Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees" (85 Fed. Reg. 40834, July 7, 2020). Forthcoming Department of Labor proposed rule on "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights" (RIN 1210-AC03) to replace prior administration's final rules regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113; June 30, 2020) and "Fiduciary Duties Regarding Proxy Voting and Shareholder Rights" (85 Fed. Reg. 81658; December 16, 2020). Non-enforcement policy in Department of Labor Field Assistance Bulletin 2018-02 related to new compliance requirements from PTE 2020-02 and the expiration of this non-enforcement policy.
Implementation of H. Rept. 116-617 Conference Report to accompany H.R. 6395, the National Defense Authorization Act for Fiscal Year 2021; Title LXIV, establishing beneficial ownership information reporting requirements. H.R. 3684, the "Infrastructure Investment and Jobs Act," a bill to authorize funds for Federal-aid highways, highway safety programs, and transit programs; Section 80603, amending Section 6045 of the Internal Revenue Code to require 1099-B information reporting by parties involved in cryptocurrency transactions.
Extension of COVID-19-related flexibilities for the Employment Eligibility Verification (Form I-9) requirements of the Immigration and Nationality Act.
Duration: August 1, 2017
to
December 31, 2021
General Issues: Retirement , Financial Institutions/Investments/Securities , Immigration , Education , Labor Issues/Antitrust/Workplace , Postal , Taxation/Internal Revenue Code , Health Issues , Transportation
Spending: about $780,000 (But it's complicated. Here's why.)
It can be tricky to figure out how much an organization spent on a particular lobbying engagement. The law only requires lobbyists to report the amount they were paid for federal lobbying each quarter rounded to the nearest $10,000—and if it's less than $3,000 in a given quarter (or less than $13,000 for organizations with in-house lobbyists), they don't have to disclose it at all. Plus, some organizations include spending that doesn’t belong in the report—for instance, money spent lobbying state governments or other legal work.
Agencies lobbied since 2017: Labor - Dept of (DOL), U.S. Senate, Homeland Security - Dept of (DHS), Treasury - Dept of, House of Representatives, White House Office, Transportation - Dept of (DOT)
Lobbyists
Lobbyists named here were listed on a filing related to this lobbying engagement. They may not be working on it now. Occasionally, a single lobbyist whose name is spelled two different ways on filings may be represented twice here.
Lobbyist
Covered positions?
Andrew Siff Chief of Staff, Secretary of Labor
Counselor, Secretary of Labor
Chief Counsel, Senate Comm. on Rules and Administration
Robert Simpson Intern, Sen. Pat Toomey (PA)
Staff Assistant, Sen. Pat Toomey (PA)
Constituent Service Advocate, Sen. Pat Toomey (PA)
Legislative Correspondent, Sen. Pat Toomey (PA)
Legislative Assistant, Rep. Claudia Tenney (NY)
Senior Legislative Assistant, Rep. Claudia Tenney (NY)
Legislative Director, Rep. Claudia Tenney (NY)
Chris Granberg n/a
Erik Burggraf n/a
Disclosures Filed
Once a lobbying engagement begins, the lobbyist or firm is required to file updates four times a year. Those updates sometimes change which lobbyists are involved or add new issues being discussed. When lobbyists stop working for a client, the firm is also supposed to file a report disclosing the end of the relationship.
4th Quarter, 2021
Siff & Associates PLLC terminated an engagement in which they represented FMR LLC on Jan. 19, 2022.
Original Filing: 301328116.xml
3rd Quarter, 2021
In Q3, Siff & Associates PLLC lobbied for FMR LLC , earning $30,000. The report was filed on Oct. 18, 2021.
Original Filing: 301302131.xml
Lobbying Issues
Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees" (85 Fed. Reg. 40834, July 7, 2020). Forthcoming Department of Labor proposed rule on "Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights" (RIN 1210-AC03) to replace prior administration's final rules regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113; June 30, 2020) and "Fiduciary Duties Regarding Proxy Voting and Shareholder Rights" (85 Fed. Reg. 81658; December 16, 2020). Non-enforcement policy in Department of Labor Field Assistance Bulletin 2018-02 related to new compliance requirements from PTE 2020-02 and the expiration of this non-enforcement policy.
