- Lobbying
- Lobbying by Financial Industry Regulatory Authority ("FINRA", formerly NASD)
Lobbying Relationship
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? |
---|---|
Justin Daly | Senior Counsel to US House Financial Services Committee; Senior Counsel to US Senate Banking Committee; and Senior Counsel to Securities and Exchange Commission Senior Counsel to US House Committee on Financial Services; Senior Counsel to US Senate Committee on Banking, Housing and Urban Affairs; Senior Counsel to US Securities and Exchange Commission |
Jason Goggins | Counsel to US House Agriculture Committee; and Chief of Staff and Special Counsel to CFTC Commissioner J. Christopher Giancarlo Counsel to US House Agriculture Committee; and Chief of Staff and Special Counsel to CFTC Commissioner J. Christopher Giancarlo |
Erik Johnson | 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.
Termination
Q2 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q1 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q4 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q3 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q2 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q1 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q4 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Amendment
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q3 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q2 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Amendment
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q1 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q4 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q3 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q2 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q1 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Q4 Report
Lobbying Issues
Agencies Lobbied
U.S. House of Representatives
Securities & Exchange Commission (SEC)
Type of Issue
Registration
Issue(s) they said they’d lobby about: Regulation of broker-dealers.
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate