchange-traded funds Automatic Retirement Plan Act (Neal) Certificate of Residency processing Financial Transaction Tax Portable Retirement and Investment Account Act (Himes) Retirement Plan Simplification and Enhancement Act (Neal) Retirement Savings Tax Incentives Tax Exemption for Municipal Bond Interest Temporary coronavirus-related catch-up contribution

Contacted: Labor, Dept of (DOL); HOUSE OF REPRESENTATIVES; Treasury, Dept of; SENATE

Bills named: S. 1431 (116th), H.R. 6800 (116th), H.R. 7772 (116th)

Budget/Appropriations BUD

FY 2021 Financial Services and General Government Appropriations Act

Contacted: Labor, Dept of (DOL); Treasury, Dept of; HOUSE OF REPRESENTATIVES; SENATE

Financial Institutions/Investments/Securities FIN

H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019 (Foster) H.R. 3987 - Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 4492 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Moore) H.R. 5084 - Improving Corporate Governance Through Diversity Act (Meeks) H.R. 6800 - The Heroes Act (Lowey) H.R. 7000 - Holding Foreign Companies Accountable Act (Sherman) H.R. 8188 - Mutual Fund Litigation Reform Act (Emmer) S. 603 - Financial Stability Oversight Council Improvement Act of 2019 (Rounds) S. 733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Toomey) S. 945 - Holding Foreign Companies Accountable Act (Kennedy) S. 1200 - Secure and Fair Enforcement Banking Act of 2019 (Merkley) CFTC Rule 4.5 Closed-End Funds Consolidated Audit Trail Corporate Dividend Payment Restrictions Diverse Investment Advisers Act Electronic Delivery of Mutual Fund Disclosure Documents Environmental, Social, and Governance Investing Exchange-Traded Funds Federal Reserve facilities established in response to COVID-19 Libor Transition Money Market Mutual Funds Retail Investor Access to Private Offerings SEC Cybersecurity and Data Protection

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Treasury, Dept of; Labor, Dept of (DOL)

Bills named: H.R. 6800 (116th), H.R. 3561 (116th), S. 1200 (116th), H.R. 8188 (116th), S. 733 (116th), H.R. 7000 (116th), S. 945 (116th), H.R. 3987 (116th), S. 603 (116th), H.R. 4492 (116th), H.R. 5084 (116th)