Lobbying Issues
Implementation of H. Rept. 116-617 Conference Report to accompany H.R. 6395, the National Defense Authorization Act for Fiscal Year 2021; Title LXIV, establishing beneficial ownership information reporting requirements. H.R. 3684, the "Infrastructure Investment and Jobs Act," a bill to authorize funds for Federal-aid highways, highway safety programs, and transit programs; Section 80603, amending Section 6045 of the Internal Revenue Code to require 1099-B information reporting by parties involved in cryptocurrency transactions.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Extension of COVID-19-related flexibilities for the Employment Eligibility Verification (Form I-9) requirements of the Immigration and Nationality Act.
Agencies Lobbied
Homeland Security - Dept of (DHS)
2nd Quarter, 2021
In Q2, Siff & Associates PLLC lobbied for FMR LLC , earning $30,000. The report was filed on July 16, 2021.
Original Filing: 301277356.xml
Lobbying Issues
Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees" (85 Fed. Reg. 40834, July 7, 2020). New proposals in the Department of Labor Spring 2021 Semiannual Regulatory Agenda related to retirement plans.
Lobbying Issues
Implementation of H. Rept. 116-617 Conference Report to accompany H.R. 6395, the National Defense Authorization Act for Fiscal Year 2021; Title LXIV, establishing beneficial ownership information reporting requirements.
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2021
In Q1, Siff & Associates PLLC lobbied for FMR LLC , earning $30,000. The report was filed on April 19, 2021.
Original Filing: 301258491.xml
Lobbying Issues
Department of Labor proposed rule regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113, June 30, 2020). Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees" (85 Fed. Reg. 40834, July 7, 2020). Department of Labor "Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees" (85 Fed. Reg. 82798, December 18, 2020).
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Implementation of H. Rept. 116-617 Conference Report to accompany H.R. 6395, the National Defense Authorization Act for Fiscal Year 2021 (Pub. L. 116-283); Title LXIV, establishing beneficial ownership information reporting requirements.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2020
In Q4, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Jan. 11, 2021.
Original Filing: 301229697.xml
Lobbying Issues
H.R. 8696, the "Securing a Strong Retirement Act of 2020," legislation to expand auto-enrollment, provide incentives for small businesses to offer retirement plans, increase the Required Minimum Distribution age to 75, and allow for bigger catch-up contributions to retirement plans; entire bill. Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees," setting forth conditions that investment advice fiduciaries must satisfy so that under both ERISA and the Internal Revenue Code (IRC) they can receive compensation, including as a result of advice to roll over assets from a Plan to an IRA, and engage in principal transactions, that would otherwise violate the prohibited transaction provisions of ERISA and the IRC (85 Fed. Reg. 40834, July 7, 2020). Department of Labor proposed rule regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113, June 30, 2020). Department of Labor final rule on "Fiduciary Duties Regarding Proxy Voting and Shareholder Rights," amending the Investment Duties regulation to address the application of the prudence and exclusive purpose duties under the Employee Retirement Income Security Act of 1974 (ERISA) to the exercise of shareholder rights, including proxy voting, the use of written proxy voting policies and guidelines, and the selection and monitoring of proxy advisory firms (85 Fed. Reg. 81658, December 16, 2020). Department of Labor request for nominations to the Advisory Council on Employee Welfare and Pension Benefits Plans (85 Fed. Reg. 59553, September 22, 2020).
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
H. Rept. 116-617 Conference Report to accompany H.R. 6395, the National Defense Authorization Act for Fiscal Year 2021; Title LXIV, establishing beneficial ownership information reporting requirements.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2020
In Q3, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Oct. 8, 2020.
Original Filing: 301208249.xml
Lobbying Issues
Department of Labor proposed rule regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113, June 30, 2020). Department of Labor proposed class exemption regarding "Improving Investment Advice for Workers and Retirees" (85 Fed. Reg. 40834, July 7, 2020). Department of Labor proposed rule regarding "Fiduciary Duties Regarding Proxy Voting and Shareholder Rights" (85 Fed. Reg. 55219, September 4, 2020). Department of Labor interim final rule regarding "Pension Benefit Statements-Lifetime Income Illustrations" (85 Fed. Reg. 59132, September 18, 2020).
