PRUDENTIAL FINANCIAL, INC. for PRUDENTIAL FINANCIAL INC

Communications/Broadcasting/Radio/TV COM

No Bill # - Data Security, Privacy and Breach Legislation

Contacted: Labor, Dept of (DOL); Federal Accounting Standards Advisory Board (FASAB); Treasury, Dept of; Federal Reserve System; Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); Office of Management & Budget (OMB); Federal Housing Finance Agency (FHFA); SENATE; Consumer Financial Protection Bureau (CFPB); HOUSE OF REPRESENTATIVES; Federal Highway Administration (FHA); Housing & Urban Development, Dept of (HUD)

Taxation/Internal Revenue Code TAX

H.R. 6201 - Families First Coronavirus Response Act S. 463, H.R. 1185, S.920, H.R. 1940 - Paid Family Leave N/A - Annuity Tax Treatment Adjustments N/A - Tax Extenders - CFC Look Through Rule Public Law No. 115-97 - Issues related to the implementation of H.R. 1, the Tax Cuts and Jobs Act No Bill # - Ordinary Tax Treatment of Bonds H.R. 748 - CARES Act H.R. 133 Consolidated Appropriations Act, 2021; related COVID-19 relief and recovery provisions

Contacted: Securities & Exchange Commission (SEC); SENATE; Federal Housing Finance Agency (FHFA); Consumer Financial Protection Bureau (CFPB); Federal Accounting Standards Advisory Board (FASAB); HOUSE OF REPRESENTATIVES; Housing & Urban Development, Dept of (HUD); Treasury, Dept of; Office of Management & Budget (OMB); Labor, Dept of (DOL); Federal Reserve System; Federal Highway Administration (FHA); Commodity Futures Trading Commission (CFTC)

Bills named: S. 463 (116th), H.R. 748 (116th), H.R. 1185 (116th), S. 920 (116th), H.R. 6201 (116th), H.R. 1940 (116th), H.R. 1 (116th), H.R. 133 (116th)

Financial Institutions/Investments/Securities FIN

No Bill # - Federal Agency Regulatory Changes Associated with COVID-19 Relief No Bill # - SEC Best Interest Standard S.603, H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019 S.603, H.R. 1862 - Issues relating to Dodd Frank Implementation and FIO, OFR, Volcker Rule, FSOC, FSB and their associated work on topics like capital standards, non bank SIFI designation, insurance regulation and oversight No Bill # - International Insurance Capital Standards H.R.1595, S. 1152 - SAFE Banking Act of 2019 No Bill # - Executive Order on Core Principles for Regulating the United States Financial System (February 3, 2017) and subsequent reports on banking (June 6, 2017), capital markets (October 20, 2017), and insurance and asset management (November 17, 2017) and Fintech report (July 31, 2018). No Bill # - GSE and FHA Housing Finance Reform; Trump Administration Housing Finance Reform Plan No Bill # - LIBOR Transition Federal Safe Harbor Draft Legislation No Bill # - Exemption from Derivatives Clearing Organization Registration (RIN 3038-AE65); Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations (RIN 3038-AE87) No Bill # - Support Federal agency efforts to allow for greater electronic efficiencies, including e-delivery and e-signature, with customers H.R. 1018 - Improving Corporate Governance through Diversity Act of 2019 H.R. 3279 - Diversity in Corporate Leadership Act of 2019 No Bill # - Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements File No. S7-09-20, August 5, 2020

Contacted: Treasury, Dept of; Federal Reserve System; Housing & Urban Development, Dept of (HUD); Office of Management & Budget (OMB); HOUSE OF REPRESENTATIVES; Commodity Futures Trading Commission (CFTC); SENATE; Securities & Exchange Commission (SEC); Federal Accounting Standards Advisory Board (FASAB); Consumer Financial Protection Bureau (CFPB); Federal Housing Finance Agency (FHFA); Federal Highway Administration (FHA); Labor, Dept of (DOL)

Bills named: H.R. 3561 (116th), H.R. 1595 (116th), H.R. 1862 (116th), S. 1152 (116th), H.R. 1018 (116th), S. 603 (116th), H.R. 3279 (116th)

Retirement RET

S.321 - Retirement Security Act of 2019 No Bill # - Association Retirement Plans H.R. 1007, S.972 - Lifetime Income Disclosure & Regulatory Issues - all provisions No Bill # - Automatic Retirement Plan Act No Bill # - Electronic Disclosure - ERISA/Internal Revenue Code - issues/provisions relating to the use of electronic disclosure by employee benefit plans No Bill # - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act No Bill # - General Account Legislative Fix N/A - Qualified Professional Asset Manager (OPAM) Exception Amendment N/A - ERISA Clarifications for Securities Originated or Underwritten by Inter-Affiliates N/A - Qualified Default Investment Allocation N/A - Section 420 Legislative Fix

Contacted: Federal Accounting Standards Advisory Board (FASAB); Commodity Futures Trading Commission (CFTC); Office of Management & Budget (OMB); Treasury, Dept of; HOUSE OF REPRESENTATIVES; Labor, Dept of (DOL); Securities & Exchange Commission (SEC); SENATE; Housing & Urban Development, Dept of (HUD); Federal Housing Finance Agency (FHFA); Consumer Financial Protection Bureau (CFPB); Federal Highway Administration (FHA); Federal Reserve System

Bills named: S. 972 (116th), H.R. 1007 (116th), S. 321 (116th)