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 related to Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law 111-203) implementation and regulations, including SIFI rules and designation, systemic risk, orderly liquidation authority and derivatives Issues related to portfolio management of exchange-traded funds (ETFs) (See attached addendum page)Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants and effect of bankruptcy of a futures clearing merchant or clearinghouse on derivatives trading Issues related to nature of collateral for cleared swaps Issues related to transaction recording obligation under the CFTCs SEF rules Issues related to derivatives trading reforms including cross border provisions, FX settling, and commodity pool operator registration requirements Issues related to market structure matters (computerized trading, trade-at, and the maker-taker model) Issues related to effect of the Volcker rule on fixed income markets, equity markets, and mutual fund shareholders Issues related to the Financial Stability Oversight Council (FSOC) and mutual funds Issues related to the Financial Stability Board (FSB) and mutual funds Issues related to the Office of Financial Research study of asset managers and its potential impact on mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Issues related to mortgage-backed securities, housing finance reform, and Government Sponsored Enterprise reform Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back, liquidity gates and fees, treatment of municipal money market funds) Issues related to the SECs enhanced fund reporting initiative Issues related to the structure and offering of annuities H.R. 2374 (Retail Investor Protection Act) for regulatory coordination between the DOL and the SEC Issues surrounding the fiscal situation with Puerto Rico and its impact on the municipal bonds market Issues related to disclosure of municipal bond transaction expenses Issues related to a pilot program for expanded tick sizes for small capitalization stocks, including H.R. 1952 (Spread Pricing Liquidity Act of 2013) and H.R. 3448 (Small Cap Liquidity Reform Act of 2013) Issues related to the regulation of the asset management industry
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| GERARD M GOLDEN | — |
| BRIAN S MATTES | — |
Taxation/Internal Revenue Code TAX
Capital gains and dividend tax rates as they relate to mutual funds Issues related to extending permanently the registered investment company flow-through provisions of Code section 871(k) Issues related to tax incentives for retirement savings (See attached addendum page)Domestic security or financial transaction tax proposals, including H.R. 880 and S. 410 (Wall Street Trading and Speculators Tax Act) and H.R. 1579 (Inclusive Prosperity Act of 2013) Proposals to protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.), including S. 1257 and H.R. 2546 (Protect American Investments Act of 2013) Issues related to tax incentives for retirement savings Issues related to limitations on exclusion of municipal bond interest Issues related to fundamental tax reform Issues related to savings Issues related to taxation of derivatives Issues related to basis reporting for stock, bond, and money market funds Issues related to commodity related investments Issues related to 529 college savings plans; encourage retention of their tax incentives General tax issues related to mutual funds
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| GERARD M GOLDEN | — |
| BRIAN S MATTES | — |
Retirement RET
Proposal related to stemming leakage from retirement plans through reform of plan loan rules Issues related to tax incentives for retirement savings; encourage retention of their tax incentives Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures (See attached addendum page)Consolidation of ERISA-required notices Issues related to retirement target date funds and their marketing rule Issues related to the MyRA proposal Issues related to limitations on retirement plan contributions or assets Issues related to the effect of the Department of Labors proposed ERISA fiduciary definition Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business Provisions included in H.R. 2117 (Retirement Plan Simplification Act of 2013), including the use of a blended benchmark for target date funds
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| GERARD M GOLDEN | — |
| BRIAN S MATTES | — |
Budget/Appropriations BUD
Issues related to reductions in the federal debt and federal budget deficit; encourage efforts to reduce the federal debt and budget deficits Issues related to statutory debt ceiling; encourage Congress to raise the statutory debt ceiling when necessary
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| GERARD M GOLDEN | — |
| BRIAN S MATTES | — |
Homeland Security HOM
Issues related to cybersecurity, infrastructure protection and security technology, including H.R.3696 (National Cybersecurity and Critical Infrastructure Protection Act of 2013)
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| GERARD M GOLDEN | — |
| BRIAN S MATTES | — |
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.