Lobbying Issues
Department of Labor proposed rule regarding "Registration Requirements for Pooled Plan Providers" (85 Fed. Reg. 54288, September 1, 2020). H.R. 6395, the "William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021," legislation to authorize appropriations for the Department of Defense; provisions concerning the definition of entities exempt from disclosure to FinCEN for purposes of beneficial ownership reporting.
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2020
In Q2, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on July 17, 2020.
Original Filing: 301190742.xml
Lobbying Issues
Final rule regarding "Definition of the Term 'Fiduciary'; Conflict of Interest Rule-Retirement Investment Advice" (81 Fed. Reg. 20945, Apr. 8, 2016) and the status of various Prohibited Transaction Exemptions following the 5th Circuit Court of Appeals injunction of the rule. Final rule regarding "Default Electronic Disclosure by Employee Pension Benefit Plans Under ERISA" (85 Fed. Reg. 31884, May 27, 2020). Implementation of section 203 of the "Setting Every Community Up for Retirement Enhancement (SECURE) Act," amending the pension benefit statement rules under ERISA section 105 to require that individual account plans add a lifetime income disclosure to at least one pension benefit statement furnished to participants during a 12-month period. Consideration of "Environmental, Social and Governance" factors related to ERISA-regulated funds. General education concerning disclosure modernization and simplification to improve the efficiency, delivery, and utility of required disclosures for retirement benefits for the benefit of plan participants. Proposed rule regarding "Financial Factors in Selecting Plan Investments" (85 Fed. Reg. 39113, June 30, 2020). Proposed rule regarding "Improving Investment Advice for Workers and Retirees" (ZRIN 1210-ZA29), version posted to Department of Labor website June 29, 2020 in advance of publication in the Federal Register.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
S. 2563, the "Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH) Act," legislation to reform the Bank Secrecy Act; Title IV concerning beneficial ownership disclosure. S. 4049, "National Defense Authorization Act for Fiscal Year 2021," legislation to provide continuing appropriations for the Department of Defense; S. Amdt. 2198, the "Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH) Act." Fourth legislative proposal to respond to the coronavirus pandemic; proposal to authorize and establish minimum standards for electronic and remote notarizations that occur in or affect interstate commerce, to require any federal court located in a state to recognize notarizations performed by a notary public commissioned by another state when the notarization occurs in or affects interstate commerce, and to require any state to recognize notarizations performed by a notary public commissioned by another state when the notarization occurs in or affects interstate commerce or when the notarization was performed under or relates to a public act, record, or judicial proceeding of the state in which the notary public was commissioned (no proposal introduced). General education concerning the benefits of expediting the SEC's transition to electronic delivery.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Proposals to extend student debt relief provisions in section 2206 of the Coronavirus Aid, Relief, and Economic Security (CARES) Act (P.L. 116-136) past calendar year 2020.
1st Quarter, 2020
In Q1, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on April 15, 2020.
Original Filing: 301167508.xml
Lobbying Issues
Implementation of H.R. 1865, the "Further Consolidated Appropriations Act, 2020"; Division O, "Setting Every Community Up for Retirement Enhancement," provisions related to Lifetime Income Disclosure (LIDA) and coordination of the SECURE Act and Open Multiple Employer Plans. Department of Labor final fiduciary rule (81 Fed. Reg. 20945, Apr. 8, 2016) and the status of various Prohibited Transaction Exemptions following the 5th Circuit injunction of the final fiduciary rule. Consideration of Environmental, Social and Governance considerations related to ERISA-regulated funds. General education concerning disclosure modernization and simplification to improve the efficiency, delivery, and utility of required disclosures for retirement benefits for the benefit of plan participants.
Lobbying Issues
H.R. 748, the "Coronavirus Aid, Relief, and Economic Security (CARES) Act," legislation to provide emergency assistance and health care response for individuals, families, and businesses affected by the 2020 coronavirus pandemic; Sec. 2206, "Exclusion for certain employer payments of student loans."
Lobbying Issues
S. 2563, the "Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH) Act," legislation to reform the Bank Secrecy Act; Title IV concerning beneficial ownership disclosure.
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2019
In Q4, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Jan. 10, 2020.
