PRUDENTIAL FINANCIAL, INC. for PRUDENTIAL FINANCIAL INC

Communications/Broadcasting/Radio/TV COM

No Bill # - Data Security, Privacy and Breach Legislation

Contacted: Housing & Urban Development, Dept of (HUD); Treasury, Dept of; Office of Management & Budget (OMB); Federal Housing Finance Agency (FHFA); HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC); Federal Highway Administration (FHA); Consumer Financial Protection Bureau (CFPB); Federal Accounting Standards Advisory Board (FASAB); Commodity Futures Trading Commission (CFTC); SENATE; Federal Reserve System; Labor, Dept of (DOL)

Financial Institutions/Investments/Securities FIN

No Bill # - Federal Agency Regulatory Changes Associated with COVID-19 Relief 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 # - FED Notes "Nontraditional Life Insurance Liabilities" No Bill # - FED Notes "Capturing the Illiquid Premium" No Bill # - GSE and FHA Housing Finance Reform; Trump Administration Housing Finance Reform Plan No Bill # - LIBOR Transition Federal Safe Harbor Draft Legislation No Bill # - Final Rule: Amendments to Real-Time Public Reporting Requirements (Part 43); Timing and Block Trading Requirements; Final Rule: Amendments to Swap Data Recordkeeping and Reporting Requirements (Part 45); Final Rule: Amendments to the CFTCs Regulations Relating to Certain Swap Data Repository and Data Reporting Requirements (43, 45, and 49 Verification) No Bill # - Exemption from Derivatives Clearing Organization Registration (RIN 3038-AE65); Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations (RIN 3038-AE87) No Bill # - File Number SR-FINRA-2020-019: Proposed Rule Change to Temporarily Extend the Time to Complete Office Inspections under FINRA Rule 3110 (Supervision); Waivers to Allow Remote Exams for 2020 and 2021 No Bill # - Comments on Reporting Threshold for Institutional Investment Managers [Release No. 34-89290; File No. S7-08-20] No Bill # - Enhancements on SEC rules related to greater allowance for e-delivery and e-signature with customers H.R. 1018 - Improving Corporate Governance through Diversity Act of 2019 H.R. 3279 - Diversity in Corporate Leadership Act of 2019

Contacted: Housing & Urban Development, Dept of (HUD); HOUSE OF REPRESENTATIVES; Office of Management & Budget (OMB); SENATE; Treasury, Dept of; Commodity Futures Trading Commission (CFTC); Consumer Financial Protection Bureau (CFPB); Federal Highway Administration (FHA); Securities & Exchange Commission (SEC); Labor, Dept of (DOL); Federal Accounting Standards Advisory Board (FASAB); Federal Housing Finance Agency (FHFA); Federal Reserve System

Bills named: H.R. 1862 (116th), S. 1152 (116th), S. 603 (116th), H.R. 1595 (116th), H.R. 1018 (116th), H.R. 3279 (116th), H.R. 3561 (116th)

Taxation/Internal Revenue Code TAX

H.R. 6201 - Families First Coronavirus Response Act S. 463, H.R. 1185, S.920, H.R. 1940 - Paid Family Leave 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 No Bill # - Ordinary Tax Treatment of Bonds H.R. 748 - CARES Act

Contacted: Federal Accounting Standards Advisory Board (FASAB); Federal Reserve System; Federal Highway Administration (FHA); Consumer Financial Protection Bureau (CFPB); Labor, Dept of (DOL); SENATE; Federal Housing Finance Agency (FHFA); Office of Management & Budget (OMB); Treasury, Dept of; Securities & Exchange Commission (SEC); Commodity Futures Trading Commission (CFTC); HOUSE OF REPRESENTATIVES; Housing & Urban Development, Dept of (HUD)

Bills named: S. 463 (116th), S. 920 (116th), H.R. 6201 (116th), H.R. 1940 (116th), H.R. 1185 (116th), H.R. 1 (116th), H.R. 748 (116th)

Retirement RET

S.321 - Retirement Security 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 N/A - Section 420 Legislative Fix

Contacted: Commodity Futures Trading Commission (CFTC); Consumer Financial Protection Bureau (CFPB); Treasury, Dept of; Housing & Urban Development, Dept of (HUD); HOUSE OF REPRESENTATIVES; Office of Management & Budget (OMB); Labor, Dept of (DOL); Federal Housing Finance Agency (FHFA); SENATE; Securities & Exchange Commission (SEC); Federal Highway Administration (FHA); Federal Reserve System; Federal Accounting Standards Advisory Board (FASAB)

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