Independent contractor status -the Modern Worker Empowerment Act HR 5513, the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500, S 1481); regulation by enforcement; the Department of Labor's Retirement Security Rule
Duration: January 10, 2011
to
present
General Issues: Financial Institutions/Investments/Securities , Taxation/Internal Revenue Code , Retirement , Small Business , Banking
Spending: about $8,840,894 (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 2011: U.S. Senate, House of Representatives, Securities & Exchange Commission (SEC), Labor - Dept of (DOL), Natl Economic Council (NEC), White House Office, Treasury - Dept of, Office of Management & Budget (OMB), Executive Office of the President (EOP)
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.
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.
1st Quarter, 2024
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 23.
Original Filing: 301576936.xml
Lobbying Issues
Independent contractor status -the Modern Worker Empowerment Act HR 5513, the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500, S 1481); regulation by enforcement; the Department of Labor's Retirement Security Rule
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2023
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 22.
Original Filing: 301539531.xml
Lobbying Issues
Independent contractor status -the Modern Worker Empowerment Act HR 5513, the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500, S 1481); regulation by enforcement; the Department of Labor's Proposed Retirement Security Rule
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2023
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 18, 2023.
Original Filing: 301503470.xml
Lobbying Issues
Independent contractor status -the Modern Worker Empowerment Act HR 5513, the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Proposed Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500, S 1481); regulation by enforcement
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2023
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 19, 2023.
Original Filing: 301481878.xml
Lobbying Issues
Independent contractor status -the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Proposed Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500, S 1481); regulation by enforcement
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2023
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 20, 2023.
Original Filing: 301464383.xml
Lobbying Issues
Independent contractor status -the PRO Act HR 20/S 567, the Employee Rights Act, the Department of Labor's Proposed Rule on Independent Contractor Classification under the FLSA;SEC Regulation Best Interest; payments to ensemble practices; the Financial Exploitation Prevention Act (HR 500); regulation by enforcement
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2022
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 19, 2023.
Original Filing: 301433999.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's proposed rule on Employee or Independent Contractor Classification Under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2022
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 20, 2022.
Original Filing: 301415363.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2022
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 20, 2022.
Original Filing: 301393151.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2022
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 14, 2022.
Original Filing: 301355917.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2021
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 14, 2022.
Original Filing: 301322535.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2021
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 20, 2021.
Original Filing: 301307410.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2021
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 19, 2021.
Original Filing: 301282614.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2021
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 19, 2021.
Original Filing: 301256523.xml
Lobbying Issues
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2020
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 19, 2021.
Original Filing: 301234280.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2020
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Nov. 3, 2020.
Original Filing: 301225753.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2020
Financial Services Institute amended a lobbying report for in-house lobbying in Q32020 on Nov. 3, 2020
Original Filing: 301225780.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2020
Financial Services Institute amended a lobbying report for in-house lobbying in Q22020 on Nov. 3, 2020
Original Filing: 301225779.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2020
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 16, 2020.
Original Filing: 301189505.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2020
Financial Services Institute amended a lobbying report for in-house lobbying in Q12020 on Nov. 3, 2020
Original Filing: 301225778.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2020
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 3, 2020.
Original Filing: 301153757.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Coronavirus Aid, Relief, and. Economic Security (CARES) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2019
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 17, 2020.
Original Filing: 301108798.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Small Business Audit Correction Act, SEC Disclosure Effectiveness Testing Act, Wall Street Tax Act of 2019, Setting Every Community Up for Retirement Enhancement (SECURE) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2019
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 11, 2019.
Original Filing: 301064608.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Small Business Audit Correction Act, SEC Disclosure Effectiveness Testing Act, Wall Street Tax Act of 2019, Setting Every Community Up for Retirement Enhancement (SECURE) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2019
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 16, 2019.
Original Filing: 301046275.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Small Business Audit Correction Act, SEC Disclosure Effectiveness Testing Act, Wall Street Tax Act of 2019, Setting Every Community Up for Retirement Enhancement (SECURE) Act, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2019
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 18, 2019.
Original Filing: 301028291.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Small Business Audit Correction Act, SEC Disclosure Effectiveness Testing Act, Wall Street Tax Act of 2019, payments to ensemble practices, DOL Association Health Plan Rule
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2019
Financial Services Institute amended a lobbying report for in-house lobbying in Q12019 on April 18, 2019
Original Filing: 301028313.xml
Lobbying Issues
SEC Regulation Best Interest, diversity & inclusion, Small Business Audit Correction Act, SEC Disclosure Effectiveness Testing Act, Wall Street Tax Act of 2019, payments to ensemble practices, DOL Association Health Plan Rule, SEC share class enforcement efforts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2018
Financial Services Institute amended a lobbying report for in-house lobbying in Q42018 on May 20, 2019
Original Filing: 301041025.xml
Lobbying Issues
DOL Fiduciary Rule, SEC Best Interest Standard
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2018
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 1, 2019.
