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

Retirement RET

PTE Changes; Open Brokerage Window; Enhancing American Retirement Now (EARN) Act; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S 427/H.R. 1177, Financial Freedom Act of 2023.

Contacted: Securities & Exchange Commission (SEC); SENATE; Treasury, Dept of; HOUSE OF REPRESENTATIVES; Executive Office of the President (EOP); Labor, Dept of (DOL); Commodity Futures Trading Commission (CFTC)

Bills named: H.R. 1177 (118th)

Banking BAN

H.R. 1807 - Improving Disclosure for Investors Act of 2023; Hearings related to the failure of Silicon Valley Bank; Bank Capital Requirements; H.R. ____ - the Encouraging Public Offerings Act; H.R. ____ - to exempt certain low-revenue issuers from being required to have their management's assessment of the effectiveness of internal controls over financial reporting attested to; H.R. ____ - the "Fair Opportunities for Professional Experts Act"; H.R. ____ - the "Regulation A+ Improvement Act of 2023"; H.R. ____ - the "Unlocking Capital for Small Businesses Act of 2023"; H.R. ____ - the "Improving Disclosure for Investors Act of 2023; H.R. ____ - to codify certain SEC no action letters that allow broker-dealers to continue accepting cash or "hard dollar" payments for research reports, in order to comply with international regulations such as MiFID and MiFID II; H.R. ____ - bill to exempt 144a Fixed Income from Rule 15c2-11; S. 1038 - American Infrastructure Bonds Act of 2023; H.R. 1837 - Investing in Our Communities Act; Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidate Audit Trail and SEC regulatory agenda; SEC no-action letter regarding compliance with the provisions relating to research in the Markets in Financial Instruments Directive II (MiFID II); H.R.2622 - To amend the Investment Advisers Act of 1940 to codify certain Securities and Exchange Commission no-action letters that exclude brokers and dealers compensated for certain research services from the definition of investment adviser, and for other purposes; SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule; SEC Amendments to NMS Plan for the Consolidated Audit Trail-Data Security; SEC Staff Accounting Bulletin 121.

Contacted: Federal Reserve System; Natl Economic Council (NEC); Treasury, Dept of; Office of the Comptroller of the Currency (OCC); HOUSE OF REPRESENTATIVES; Labor, Dept of (DOL); SENATE; Federal Housing Finance Agency (FHFA); Securities & Exchange Commission (SEC)

Bills named: S. 1038 (118th), H.R. 1837 (118th), H.R. 2622 (118th), H.R. 1807 (118th)

Commodities (big ticket) CDT

n/a - issue area removed

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Commodity Futures Trading Commission (CFTC); Office of the Comptroller of the Currency (OCC); Federal Reserve System; Securities & Exchange Commission (SEC)

Financial Institutions/Investments/Securities FIN

SEC Open-End Fund Liquidity Risk Management Programs and Swing Pricing proposed rule;; S. 1308 - American Infrastructure Bonds Act of 2023; H.R. 1837, Investing in Our Communities Act; Fiscal Year 2024 Financial Services and General Government Appropriations bill related to Consolidated Audit Trail and SEC regulatory agenda.

Contacted: Office of the Comptroller of the Currency (OCC); HOUSE OF REPRESENTATIVES; SENATE; Natl Security Council (NSC); Federal Housing Finance Agency (FHFA); Securities & Exchange Commission (SEC); Homeland Security, Dept of (DHS); Federal Reserve System; Commodity Futures Trading Commission (CFTC); Natl Economic Council (NEC); Federal Deposit Insurance Corporation (FDIC); Treasury, Dept of

Bills named: S. 1308 (118th), H.R. 1837 (118th)

Taxation/Internal Revenue Code TAX

S. 1308, American Infrastructure Bonds of 2023; H.R. 1837, Investing in Our Communities Act.

Contacted: SENATE; Securities & Exchange Commission (SEC); Internal Revenue Service (IRS); Treasury, Dept of; HOUSE OF REPRESENTATIVES

Bills named: S. 1308 (118th), H.R. 1837 (118th)