PRUDENTIAL FINANCIAL, INC. for PRUDENTIAL FINANCIAL INC

Taxation/Internal Revenue Code TAX

S. 463, H.R. 1185, S.920, H.R. 1940 - Paid Family Leave N/A - Investment in Opportunity Funds (Opportunity Zones) Rulemaking N/A - Annuity Tax Treatment Adjustments N/A - Tax Extenders - CFC Look Through Rule Public Law No. 115-97 - Issues related to the implementation of H.R. 1, the Tax Cuts and Jobs Act

Contacted: Labor, Dept of (DOL); Federal Reserve System; HOUSE OF REPRESENTATIVES; SENATE; Securities & Exchange Commission (SEC); Federal Housing Finance Agency (FHFA); Commodity Futures Trading Commission (CFTC); Office of Management & Budget (OMB); Treasury, Dept of; Consumer Financial Protection Bureau (CFPB); Federal Highway Administration (FHA); Internal Revenue Service (IRS)

Bills named: H.R. 1 (116th), H.R. 1185 (116th), S. 463 (116th), H.R. 1940 (116th), S. 920 (116th)

Communications/Broadcasting/Radio/TV COM

No Bill # - Data Security, Privacy and Breach Legislation

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Consumer Financial Protection Bureau (CFPB); Commodity Futures Trading Commission (CFTC); Labor, Dept of (DOL); Federal Housing Finance Agency (FHFA); Federal Highway Administration (FHA); Treasury, Dept of; Securities & Exchange Commission (SEC); Federal Reserve System; Internal Revenue Service (IRS); Office of Management & Budget (OMB)

Financial Institutions/Investments/Securities FIN

No Bill #- SEC Best Interest Standard S.603, H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019 S.603, H.R. 1862 - Issues relating to Dodd Frank Implementation and FIO, OFR, Volcker Rule, FSOC, FSB and their associated work on topics like capital standards, non bank SIFI designation, insurance regulation and oversight No Bill # - International Insurance Capital Standards H.R.1595, S. 1152 - SAFE Banking Act of 2019 No Bill # - Executive Order on Core Principles for Regulating the United States Financial System (February 3, 2017) and subsequent reports on banking (June 6, 2017), capital markets (October 20, 2017), and insurance and asset management (November 17, 2017) and Fintech report (July 31, 2018). No Bill # - GSE and FHA Housing Finance Reform

Contacted: Treasury, Dept of; SENATE; Commodity Futures Trading Commission (CFTC); Office of Management & Budget (OMB); HOUSE OF REPRESENTATIVES; Internal Revenue Service (IRS); Securities & Exchange Commission (SEC); Federal Housing Finance Agency (FHFA); Federal Reserve System; Labor, Dept of (DOL); Federal Highway Administration (FHA); Consumer Financial Protection Bureau (CFPB)

Bills named: H.R. 1862 (116th), S. 603 (116th), H.R. 1595 (116th), H.R. 3561 (116th), S. 1152 (116th)

Retirement RET

H.R. 1007, S.972 - Retirement Enhancement and Savings Act S.321 - Retirement Security Act of 2019 H.R. 1994 - Setting Every Community Up for Retirement Enhancement Act of 2019 H.R. 1439 - Increasing Access to a Secure Retirement Act of 2019 No Bill # - Association Retirement Plans H.R. 1007, S.972 - Lifetime Income Disclosure & Regulatory Issues - all provisions No Bill # - Automatic Retirement Plan Act No Bill # - Electronic Disclosure - ERISA/Internal Revenue Code - issues/provisions relating to the use of electronic disclosure by employee benefit plans No Bill # - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act No Bill # - General Account Legislative Fix N/A - Qualified Professional Asset Manager (OPAM) Exception Amendment N/A - ERISA Clarifications for Securities Originated or Underwritten by Inter-Affiliates N/A - Qualified Default Investment Allocation

Contacted: Securities & Exchange Commission (SEC); Federal Highway Administration (FHA); Treasury, Dept of; HOUSE OF REPRESENTATIVES; Labor, Dept of (DOL); Federal Reserve System; Commodity Futures Trading Commission (CFTC); Federal Housing Finance Agency (FHFA); SENATE; Internal Revenue Service (IRS); Consumer Financial Protection Bureau (CFPB); Office of Management & Budget (OMB)

Bills named: H.R. 1439 (116th), S. 321 (116th), H.R. 1007 (116th), H.R. 1994 (116th), S. 972 (116th)