Original Filing: 301001853.xml
Lobbying Issues
DOL Fiduciary Rule, SEC Best Interest Standard
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2018
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Nov. 15, 2018.
Original Filing: 301000496.xml
Lobbying Issues
DOL Fiduciary Rule, SEC Best Interest Standard
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2018
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on June 27, 2018.
Original Filing: 300961618.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2018
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on June 27, 2018.
Original Filing: 300961617.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2017
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Feb. 1, 2018.
Original Filing: 300939442.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2017
Financial Services Institute amended a lobbying report for in-house lobbying in Q32017 on Nov. 28, 2017
Original Filing: 300919641.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2017
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 6, 2017.
Original Filing: 300901820.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2017
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on Aug. 7, 2017.
Original Filing: 300899178.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2017
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on May 31, 2017.
Original Filing: 300880723.xml
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2016
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 3, 2017.
Original Filing: 300843414.xml
Lobbying Issues
Financial Advisor Independent Contractor Status (Fair Playing Field Act of 2015); Dept. of Labor Fiduciary Rule; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder Financial Abuse, Senior Safe Act of 2016; Pay to Play; Third Party Examinations; Commission Payouts; Dept. of Labor Overtime Rule; Regulatory Relief Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2016
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 3, 2016.
Original Filing: 300824962.xml
Lobbying Issues
Financial Advisor Independent Contractor Status (Fair Playing Field Act of 2015); Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder Financial Abuse; Pay to Play; Third Party Examinations; Commission Payouts; Dept. of Labor Overtime Rule; Senior Safe Act; Regulatory Relief Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2016
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 8, 2016.
Original Filing: 300807494.xml
Lobbying Issues
Financial Advisor Independent Contractor Status (Fair Playing Field Act of 2015); Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder Financial Abuse; Pay to Play; Third Party Examinations; Commission Payouts; Dept. of Labor Overtime Rule; Senior Safe Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2016
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 12, 2016.
Original Filing: 300789854.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder; AbusePay to Play; Third Party Examinations; Commission Payouts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2015
Financial Services Institute amended a lobbying report for in-house lobbying in Q42015 on Jan. 14, 2016
Original Filing: 300771850.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder; AbusePay to Play; Third Party Examinations; Commission Payouts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2015
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 12, 2016.
Original Filing: 300770650.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529); America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder; AbusePay to Play; Third Party Examinations; Commission Payouts
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2015
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 1, 2015.
Original Filing: 300750448.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529);
America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; Arbitration; FINRA Background Checks; Prevention of Elder Abuse
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2015
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 14, 2015.
Original Filing: 300733782.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529);
America's Small Business Tax Relief Act of 2015 (H.R. 636); SEC Fiduciary Standard; FINRA Arbitration; FINRA Electronic Continuing Education Delivery; FINRA Compensation Disclosure Proposal; FINRA CARDS Proposal
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2015
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 17, 2015.
Original Filing: 300719405.xml
Lobbying Issues
Financial Advisor Independent Contractor Status; Dept. of Labor Fiduciary Rule Reproposal; Small Business Regulatory Flexibility Improvements Act of 2015 (H.R. 527); A bill to amend the Internal Revenue Code of 1986 to improve 529 plans (H.R. 529);
America's Small Business Tax Relief Act of 2015 (H.R. 636); U4 Disclosures and background checks; Third party RIA Exams; FINRA CARDS
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2014
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 15, 2015.
Original Filing: 300696612.xml
Lobbying Issues
The Restoring Overtime Pay for Working Americans Act (S. 2486); Restoring Main Street Investor Protection and Confidence Act (H.R. 3482); Retail Investor Protection Act (H.R. 2374); Investor Choice Act OF 2013; 21st Century Glass-Steagall Act OF 2013 (S. 1282); The Secure Annuities for Employee (SAFE) Retirement Act of 2013; A Bill to Amend the Employee Retirement Income Security Act of 1974 to Require a Lifetime Income Disclosure; Retirement Plan Simplification and Enhancement Act of 2013; Universal, Secure, and Adaptable (USA) Retirement Funds Act of 2014 (S. 1979); Equal Employment for All Act of 2013 (S. 1837); Department of Labor Fiduciary Definition Re-Proposal; FINRA CARDS; SEC Investment Advisor Exams; Municipal Securities Rulemaking Board Rule G-47
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2014
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 13, 2014.
