3rd Quarter - Report

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION for SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION

Period 3rd Quarter 2013 Filed Oct 21, 2013 Signed by Kenneth E. Bentsen, Jr., President

Official filing
Firm
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Client
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Income
—
Expenses
$1,220,000
Expense method
A: Lobbying Disclosure Act definitions

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

H.R. 25 (Fair Tax Act of 2013); H.R. 30 (Small Business Investment Enhancement and Tax Relief Act); H.R. 122 (Creating Jobs From Innovative Small Businesses Act of 2013); H.R. 290 (Full Faith and Credit Act of 2013);H.R. 505 (Balancing Act); H.R. 613 (Systemic Risk Mitigation Act); H.R. 624 (Cyber Intelligence Sharing and Protection Act); H.R. 634 (Business Risk Mitigation and Price Stabilization Act); H.R. 677 (Inter-Affiliate Swap Classification Act); H.R. 694 (Corporate Tax Fairness Act); H.R. 701 (To amend a provision of the Securities Act of 1933 directing the Securities and Exchange Commission to add a particular class of securities to those exempted under such Act to provide a deadline for such action); H.R. 719 (Capital Access for Small Businesses and Jobs Act); H.R. 742 (Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013); H.R. 756 (Cybersecurity Enhancement Act of 2013); H.R. 807 (Full Faith and Credit Act); H.R. 815 (To amend the Internal Revenue Code of 1986 to make certain dividends and distributions paid to individuals from certain small businesses exempt from tax to the extent of the increased wages of the small business); H.R. 880 (Wall Street Trading and Speculators Tax Act); H.R. 889 (Unfunded Mandates Information and Transparency Act of 2013); H.R. 935 (Reducing Regulatory Burdens Act of 2013); H.R. 947 (Small Business Accounting and Tax Simplification Act); H.R. 992 (Swaps Regulatory Improvement Act); H.R. 1003 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1101 (Homeowners and Taxpayers Protection Act of 2013); H.R. 1105 (Small Business Capital Access and Job Preservation Act); H.R. 1062 (SEC Regulatory Accountability Act); H.R. 1064 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1115 (To amend the Securities Exchange Act of 1934 to prohibit any national securities exchange from effecting any transaction in a security issued by a corporation unless the corporation's registration with the exchange includes a certification that the corporation currently is in compliance with the provisions of the Federal Election Campaign Act of 1971 governing contributions and expenditures by corporations which were in effect with respect to elections held during 2008); H.R. 1135 (Burdensome Data Collection Relief Act); H.R. 1155 (National Association of Registered Agents and Brokers Reform Act of 2013); H.R. 1221 (Basel III Capital Impact Study Act); H.R. 1256 (Swap Jurisdiction Certainty Act); H.R.1335 (Short Sale Transparency Act of 2013); H.R.1341 (Financial Competitive Act of 2013)(Credit Valuation Adjustment (CVA)); H.R. 1844 (Arbitration Fairness Act of 2013); H.R. 2374 (Retail Investor Protection Act); H.R. 2998 (Investor Choice Act of 2013); S. 1 (Immigration Reform that Works for America's Future Act); S. 8 (End Wasteful Tax Loopholes Act); S. 21 (Cybersecurity and American Cyber Competitiveness Act of 2013); S. 122 (Fair Tax Act of 2013); S. 169 (I-Squared Act of 2013)(Immigration reform); S. 173 (Simplified, Manageable, And Responsible Tax Act); S. 249 (Responsible Homeowner Refinancing Act of 2013); S. 277 (Job Preservation and Economic Certainty Act of 2013); S. 278 (Job Preservation and Sequester Replacement Act of 2013); S. 321 (Paying a Fair Share Act of 2013); S. 387 (American Infrastructure Investment Fund Act); S. 399 (American Job Protection Act); S. 410 (Wall Street Trading and Speculators Tax Act); S. 450 (Financial Regulatory Responsibility Act of 2013);S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013); S. 474 (Swaps Regulatory Improvement Act); S. 534 (National Association of Registered Agents and Brokers Reform Act of 2013); FINRA Regulatory Notice 2013-002; Market data rule proposals (SR-NASDAQ-2012-042;SR-NASDAQ-2012-044;SR-NASDAQ-2012-005); SR-NYSEArca-2011-96; Market data (Exchange Act Section 19 and related rules); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; Basel Securitization Framework; G-20; Amendments to the 2012 Indian Finance Bill; TransAtlantic Trade and Investment Partnership (TTIP); Trade Promotion Authority (TPA); India Financial Sector Reform; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds; Cross-border guidance;CFTC exemptive order on extraterritorial scope of Title VII; Tri-party repo; Computerized trading; Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives; Commodity Pools and Securitization; Tick-size pilot program; Legislation relating to Basel III and Too Big To Fail (Sens. Vitter and Brown)(Not yet introduced); EU Capital and Resolution; National Institute of Standards and Technology (NIST) Framework; Incentives for the adoption of the NIST Framework; Debt ceiling legislation (not yet introduced).

