DAVIS & HARMAN LLP for BROKER/DEALER COORDINATION GROUP
What was lobbied
3 issue areas, each in the filer's own words, with who lobbied on it and where.
Retirement RET
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with SEC broker/dealer standard of care. Legislative proposals to address the fiduciary issue or the SEC standard of care. State fiduciary rules. SEC proposal regarding predictive data analytics. H.J.Res. 142/S.J.Res. 79, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary". H.R. 9029, Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2025.
| Lobbyist | Covered position, as disclosed |
|---|---|
| CHRIS L GASTON | Chief of Staff, Representative Rush Holt |
| KENT A MASON | — |
Financial Institutions/Investments/Securities FIN
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with SEC broker/dealer standard of care. Legislative proposals to address the fiduciary issue or the SEC standard of care. State fiduciary rules. SEC proposal regarding predictive data analytics. H.J.Res. 142/S.J.Res. 79, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary". H.R. 9029, Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2025.
| Lobbyist | Covered position, as disclosed |
|---|---|
| CHRIS L GASTON | Chief of Staff, Representative Rush Holt |
| KENT A MASON | — |
Taxation/Internal Revenue Code TAX
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with SEC broker/dealer standard of care. Legislative proposals to address the fiduciary issue or the SEC standard of care. State fiduciary rules. SEC proposal regarding predictive data analytics. H.J.Res. 142/S.J.Res. 79, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary". H.R. 9029, Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2025.
| Lobbyist | Covered position, as disclosed |
|---|---|
| CHRIS L GASTON | Chief of Staff, Representative Rush Holt |
| KENT A MASON | — |
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.