Original Filing: 300675443.xml
Lobbying Issues
The Restoring Overtime Pay for Working Americans Act (S. 2486); Restoring Main Street Investor Protection and Confidence Act (H.R. 3482); Retail Investor Protection Act (H.R. 2374); Investor Choice Act OF 2013; 21st Century Glass-Steagall Act OF 2013 (S. 1282); The Secure Annuities for Employee (SAFE) Retirement Act of 2013; A Bill to Amend the Employee Retirement Income Security Act of 1974 to Require a Lifetime Income Disclosure; Retirement Plan Simplification and Enhancement Act of 2013; Universal, Secure, and Adaptable (USA) Retirement Funds Act of 2014 (S. 1979); Equal Employment for All Act of 2013 (S. 1837); CARDS; FINRA Arbitration; FINRA Brokercheck; FINRA Background Checks; FINRA Examinations; Sweeps; Examination and Oversight of RIAs; Prevention of Financial Elder Abuse; MSRB Rule G-47; and FINRA Retrospective Rule Review
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2014
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 15, 2014.
Original Filing: 300656739.xml
Lobbying Issues
THE TAX REFORM ACT OF 2014
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2014
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 17, 2014.
Original Filing: 300638502.xml
Lobbying Issues
Fiduciary Duty Re-Proposal
RETAIL INVESTOR PROTECTION ACT (H.R. 2374)
Investor Choice Act of 2013 (H.R. 2998)
21ST CENTURY GLASS-STEAGALL ACT OF 2013 (S. 1282)SEC COST BENEFITS ANALYSIS ACT
Payroll Fraud Prevention Act of 2013 (S.1687)
Equal Employment for All Act of 2013 (S.1837)
Restoring Main Street Investor Protection and Confidence Act (H.R.3482)
DOLS FEE DISCLOSURE PROPOSED RULE
SEC DRAFT STRATEGIC PLAN
FINRA PROPOSED CHANGES TO SUPERVISION RULE
FINRA Recruitment Compensation Proposed Rule
FINRA CARDS Concept Proposal
FINRA Unlisted DPP and REITS Estimated Valuations Proposed Rule
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
THE TAX REFORM ACT OF 2014
Payroll Fraud Prevention Act of 2013 (S.1687)
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Automatic IRA Act of 2013 (H.R. 2035)
THE SECURE ANNUITIES FOR EMPLOYEE (SAFE) RETIREMENT ACT OF 2013
UNIVERSAL, SECURE, AND ADAPTABLE (USA) RETIREMENT FUNDS ACT OF 2014 (S. 1979)
RETIREMENT PLAN SIMPLIFICATION AND ENHANCEMENT ACT OF 2013
Agencies Lobbied
U.S. House of Representatives
4th Quarter, 2013
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 9, 2014.
Original Filing: 300612227.xml
Lobbying Issues
HR 1155 National Association of Registered Agents and Brokers Reform Act of 2013
HR 2374 Retail Investor Protection Act
HR 2998 Investor Choice Act of 2013
HR 3482 Restoring Main Street Investor Protection and Confidence Act H.R. 3482 Restoring Main Street Investor Protection and Confidence Act
S. 1282 21st Century Glass-Steagall Act of 2013
S. 1270 The Secure Annuities for Employee Retirement Act of 2013
SEC Proposed Rule on Money Market Reform SEC Final Rule on Municipal Advisor Registration
SEC Proposed Pay Ratio Disclosure Rule
SEC Regulation SCI on Systems Compliance and Integrity
SEC Request for Data on Standard of Conduct for Broker-Dealers and Investment Advisors
SEC Final Rule on Broker Dealer-Reports
DOL Fiduciary Reproposal
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
S. 1687 Payroll Fraud Prevention Act of 2013
S. 1706 Fair Playing Field Act of 2013
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2013
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 15, 2013.
