SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
A later version of this report replaces this one, so LegiList's totals use the current version instead. This page shows this version exactly as filed.
Versions of this report
Every filing the register holds for this firm, client and period, oldest first. The most recent one is the version LegiList counts.
| Filing | Filed | Amount | Counted |
|---|---|---|---|
| 1st Quarter - Report (this page) | Apr 20, 2022 | $1,720,000 | Replaced |
| 1st Quarter - Amendment | Apr 29, 2022 | $1,720,000 | Yes |
What was lobbied
5 issue areas, each in the filer's own words, with who lobbied on it and where.
Banking BAN
Equity market structure issues; Self-Regulatory Organization (SRO) Reform; SEC Rule 15c2-11; H.R. 2265 - the Financial Exploitation Prevention Act of 2021; SEC Securities Lending Proposal; H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations; H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman); SEC short comment periods; H.R. 4616 - The Adjustable Interest Rate (LIBOR) Act of 2021; S. 479 - LOCAL Infrastructure Act; H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds; 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; H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes; H.R. 935 - the Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021; H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021; 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"
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| WILLIAM CARDON | — |
| COOPER D'ANTON | Sen. Chris Van Hollen (D-MD) (March 2019-May 2021) Legislative Correspondent; Sen. Chris Van Hollen (D-MD) (2018-March 2019) Special Assistant; Sen. Chris Van Hollen (D-MD) (Jan. 2017-2018) Staff Assistant |
| BRADLEY GASKINS EDGELL | — |
| MATT GRINNEY New | Sr. Policy and Comms Advisor, Federal Housing Finance Agency; Dep. Director of Speechwriting, VP of the United States; Speechwriter, U.S. Dept. of Health and Human Services; Comms Advisor, Sen. Mike Lee; Staff Assistant, Rep. James Clyburn. |
| JENNIFER R JACOBY New | — |
| LINDSEY WEBER KELJO | — |
| CHRISTOPHER B KILLIAN | — |
| CARTER MCDOWELL | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JAMIE WALL | — |
Commodities (big ticket) CDT
SEC Rule 15c2-11; Fixed income securities.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| WILLIAM CARDON | — |
| CARTER MCDOWELL | — |
| MARK SCHUERMANN | — |
Financial Institutions/Investments/Securities FIN
Senior investors/diminished capacity investors; Sustainable Finance; H.R. 5376 - Build Back Better Act of 2021; Private Fund Proposals (SEC); H.R. 6285 - Accelerating 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; 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. 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.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| CHRISTOPHER B KILLIAN | — |
| MELISSA MACGREGOR | — |
| PETER MATHESON | — |
| CARTER MCDOWELL | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
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; 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; Modernization Derivatives Tax Act; Tax Incentives to preserve interest deduction related to municipal bonds; S. 479 - 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; 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.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| LESLIE MARION NORWOOD | — |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
Retirement RET
Tax incentives for retirement savings; Electronic delivery of retirement plan documents and disclosures; ESG Investing relating to retirement accounts; S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021; S. 1770 - Retirement Security and Savings Act of 2021; H.R. 2954 - Securing a Strong Retirement Act of 2021.
| Lobbyist | Covered position, as disclosed |
|---|---|
| JENNIFER BANG | — |
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| WILLIAM CARDON | — |
| BRADLEY GASKINS EDGELL | — |
| TRACY EICHLER | — |
| MATT GRINNEY New | Sr. Policy and Comms Advisor, Federal Housing Finance Agency; Dep. Director of Speechwriting, VP of the United States; Speechwriter, U.S. Dept. of Health and Human Services; Comms Advisor, Sen. Mike Lee; Staff Assistant, Rep. James Clyburn. |
| NICCOLE RIVERO | — |
| MARK SCHUERMANN | — |
| JUSTIN SOK | — |
| JAMIE WALL | — |
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.