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 |
|---|---|---|---|
| 4th Quarter - Report (this page) | Jan 22, 2019 | $2,090,000 | Replaced |
| 4th Quarter - Amendment | Apr 18, 2019 | $2,090,000 | Replaced |
| 4th Quarter - Amendment | Jul 20, 2021 | $2,090,000 | Yes |
What was lobbied
5 issue areas, each in the filer's own words, with who lobbied on it and where.
Banking BAN
H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Structure of the U.S. Treasury.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| KEVIN CARROLL | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| CHRISTOPHER B KILLIAN | — |
| KATIE MALONE | — |
| CARTER MCDOWELL | — |
| DAVID OXNER | — |
Financial Institutions/Investments/Securities FIN
H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority); S. 3107 (Financial Services and General Government Appropriations Act, 2019); Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including 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); India Market Access Issues; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations; Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Diversity & Inclusion initiatives in the financial services industry; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019).
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| KYLE L BRANDON | — |
| KEVIN CARROLL | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| LINDSEY WEBER KELJO | — |
| CHRISTOPHER B KILLIAN | — |
| MELISSA MACGREGOR | — |
| KATIE MALONE | — |
| PETER MATHESON | — |
| CARTER MCDOWELL | — |
| DAVID OXNER | — |
| PAYSON PEABODY | — |
Commodities (big ticket) CDT
H.R. 238 (Commodity End-User Relief Act); H.R. 316 (Futures Investor Protection Act); H.R. 4659 (To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives); H.R. 5749 (To require the appropriate Federal banking agencies to increase the risk-sensitivity of the capital treatment of certain centrally cleared exchange-listed options and derivatives, and for other purposes); S. 1005 (Modernization of Derivatives Tax Act of 2017); Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule); CFTC Cross-border Guidance and Exemptive Order (13-69); Make available to trade determination for Swap Execution Facilities (SEFs); Position limits; Concept Release on Risk Controls and System Safeguards for Automated Trading Environments; Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01); CFTC Regulation 1.35; Block trades on swap execution facilities (SEFs); CFTC no action relief for packaged trades; Security based swaps rules under Title VII; Derivatives regulation (general); CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations; Inter-affiliate swap transactions; Margin requirements for uncleared swaps; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; CFTC proposed cross border rule; CFTC capital requirements for swap dealers and major swap participants; CFTC final rule on margin requirements for uncleared swaps; SEC proposed rule on margin for uncleared swaps; CFTC's Project Kiss; Initial margin for inter-affiliate transactions; Commodity Exchange Act reauthorization; Issues related to H.R. 5961 and S. 2976 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019); Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making); Fundamental Review of the Trading Book (FRTB) actions; SEC Capital, Margin, and Segregation requirements; Securities Exchange Act Rules 17a-1, 17a-3, and 17a-4; CFTC Cross-border Swaps Regulation Version 2.0.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| KYLE L BRANDON | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| KATIE MALONE | — |
| CARTER MCDOWELL | — |
| DAVID OXNER | — |
Taxation/Internal Revenue Code TAX
H.R. 2916 (Charities Helping Americans Regularly Throughout the Year Act of 2017); H.R. 5003 (To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds); H.R. 6250 (To amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); H.R. 6444 (Capital Gains Inflation Relief Act); S. 1343 (Charities Helping Americans Regularly Throughout the Year Act of 2017); S. 3145 (A bill to amend the Internal Revenue Code of 1986 to provide for lifelong learning accounts, and for other purposes); Tax treatment of capital gains and dividends; Tax classification of independent contractors; United States individual and business taxation; Tax reform legislation; Issues related to taxation of securities transactions, including market to market for derivatives; Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions); Proposals to modify tax incentives for retirement savings and investment; Infrastructure tax; Executive Order 13789 (Identifying and Reducing Tax Regulatory Burdens); Regulations under the Foreign Account Taxpayer Compliance Act (FATCA); Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446; Rev. Rul. 2018-24 relating to the proposed exchange of Freddie Mac Participation Certificates for Universal Mortgage Backed Securities; Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR; Regulations under IRC Sec. 871(m) and IRC Sec. 385; International tax reform; Legislation to modify IRC Sec 1446(f) relating to withholding on partnership interests that are not publicly traded; Technical and policy modifications to P.L. 115-97.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| TRACY EICHLER | — |
| JILLIAN ENOCH | — |
| LINDSEY WEBER KELJO | — |
| KATIE MALONE | — |
| JOHN MAURELLO | — |
| CARTER MCDOWELL | — |
| DAVID OXNER | — |
| PAYSON PEABODY | — |
Retirement RET
H.R. 355 (Protecting American Families' Retirement Advice Act); H.R. 854 (Retirement Security for American Workers Act); H.R. 2823 (Affordable Retirement Advice for Savers Act); H.R. 3857 (PASS Act of 2017); H.R. 4158 (Retirement Plan Modernization Act); H.R. 4189 (IRA Preservation Act of 2017); H.R. 4523 (Automatic Retirement Plan Act of 2017); H.R. 4604 (Increasing Access to a Secure Retirement Act of 2017); H.R. 4610 (Receiving Electronic Statements To Improve Retiree Earnings Act); H.R. 5282 (Retirement Enhancement and Savings Act of 2018); S. 178 (Elder Abuse Prevention and Prosecution Act); S. 1321 (Affordable Retirement Advice Protection Act); S. 2526 (Retirement Enhancement and Savings Act of 2018); DOL ERISA Fiduciary Duty Rulemaking; Tax incentives for retirement savings; SEC proposed Regulation Best Interest.
| Lobbyist | Covered position, as disclosed |
|---|---|
| KENNETH E BENTSEN | — |
| LISA BLEIER | — |
| KYLE L BRANDON | — |
| MICHAEL DECKER | — |
| BRADLEY GASKINS EDGELL | — |
| TRACY EICHLER | — |
| JILLIAN ENOCH | — |
| KATIE MALONE | — |
| JOHN MAURELLO | — |
| CARTER MCDOWELL | — |
| DAVID OXNER | — |
| JOSEPH VAUGHAN | — |
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.