LobbyistCovered position, as disclosed
KENNETH E BENTSEN —
LISA BLEIER —
KYLE L BRANDON —
KEVIN CARROLL —
MICHAEL DECKER —
BRADLEY GASKINS EDGELL —
CHRISTOPHER B KILLIAN —
MELISSA MACGREGOR —
CARTER MCDOWELL —
MATTHEW MCGINLEY —
DAVID OXNER —
STEVE PASTRICK —
PAYSON PEABODY —
DAVID STRONGIN —
JOSEPH VAUGHAN —

Contacted: Executive Office of the President (EOP); Labor, Dept of (DOL); Natl Economic Council (NEC); Federal Reserve System; Securities & Exchange Commission (SEC); Natl Security Council (NSC); Natl Credit Union Administration (NCUA); Office of Thrift Supervision (OTS); Commerce, Dept of (DOC); Treasury, Dept of; Housing & Urban Development, Dept of (HUD); Federal Housing Finance Agency (FHFA); Homeland Security, Dept of (DHS); Office of the Comptroller of the Currency (OCC); U.S. Trade Representative (USTR); Federal Deposit Insurance Corporation (FDIC); Ginnie Mae; SENATE; HOUSE OF REPRESENTATIVES; Commodity Futures Trading Commission (CFTC)

Bills named: H.R. 613 (113th), H.R. 122 (113th), S. 534 (113th), H.R. 2374 (113th), H.R. 889 (113th), H.R. 815 (113th), H.R. 1135 (113th), S. 21 (113th), S. 278 (113th), S. 122 (113th), S. 474 (113th), H.R. 947 (113th), H.R. 634 (113th), H.R. 30 (113th), H.R. 756 (113th), H.R. 1335 (113th), S. 321 (113th), H.R. 2998 (113th), H.R. 992 (113th), H.R. 1155 (113th), S. 451 (113th), H.R. 1844 (113th), H.R. 701 (113th), H.R. 719 (113th), H.R. 624 (113th), S. 410 (113th), S. 387 (113th), S. 8 (113th), H.R. 807 (113th), H.R. 1105 (113th), H.R. 1256 (113th), S. 173 (113th), S. 169 (113th), H.R. 880 (113th), H.R. 25 (113th), S. 450 (113th), H.R. 694 (113th), S. 277 (113th), H.R. 1115 (113th), H.R. 1062 (113th), H.R. 935 (113th), H.R. 1341 (113th), H.R. 1003 (113th), S. 249 (113th), H.R. 505 (113th), S. 399 (113th), H.R. 1101 (113th), H.R. 1064 (113th), H.R. 1221 (113th), H.R. 742 (113th), H.R. 677 (113th), H.R. 290 (113th), S. 1 (113th)

Retirement RET

H.R. 2374 (Retail Investor Protection Act); S. 606 (SEAL Act); House and Senate Sense of Congress Resolutions on Preserving Retirement Savings Tax Incentives; DOL ERISA Fiduciary Duty Rulemaking;DOL Advisory Opinion 2013-01A (Swaps and pension plans); Partial rollovers; Business Conduct Standards; Automatic IRA legislation (Rep. Neal)(Not yet introduced); Tax reform (generally, relating to retirement).

LobbyistCovered position, as disclosed
KENNETH E BENTSEN —
LISA BLEIER —
KYLE L BRANDON —
MICHAEL DECKER —
BRADLEY GASKINS EDGELL —
CARTER MCDOWELL —
MATTHEW MCGINLEY —
DAVID OXNER —
JOSEPH VAUGHAN —

Contacted: Ginnie Mae; Securities & Exchange Commission (SEC); Executive Office of the President (EOP); Office of Thrift Supervision (OTS); Federal Reserve System; HOUSE OF REPRESENTATIVES; SENATE; Labor, Dept of (DOL); Federal Housing Finance Agency (FHFA); U.S. Trade Representative (USTR); Commerce, Dept of (DOC); Natl Economic Council (NEC); Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Housing & Urban Development, Dept of (HUD); Homeland Security, Dept of (DHS); Natl Credit Union Administration (NCUA); Natl Security Council (NSC); Treasury, Dept of; Commodity Futures Trading Commission (CFTC)

Bills named: S. 606 (113th), H.R. 2374 (113th)

Commodities (big ticket) CDT

H.R. 634 (Business Risk Mitigation and Price Stabilization Act); H.R. 677 (Inter-Affiliate Swap Classification Act); H.R. 742 (Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013); H.R. 992 (Swaps Regulatory Improvement Act);H.R. 1003 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1038 (Public Power Risk Management Act of 2013); H.R. 1256 (Swaps Jurisdiction Certainty Act); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Regulatory rulemaking regarding swap dealer capital requirements and margin segregation); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Commodity pool operators amendments; Commodity Exchange Act (CEA) Reauthorization; Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); Cross-border Guidance and Exemptive Order; Banks in physical commodity markets.

