VANGUARD GROUP for VANGUARD GROUP
What was lobbied
3 issue areas, each in the filer's own words, with who lobbied on it and where.
Taxation/Internal Revenue Code TAX
General tax issues related to mutual funds Capital gains and dividend tax rates as they relate to mutual funds
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| BRIAN S MATTES | — |
Financial Institutions/Investments/Securities FIN
HR 4173 and issues related to Dodd-Frank implementation and regulations derivatives, systemic risk, and Orderly Liquidation Authority Issues related to swap execution facility trading and reporting (see attached addendum sheet) Issues related to definition of major swap participants Issues related to nature of collateral for cleared swaps Issues related to systemic risk regulation Issues related to market structure matters Issues related to target date mutual funds Issues related to investment advice Issues related to municipal disclosure Issues related to a proposal to remove credit ratings from Rule 2a-7 and its negative implications Issues related to the "limit up - limit down" proposal issued by the national securities exchanges and FINRA Issues related to Basel III and Volcker rules Issues related to SEC proxy access proposal Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to money market funds (e.g. floating net asset value, liquidity protection, alternative regulatory approach) Issues related to securities transactions and holdings Issues related to financial service institutions and industry
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| BRIAN S MATTES | — |
Retirement RET
Proposals related to stemming leakage from retirement plans through reform of plan loan rules, including S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Proposals related to 401(k) plan loans and rollover loans to IRAs (see attached addendum page) Proposals related to expanding the definition of fiduciary under ERISA Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business, including H.R. 1534 Small Businesses Add Value for Employees Act Issues related to stable value funds in retirement plans Issues related to securities lending in retirement funds Issues related to retirement target date funds Issues related to tax incentives for retirement savings 401(k) fee disclosures, investment advice
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| 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.