Original Filing: 300593741.xml
Lobbying Issues
H.R. 2374 Retail Investor Protection Act
H.R. 2998 Investor Choice Act of 2013
S. 1282 21st Century Glass-Steagall Act of 2013
S. 1270 The Secure Annuities for Employee REtirement Act of 2013H.R. 1155 National Association of Registered Agents and Brokers Reform Act of 2013
SEC Proposed Rule on Money Market Reform
SEC Final Rule on Municipal Advisor Registration
SEC Proposed Pay Ratio Disclosure Rule
SEC Regulation SCI on Systems Compliance and Integrity
SEC Request for Data on Standard of Conduct for Broker-Dealers and Investment Advisors
SEC Final Rule on Broker Dealer-Reports
Agencies Lobbied
Labor - Dept of (DOL)
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 880 Wall Street Trading and Speculators Tax Act
S. 410 Wall Street Trading and Speculators Tax Act
S. 277 Jobs Preservation and Economic Certainty Act of 2013
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2013
Financial Services Institute amended a lobbying report for in-house lobbying in Q22013 on May 28, 2015
Original Filing: 300730033.xml
Lobbying Issues
H.R. 2374 Retail Investor Protection Act; H.R. 1062 SEC Cost Benefits Analysis; H.R. 2117 Retirement Plan Simplification and Enhancement Act of 2013; S. 286 Stronger Enforcement of Civil Penalties Act of 2013; H.R. 1627 The Investment Adviser Examination Act of 2013; S. 606 SEAL Act; S. 450 Financial Regulatory Responsibility Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 880 Wall Street Trading and Speculators Tax Act; S. 410 Wall Street Trading and Speculators Tax Act; S. 277 Jobs Preservation and Economic Certainty Act of 2013
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2013
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 15, 2013.
Original Filing: 300572205.xml
Lobbying Issues
H.R. 2374 Retail Investor Protection Act
H.R. 1062 SEC Cost Benefits Analysis
H.R. 2117 REtirement Plan Simplification and Enhancement Act of 2013
S. 286 Stronger Enforcement of Civil Penalties Act of 2013H.R. 1627 The Investment Adviser Examination Act of 2013
S. 606 SEAL Act
S. 450 Financial Regulatory Responsibility Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 880 Wall Street Trading and Speculators Tax Act
S. 410 Wall Street Trading and Speculators Tax Act
S. 277 Jobs Preservation and Economic Certainty Act of 2013
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2013
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 19, 2013.
Original Filing: 300555752.xml
Lobbying Issues
Fiduciary Duty
Money Market Fund Reform
H.R. 537, Social Networking Online Protection Act
H.R. 131, Financial Crisis Criminal Investigation ActS. 191, Regulatory Responsibility for our Economy Act
H.R. 797, Municipal Oversight Improvement Act
H.R. 827, Improving Security for Investors and Providing Closure Act of 2013
H.R. 880 and S. 410, Wall Street Trading and Speculators Tax Act
H.R. 1062, SEC Regulatory Accountability Act
S. 450, Financial Regulatory Responsibility Act
H.R. 46, Repeal Dodd-Frank Wall Street reform Act
H.R. 129, Return to Prudent Banking Act of 2013
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits and treatment for small businesses.
S.Con.Res. 12, expresses the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement.
S. 606, Shrinking Emergency Account Losses Act of 2013
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2012
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 16, 2013.
Original Filing: 300529506.xml
Lobbying Issues
Fiduciary Duty
S. 1615 - Financial Regulatory Responsibility Act
S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act
S. 3416 - A bill to enhance civil penalties under the Federal securities laws, and for other purposes.S. 3620 - A bill to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes.
H.R. 2483 - Whistleblower Improvement Act
H. R. 2308 - SEC Regulatory Accountability Act
H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes
H.R. 4624 - Investment Adviser Oversight Act of 2012
H.R. 5050 - Social Networking Online Protection Act
H.R. 757 - Equitable Treatment of Investors Act
H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act
H.R. 6204 - Investment Adviser Examination Improvement Act of 2012
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
S.2145 & H.R. 4123 - Fair Playing field Act of 2012
H.R. 4049 - Automatic IRA Act of 2012
S. 1557 - Automatic IRA Act of 2011H.R. 3178 - Employee Misclassification Prevention Act
S. 770 - Payroll Fraud Prevention Act
H.R. 3287 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011
H.R. 4050 - Retirement Plan Simplification and Enhancement Act of 2012
H.Con.Res.101 - Expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement.
S.Con.Res.62 - A concurrent resolution expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2012
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 22, 2012.
Original Filing: 300516645.xml
Lobbying Issues
Fiduciary Duty
S. 1615 - Financial Regulatory Responsibility Act
S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act
H.R. 2483 - Whistleblower Improvement Act H. R. 2308 - SEC Regulatory Accountability Act
H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes
H.R. 4624 - Investment Adviser Oversight Act of 2012
H.R. 5050 - Social Networking Online Protection Act
H.R. 757 - Equitable Treatment of Investors Act
H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act
H.R. 6204 - Investment Adviser Examination Improvement Act of 2012
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
S.2145 & H.R. 4123 - Fair Playing field Act of 2012
H.R. 4049 - Automatic IRA Act of 2012
S. 1557 - Automatic IRA Act of 2011H.R. 3178 - Employee Misclassification Prevention Act
S. 770 - Payroll Fraud Prevention Act
H.R. 3287 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011
H.R. 4050 - Retirement Plan Simplification and Enhancement Act of 2012
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2012
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 20, 2012.
