VANGUARD GROUP for VANGUARD GROUP
What was lobbied
4 issue areas, each in the filer's own words, with who lobbied on it and where.
Financial Institutions/Investments/Securities FIN
Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, SIFI rules, and systemic risk Issues related to use of derivatives by mutual funds (see attached addendum page) Issues related to exchange-traded funds (ETFs) Issues related to swap execution facility trading and reporting Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure and computerized trading matters Issues related to H.R. 6127 - Liquidity Enhancement for Small Public Companies Act Issues related to effect of the Volcker rule on fixed income and equity markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 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 Issues related to retirement target date funds Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back)
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE | — |
| BRIAN S MATTES | — |
Taxation/Internal Revenue Code TAX
Tax Hike Prevention & Business Certainty Act H.R. 3091 and S. 1647 Capital gains and dividend tax rates as they relate to mutual funds General tax issues related to mutual funds (see attached addendum page) Security or financial transaction tax proposals, including H.R. 6411 H.R. 6616 To protect securities transactions in the U.S. from enforcement of certain excise taxes imposed by any foreign government (imposition of foreign financial transaction tax in the U.S.) Tax rules regarding mutual fund investments in commodities Issues related to tax incentives for retirement savings Issues involving commodity related investments Issues related to the tax treatment of exchange traded notes (ETNs) Issues related to limitations or exclusion of municipal bond interest Issues related to fundamental tax reform
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE | — |
| BRIAN S MATTES | — |
Budget/Appropriations BUD
Issues related to reductions in the federal debt and federal budget deficit
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE | — |
| BRIAN S MATTES | — |
Retirement RET
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 (see attached addendum page) Proposal related to stemming leakage from retirement plans through reform of plan loan rules, including, S. 1121/H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act Issues related to tax incentives for retirement savings Issues related to the effect of the Department of Labors fiduciary definition regulation Issues related to employee benefit plan administration and electronic delivery of ERISA-mandated statements and disclosures Consolidation of ERISA-required notices Issues related to Department of Labor defined contribution plan fee disclosure regulations H.R. 4050, Retirement Plan Simplification and Enhancement Act Issues related to retirement target date funds Issues related to the USA Retirement Funds proposal (Senator Harkin) Issues related to delivery of investment advice Issues related to potential Treasury guidance on 401(k) plan design features
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANN L COMBS | — |
| JAMES M DELAPLANE | — |
| 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.