3rd Quarter - Report

NASDAQ, INC. for NASDAQ INC

Firm
Client
Income
—
Expenses
$370,000
Expense method
A: Lobbying Disclosure Act definitions

What was lobbied

One issue area, each in the filer's own words, with who lobbied on it and where.

Financial Institutions/Investments/Securities FIN

General issues relating to the following: Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016; Legislation aimed at providing a less regulated/higher capital requirement to replace Dodd-Frank, HR 5983 - Financial CHOICE Act of 2016; Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act; Cross border regulatory issues between the U.S. and Europe; SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Repatriation/tax reform; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; Highly skilled workers -- immigration reform; Taxation of securities transactions/tax treatment of options contracts; Security market structure, Regulation NMS and price discovery; Proprietary ownership and distribution of market data; Corporate governance issues; and Cyber Security and system infrastructure.

LobbyistCovered position, as disclosed
JAMEEL WILLIAM AALIM-JOHNSON —
TERRY G CAMPBELL —
LAURA NOLAN —

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC); Treasury, Dept of; Commodity Futures Trading Commission (CFTC)

Bills named: H.R. 5311 (114th), H.R. 4638 (114th), H.R. 5983 (114th)

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.