Original Filing: 300494411.xml
Lobbying Issues
Fiduciary Duty
S. 1615 - Financial Regulatory Responsibility Act
S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act
H.R. 2483 - Whistleblower Improvement Act H. R. 2308 - SEC Regulatory Accountability Act
H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes
H.R. 4624 - Investment Adviser Oversight Act of 2012
H.R. 5050 - Social Networking Online Protection Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
S.2145 & H.R. 4123 Fair Playing field Act of 2012
H.R. 4049 - Automatic IRA Act of 2012
S. 1557 - Automatic IRA Act of 2011H.R. 3178 - Employee Misclassification Prevention Act
S. 770 - Payroll Fraud Prevention Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2012
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 19, 2012.
Original Filing: 300465520.xml
Lobbying Issues
Fiduciary Duty
Enhancing Investment Advisor Examinations
S. 1615 - Financial Regulatory Responsibility Act
S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act H.R. 2483 - Whistleblower Improvement Act
H. R. 2308 - SEC Regulatory Accountability Act
H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
H.R. 674 - To amend the Internal Revenue Code of 1986 to repeal the imposition of 3 percent withholding on certain payments made to vendors by government entities, to modify the calculation of modified adjusted gross income for purposes of determining eligibility for certain healthcare-related programs, and for other purposes. S.2145 & H.R. 4123 Fair Playing field Act of 2012
H.R. 4049 - Automatic IRA Act of 2012
S. 1557 - Automatic IRA Act of 2011
H.R. 3178 - Employee Misclassification Prevention Act
S. 770 - Payroll Fraud Prevention Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2011
In Q4, Financial Services Institute had in-house lobbyists. The report was filed on Jan. 10, 2012.
Original Filing: 300435620.xml
Lobbying Issues
Fiduciary Duty
Enhancing Investment Advisor Examinations
S. 1615 - Financial Regulatory Responsibility Act
S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act H.R. 2483 - Whistleblower Improvement Act
H. R. 2308 - SEC Regulatory Accountability Act
H.R. 3178 - Employee Misclassification Prevention Act
S. 770 - Payroll Fraud Prevention Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
H.R. 674 - To amend the Internal Revenue Code of 1986 to repeal the imposition of 3 percent withholding on certain payments made to vendors by government entities, to modify the calculation of modified adjusted gross income for purposes of determining eligibility for certain healthcare-related programs, and for other purposes. H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2011
In Q3, Financial Services Institute had in-house lobbyists. The report was filed on Oct. 19, 2011.
Original Filing: 300419807.xml
Lobbying Issues
Fiduciary Duty
Enhancing Investment Advisor Examinations
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2011
In Q2, Financial Services Institute had in-house lobbyists. The report was filed on July 19, 2011.
Original Filing: 300394896.xml
Lobbying Issues
Fiduciary Duty
Enhancing Investment Advisor Examinations
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 4 - Small Business Paperwork Mandate Elimination Act of 2011
Agencies Lobbied
U.S. House of Representatives
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2011
In Q1, Financial Services Institute had in-house lobbyists. The report was filed on April 20, 2011.
Original Filing: 300377804.xml
Lobbying Issues
Fiduciary Duty
Enhancing Investment Advisor Examinations
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 4 - Small Business Paperwork Mandate Elimination Act of 2011
Agencies Lobbied
U.S. House of Representatives
Lobbying Issues
Tax Reform as it relates to preserving retirement benefits
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2011
Financial Services Institute filed a lobbying registration on March 2, 2011 for in-house lobbying efforts, effective Jan. 10, 2011.
Original Filing: 300358631.xml
Issue(s) they said they’d lobby about: Financial regulatory restructuring, Independent contractors, Mutual fund fees, Retirement savings and access to retirement planning advice, Issues affecting small businesses .
1st Quarter, 2011
The Financial Services, Inc. filed a lobbying registration on Feb. 22, 2011 for in-house lobbying efforts, effective Jan. 10, 2011.
Original Filing: 300358315.xml
Issue(s) they said they’d lobby about: Financial regulatory restructuring, Independent contractors, Mutual fund fees, Retirement savings and access to retirement planning advice, Issues affecting small businesses .
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate
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