Original Filing: 301104295.xml
Lobbying Issues
H.R. 1865, the "Further Consolidated Appropriations Act, 2020," Division O, "Setting Every Community Up for Retirement Enhancement." H.R. 1994, the "Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019," legislation to allow more and easier ways for workers to save for retirement; entire bill. Proposals to simplify disclosures for investors using email communications. Department of Labor final fiduciary rule following Fifth Circuit injunction and impending regulatory response to the injunction. General education concerning disclosure modernization and simplification to improve the efficiency, delivery, and utility of required disclosures for retirement benefits for the benefit of plan participants.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Department of Labor, Wage and Hour division proposed rule concerning the regular rate of pay under section 7(e) of the Fair Labor Standards Act (84 Fed. Reg. 11888, March 29, 2019) to ensure employers can offer a range of benefits to workers.
Type of Issue
Labor Issues/Antitrust/Workplace
3rd Quarter, 2019
In Q3, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Oct. 17, 2019.
Original Filing: 301068645.xml
Lobbying Issues
Department of Labor final fiduciary rule following Fifth Circuit injunction and impending regulatory response to the injunction. General education concerning disclosure modernization and simplification to improve the efficiency, delivery, and utility of required disclosures for retirement benefits for the benefit of plan participants. H.R. 1994, the "Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019," legislation to allow more and easier ways for workers to save for retirement; entire bill. Internal Revenue Service Rule on Multiple Employer Plans concerning the tax qualification of such plans under section 413(c) of the Internal Revenue Code when one participating employer fails to meet required standards (84 Fed. Reg. 31777, July 3, 2019). Proposals and concepts to revise agency interpretations to make it easier for employers to offer retirement savings to their workers. Proposals to simplify disclosures for investors using email communications.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Department of Labor, Wage and Hour Division proposed rule concerning the regular rate of pay under section 7(e) of the Fair Labor Standards Act (84 Fed. Reg. 11888, March 29, 2019) to ensure employers can offer a range of benefits to workers.
Agencies Lobbied
U.S. Senate
Type of Issue
Labor Issues/Antitrust/Workplace
2nd Quarter, 2019
In Q2, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on July 11, 2019.
Original Filing: 301044682.xml
Lobbying Issues
H.R. 1994, the "Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019," legislation to allow more and easier ways for workers to save for retirement; entire bill. Proposals to simplify disclosures for investors using email communications (no bill introduced). SEC proposed Regulation Best Interest (83 Fed. Reg. 21574, May 9, 2018). Department of Labor final fiduciary rule (81 Fed. Reg. 20945, Apr. 8, 2016) following Fifth Circuit injunction and impending regulatory response to the injunction. Proposals and concepts to revise agency interpretations to make it easier for employers to offer retirement savings to their workers. General education concerning disclosure modernization and simplification to improve the efficiency, delivery, and utility of required disclosures for retirement benefits for the benefit of plan participants. General education concerning the importance of eliminating the IRS' so-called "one bad apple" rule regarding the tax qualification of group retirement plans when one participant fails to meet required standards and the impact on the remaining compliant participants.
Agencies Lobbied
Labor - Dept of (DOL)
1st Quarter, 2019
In Q1, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on April 10, 2019.
Original Filing: 301024045.xml
Lobbying Issues
H.R. 1007, the "Retirement Enhancement and Savings Act of 2019," legislation to improve the ability of Americans to save for retirement and to make it easier for employers to provide retirement benefits to their workers; entire bill. H.R. 1994, the "Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019," legislation to allow more and easier ways for workers to save for retirement; entire bill. S. 321, the "Retirement Security Act of 2019," legislation to improve the ability of Americans to save for retirement and to make it easier for employers to provide retirement benefits to their workers; entire bill. SEC proposed Regulation Best Interest (83 Fed. Reg. 21574, May 9, 2018). Proposals and concepts to revise agency interpretations to make it easier for employers to offer retirement savings to their workers (no bill introduced). Proposals to simplify disclosures for investors using email communications (no bill introduced). Department of Labor final fiduciary rule (81 Fed. Reg. 20945, Apr. 8, 2016) following Fifth Circuit injunction and impending regulatory response to the injunction.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Department of Labor proposed rule concerning the regular rate of pay under section 7(e) of the Fair Labor Standards Act (84 Fed. Reg. 11888, March 29, 2019); provisions to encourage and make it simpler for employers to offer tuition assistance and other benefits to their workers.
