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

Banking BAN

Equity market structure issues; H.R.4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; SEC Final Regulation Best Interest; Federal Reserve Board and Prudential Agency Covid-19 Actions; Self-Regulatory Organization (SRO) 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; 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; 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. ___ 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; H.R. ___ "Close the ILC Loophole Act"; SEC Securities Lending Proposal; Prudential Agency ESG/Climate Finance Rules and inquiries; Prudential Agency Capital and Liquidity Regulations, including Basel Implementation.

Contacted: Labor, Dept of (DOL); Commodity Futures Trading Commission (CFTC); SENATE; Federal Deposit Insurance Corporation (FDIC); Natl Economic Council (NEC); Natl Security Council (NSC); HOUSE OF REPRESENTATIVES; Federal Reserve System; Homeland Security, Dept of (DHS); Federal Housing Finance Agency (FHFA); Office of the Comptroller of the Currency (OCC); Internal Revenue Service (IRS); Securities & Exchange Commission (SEC); Treasury, Dept of; Executive Office of the President (EOP)

Bills named: H.R. 2923 (117th), H.R. 842 (117th), H.R. 4616 (117th), H.R. 4617 (117th), S. 2407 (117th), S. 479 (117th), H.R. 2288 (117th), H.R. 2954 (117th), S. 1770 (117th), H.R. 935 (117th), H.R. 2917 (117th), S. 1308 (117th), S. 1676 (117th), S. 420 (117th), H.R. 2634 (117th), H.R. 2265 (117th), S. 1443 (117th), H.R. 4619 (117th), H.R. 4618 (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; SEC Rule 15c2-11; Fixed income securities.

Contacted: Homeland Security, Dept of (DHS); Treasury, Dept of; Federal Deposit Insurance Corporation (FDIC); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); Executive Office of the President (EOP); Labor, Dept of (DOL); Office of the Comptroller of the Currency (OCC); Federal Housing Finance Agency (FHFA); Federal Reserve System; SENATE; Internal Revenue Service (IRS); Natl Security Council (NSC); HOUSE OF REPRESENTATIVES; Natl Economic Council (NEC)

Taxation/Internal Revenue Code TAX

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; 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); 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; 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; S.1403 Move America Act of 2021

Contacted: Natl Economic Council (NEC); Federal Reserve System; Commodity Futures Trading Commission (CFTC); Labor, Dept of (DOL); Office of the Comptroller of the Currency (OCC); HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC); Treasury, Dept of; Homeland Security, Dept of (DHS); Executive Office of the President (EOP); Internal Revenue Service (IRS); Natl Security Council (NSC); SENATE; Federal Deposit Insurance Corporation (FDIC); Federal Housing Finance Agency (FHFA)

Bills named: S. 1770 (117th), H.R. 328 (117th), H.R. 2917 (117th), H.R. 2954 (117th), S. 1403 (117th), H.R. 3684 (117th), H.R. 2 (117th), S. 1308 (117th), H.R. 2288 (117th), S. 817 (117th), S. 1443 (117th), S. 3995 (117th), S. 1676 (117th), S. 479 (117th), H.R. 5376 (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; H.R. 5376 - Build Back Better Act of 2021.

Contacted: Office of the Comptroller of the Currency (OCC); Treasury, Dept of; Federal Deposit Insurance Corporation (FDIC); Natl Security Council (NSC); Homeland Security, Dept of (DHS); Labor, Dept of (DOL); HOUSE OF REPRESENTATIVES; Executive Office of the President (EOP); Commodity Futures Trading Commission (CFTC); Federal Housing Finance Agency (FHFA); Natl Economic Council (NEC); Securities & Exchange Commission (SEC); Federal Reserve System; SENATE; Internal Revenue Service (IRS)

Bills named: H.R. 5376 (117th), H.R. 2917 (117th), H.R. 2954 (117th), S. 1770 (117th), S. 1443 (117th)

Financial Institutions/Investments/Securities FIN

Senior investors/diminished capacity investors; Diversity & Inclusion initiatives in the financial services industry; S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act; S. 479 LOCAL Infrastructure Act; H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; Prime brokerage regulation; Security-based Swaps; Sustainable Finance; Short Selling; FTC Hart Scott Rodino Proposals; 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. 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; H.R. 5376 - Build Back Better Act of 2021

Contacted: Securities & Exchange Commission (SEC); SENATE; Office of the Comptroller of the Currency (OCC); Executive Office of the President (EOP); Federal Deposit Insurance Corporation (FDIC); Labor, Dept of (DOL); Commodity Futures Trading Commission (CFTC); Natl Economic Council (NEC); Homeland Security, Dept of (DHS); Treasury, Dept of; Federal Housing Finance Agency (FHFA); HOUSE OF REPRESENTATIVES; Federal Reserve System; Internal Revenue Service (IRS); Natl Security Council (NSC)

Bills named: S. 1676 (117th), S. 2184 (117th), H.R. 2288 (117th), H.R. 7000 (117th), S. 945 (117th), H.R. 2954 (117th), H.R. 5376 (117th), S. 1308 (117th), S. 479 (117th), H.R. 3684 (117th), H.R. 2634 (117th), S. 1770 (117th)