LobbyistCovered position, as disclosed
KENNETH E BENTSEN —
KYLE L BRANDON —
MICHAEL DECKER —
BRADLEY GASKINS EDGELL —
CHRISTOPHER B KILLIAN —
CARTER MCDOWELL —
MATTHEW MCGINLEY —
DAVID OXNER —
JOSEPH VAUGHAN —

Contacted: Office of the Comptroller of the Currency (OCC); Labor, Dept of (DOL); Commerce, Dept of (DOC); Housing & Urban Development, Dept of (HUD); Natl Security Council (NSC); Natl Economic Council (NEC); SENATE; Commodity Futures Trading Commission (CFTC); Federal Deposit Insurance Corporation (FDIC); Ginnie Mae; Executive Office of the President (EOP); Treasury, Dept of; Natl Credit Union Administration (NCUA); Securities & Exchange Commission (SEC); U.S. Trade Representative (USTR); Office of Thrift Supervision (OTS); Federal Reserve System; Homeland Security, Dept of (DHS); Federal Housing Finance Agency (FHFA); HOUSE OF REPRESENTATIVES

Bills named: H.R. 992 (113th), H.R. 677 (113th), H.R. 634 (113th), H.R. 1038 (113th), H.R. 742 (113th), H.R. 1003 (113th), H.R. 1256 (113th)

Banking BAN

H.R. 189 (Transparency and Security in Mortgage Registration Act of 2013); S. 563 (Jumpstart GSE Reform Act); S. 1217 (Housing Finance Reform and Taxpayer Protection Act of 2013); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;Housing Affordability and Stability Plan; Housing finance issues (General); Servicing compensation; Credit Rating Agency Reform; Government Sponsored Enterprise (GSE) Reform; Strategic plan for conservatorships of the GSEs; Eminent Domain; Equity market structure issues; Capital standards; Ginnie Mae securitization programs.

LobbyistCovered position, as disclosed
KENNETH E BENTSEN —
KEVIN CARROLL —
BRADLEY GASKINS EDGELL —
CHRISTOPHER B KILLIAN —
CARTER MCDOWELL —
MATTHEW MCGINLEY —
DAVID OXNER —
JOSEPH VAUGHAN —

Contacted: U.S. Trade Representative (USTR); Treasury, Dept of; Office of the Comptroller of the Currency (OCC); Executive Office of the President (EOP); Federal Housing Finance Agency (FHFA); HOUSE OF REPRESENTATIVES; Commerce, Dept of (DOC); Natl Credit Union Administration (NCUA); SENATE; Homeland Security, Dept of (DHS); Labor, Dept of (DOL); Federal Deposit Insurance Corporation (FDIC); Ginnie Mae; Natl Economic Council (NEC); Federal Reserve System; Natl Security Council (NSC); Housing & Urban Development, Dept of (HUD); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); Office of Thrift Supervision (OTS)

Bills named: H.R. 189 (113th), S. 1217 (113th), S. 563 (113th)

Taxation/Internal Revenue Code TAX

H.R. 1 (Tax Reform Legislation); H.R. 684 (Marketplace Fairness Act); H.R. 789 (Build America Bonds Extension Act of 2013); H.R. 797 (Municipal Advisor Oversight Improvement Act of 2013);H.R. 798 (Workforce Investment Act of 2013); H.R. 880 (Wall Street Trading and Speculators Tax Act); H.R. 949 (Invest in American Jobs Act of 2013); S. 336 (Marketplace Fairness Act); S. 410 (Wall Street Trading and Speculators Tax Act); S. 743 (Marketplace Fairness Act); S. 1257 (Protect American Investments Act of 2013); Regulations implementing Internal Revenue Code Section 871(m); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; U.S. and foreign Financial Transaction Tax Proposals; Tax issues related to standardization of credit default swaps; Extension of Active Financing Rules; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Tax classification of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Extension of the Alternative Minimum Tax, tax exemption for private activity bonds; Securities cost basis reporting regulations; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; Tax extenders; Municipal Advisor Regulation.

LobbyistCovered position, as disclosed
KENNETH E BENTSEN —
LISA BLEIER —
MICHAEL DECKER —
BRADLEY GASKINS EDGELL —
CARTER MCDOWELL —
MATTHEW MCGINLEY —
DAVID OXNER —
PAYSON PEABODY —
DAVID STRONGIN —
JOSEPH VAUGHAN —

Contacted: Federal Deposit Insurance Corporation (FDIC); Natl Credit Union Administration (NCUA); Commodity Futures Trading Commission (CFTC); SENATE; Ginnie Mae; Executive Office of the President (EOP); HOUSE OF REPRESENTATIVES; Housing & Urban Development, Dept of (HUD); Commerce, Dept of (DOC); Treasury, Dept of; Federal Housing Finance Agency (FHFA); Office of the Comptroller of the Currency (OCC); Homeland Security, Dept of (DHS); Natl Security Council (NSC); Securities & Exchange Commission (SEC); Labor, Dept of (DOL); Office of Thrift Supervision (OTS); Federal Reserve System; Natl Economic Council (NEC); U.S. Trade Representative (USTR)

Bills named: S. 336 (113th), S. 743 (113th), H.R. 797 (113th), H.R. 684 (113th), H.R. 789 (113th), S. 1257 (113th), H.R. 798 (113th), H.R. 880 (113th), H.R. 1 (113th), S. 410 (113th), H.R. 949 (113th)

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.