Agencies Lobbied
Labor - Dept of (DOL)
Type of Issue
Labor Issues/Antitrust/Workplace
4th Quarter, 2018
In Q4, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Jan. 7, 2019.
Original Filing: 301002579.xml
Lobbying Issues
S. 2526, the "Retirement Enhancement and Savings Act of 2018," legislation encouraging employers to offer defined contribution plans, to expand access to various retirement savings options, and to permit e-delivery of financial documents; entire bill. General education concerning the interpretation and application of section 3(5) of ERISA and how it impacts employers' ability to join together to form open multiple employer plans (open MEPs) to promote retirement savings. House amendment to the Senate amendment to H.R. 88, the Shiloh National Military Park Boundary Adjustment and Parkers Crossroads Battlefield Designation Act, to add the text of the Retirement, Savings, and Other Tax Relief Act of 2018 and the Taxpayer First Act of 2018; Title II, section 201 (Multiple employer plans; pooled employer plans), Title II section 204 (Repeal of maximum age for traditional IRA contributions), and Title II, section 212 (Exemption from required minimum distribution rules for individuals with certain account balances).
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Proposals to dictate the manner of delivery for communications to mutual fund investors, including those in ERISA covered plans. General education concerning issues faced by financial entities by the lack of coordination between states that allow legal marijuana businesses and federal banking laws that do not account for these state regimes.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Application of the "Regular Rate" under the Fair Labor Standards Act. General education concerning the application of the Fair Labor Standards Act to the modern financial services industry.
Type of Issue
Labor Issues/Antitrust/Workplace
3rd Quarter, 2018
In Q3, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Oct. 15, 2018.
Original Filing: 300985459.xml
Lobbying Issues
S. 2526, the "Retirement Enhancement and Savings Act of 2018," legislation encouraging employers to offer defined contribution plans, to expand access to various retirement savings options, and to permit e-delivery of financial documents; entire bill. General education concerning the interpretation and application of section 3(5) of ERISA and how it impacts employers' ability to join together to form open multiple employer plans (open MEPs) to promote retirement savings.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
SEC proposed Regulation Best Interest, 83 Fed. Reg. 21574 (May 9, 2018), and Form CRS Relationship Summary, 83 Fed. Reg. 21416 (May 9, 2018). Proposals to dictate the manner of delivery for communications to mutual fund investors, including those in ERISA covered plans. General education regarding amendments made to ERISA section 803 and IRC section 439 under section 2 of H.R. 4997, the "GROW Act," legislation to amend the Employee Retirement Income Security Act of 1974 and the Internal Revenue Code of 1986 to authorize a new composite multiemployer pension plan design and more generally the utility of e-delivery of financial disclosure forms. General education concerning issues faced by financial entities by the lack of coordination between states that allow legal marijuana businesses and federal banking laws that do not account for these state regimes.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
General education concerning the application of the Fair Labor Standards Act to the modern financial services industry.
Agencies Lobbied
U.S. Senate
Type of Issue
Labor Issues/Antitrust/Workplace
2nd Quarter, 2018
In Q2, Siff & Associates PLLC lobbied for FMR LLC , earning $30,000. The report was filed on July 13, 2018.
Original Filing: 300964679.xml
Lobbying Issues
S. 2526, the "Retirement Enhancement and Savings Act of 2018," legislation to amend the Internal Revenue Code of 1986 to encourage employers to offer defined contribution plans, expand access to various retirement savings options, and permit e-delivery of financial documents; entire bill. Proposed rule to extend the transition period and delay the applicability dates of the "Definition of the Term 'Fiduciary' Conflict of Interest Rule-Retirement Investment Advice" final rule and related Prohibited Transaction Exemptions; 82 Fed. Reg. 41365 (August 31, 2017). Interpretation of section 3(5) of ERISA in the U.S. Department of Labor's Notice of Proposed Rulemaking on when employers may join together to form a group health plan under ERISA; RIN 1210-AB85; January 5, 2018 and possible impacts on retirement plans.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
SEC proposed Regulation Best Interest, 83 Fed. Reg. 21574 (May 11, 2018), and Form CRS Relationship Summary, 83 Fed. Reg. 21416 (May 11, 2018). H.R. 4997, the "Giving Retirement Options to Workers Act of 2018 (GROW Act)", legislation to amend the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code of 1986 to authorize a new composite multiemployer pension plan design; electronic disclosure provisions in sections 439 and 803. General education concerning issues faced by financial entities regarding the lack of coordination between states that allow legal marijuana businesses and federal laws that do not account for these state regimes. General education concerning the manner of delivery for communications to mutual fund investors, including those in ERISA covered plans.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Prospects to move postal reform legislation in the 115th Congress.
1st Quarter, 2018
In Q1, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on April 10, 2018.
Original Filing: 300943407.xml
Lobbying Issues
Proposed rule to extend the transition period and delay the applicability dates of the "Definition of the Term 'Fiduciary' Conflict of Interest Rule-Retirement Investment Advice" final rule and related Prohibited Transaction Exemptions; 82 Fed. Reg. 41365 (August 31, 2017). Interpretation of section 3(5) of ERISA in the U.S. Department of Labor's Notice of Proposed Rulemaking on when employers may join together to form a group health plan under ERISA; RIN 1210-AB85; January 5, 2018 and possible impacts on retirement plans that use the same definitions under section 3(5).
Proposals to facilitate the creation of open multiple employer plans (open MEPs) to promote retirement savings.
Agencies Lobbied
Labor - Dept of (DOL)
Lobbying Issues
Seeking clarification of issues arising from the repeal of the "Cole Memorandum" on the exercise of enforcement discretion regarding states that have elected to allow lawful cannabis and issues associated with the impending application of federal anti-money laundering regulations to cannabis businesses that are lawful in some states. Legislative proposals to dictate the manner of delivery for communications to mutual fund investors, including those in ERISA covered plans (no bill introduced).
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Legislative proposals to reform the U.S. Postal System (no bill introduced).
4th Quarter, 2017
In Q4, Siff & Associates PLLC lobbied for FMR LLC , earning $50,000. The report was filed on Jan. 12, 2018.
Original Filing: 300923171.xml
Lobbying Issues
Proposed rule to extend the transition period and delay the applicability dates of the "Definition of the Term 'Fiduciary' Conflict of Interest Rule-Retirement Investment Advice" final rule and related Prohibited Transaction Exemptions; 82 Fed. Reg 41365 (August 31, 2017).
Lobbying Issues
H.R. 1, the "Tax Cuts and Jobs Act," legislation to provide for reconciliation pursuant to title II of the current resolution of the budget for fiscal year 2018; proposals concerning changes to defined contribution plans such as 401(k)s and the ability of people to make pre-tax contributions to such plans.
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Implementation of Executive Order 13813, "Promoting Healthcare Choice and Competition Across the United States," signed on October 12, 2017, directing federal agencies to modify how the Patient Protection and Affordable Care Act is implemented and directing federal agencies to end rules forbidding employers from using health reimbursement arrangements to pay individual insurance premiums and potential for effects on Health Savings Accounts.
Agencies Lobbied
White House Office
3rd Quarter, 2017
In Q3, Siff & Associates PLLC lobbied for FMR LLC , earning $30,000. The report was filed on Oct. 13, 2017.
Original Filing: 300903864.xml
Lobbying Issues
Proposed rule to extend the transition period and delay the applicability dates of the "Definition of the Term 'Fiduciary' Conflict of Interest Rule-Retirement Investment Advice" final rule and related Prohibited Transaction Exemptions; 82 Fed. Reg 41365 (August 31, 2017). "Definition of the Term 'Fiduciary'; Conflict of Interest Rule-Retirement Investment Advice" final rule; RIN 1210-AB32; 81 FR 20945 (April 8, 2016).
Lobbying Issues
Concepts being discussed as part of proposals for tax reform and possible impacts on the ability of people to save for retirement (no bill introduced).
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Issues related to innovative financing of infrastructure and fixed income markets.
Agencies Lobbied
Transportation - Dept of (DOT)
3rd Quarter, 2017
Siff & Associates PLLC filed a lobbying registration on Sept. 8, 2017 to represent FMR LLC, effective Aug. 1, 2017.
Original Filing: 300900427.xml
Issue(s) they said they’d lobby about: Issues related to tax reform; fixed income issues associated with innovative infrastructure financing; and retirement security. .
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate
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