Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena;
Transparency and accuracy of proxy advisors;
Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality;
H1B visa/immigration reform;
Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act;
Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act;
Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets;
Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members;
Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Duration: January 1, 2008
to
present
General Issues: Financial Institutions/Investments/Securities
Spending: about $24,246,259 (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 2008: U.S. Senate, House of Representatives, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury - Dept of, White House Office, Federal Reserve System, Commerce - Dept of (DOC), Government Accountability Office (GAO), White House Office,, Federal Reserve System,, Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), State - Dept of (DOS)
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, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 9.
Original Filing: 301547619.xml
Lobbying Issues
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena;
Transparency and accuracy of proxy advisors;
Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality;
H1B visa/immigration reform;
Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act;
Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act;
Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets;
Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members;
Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2023
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 12.
Original Filing: 301523899.xml
Lobbying Issues
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena;
Transparency and accuracy of proxy advisors;
Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, Main Street Growth Act, legislation on 10-Q optionality;
Modernizing Disclosures for Investors Act;
Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act;
H1B visa/immigration reform;
Digital asset regulatory reform, The Digital Commodities Consumer Protection Act;
SECs proposed elimination of volume based tiered pricing in the equities markets;
Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members;
Public company regulations;
SEC climate disclosure rule;
Highlighting Nasdaqs financial crime software solutions and policies aimed at those issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2023
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 5, 2023.
Original Filing: 301497827.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603), Main Street Growth Act;
Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act;
Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act;
H1B visa/immigration reform;
Digital asset regulatory reform, The Digital Commodities Consumer Protection Act;
Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act;
ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule;
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena;
Highlighting Nasdaqs financial crime software solutions and policies aimed at those issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2023
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 13, 2023.
Original Filing: 301475477.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603), Main Street Growth Act;
Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act;
Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act;
H1B visa/immigration reform;
Digital asset regulatory reform, The Digital Commodities Consumer Protection Act;
Equity market structure and SECs pending action on market structure, Regulation NMS, market data - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act;
ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2023
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 5, 2023.
Original Filing: 301449129.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Venture Exchange, Main Street Growth Act, Main Street Growth Act;
Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - American Choice and Innovation Online Act, Platform Competition and Opportunity Act, Ending Platform Monopolies Act, Augmenting Compatibility and Competition by Enabling Service Switching Act, Merger Filing Fee Modernization Act, The State Antitrust Enforcement Venue Act;
Federal financial transaction tax, Protecting Retirement Savers and Everyday Investors Act, Tax on Wall Street Speculation Act;
Mark-to-market - Modernization of Derivatives Tax Act of 2021;
H1B visa/immigration reform;
Digital asset regulatory reform, The Digital Commodities Consumer Protection Act;
Equity market structure and SECs pending action on market structure, Regulation NMS, market data - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, Securities Exchange Reform Act of 2022, Main Street Growth Act, Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, Free-market Accountability through Investor Rights Act, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, Registration for Index-Linked Annuities Act;
ESG and public company regulations, Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2022
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 6, 2023.
Original Filing: 301425339.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Digital asset regulatory reform, S. 4760 - The Digital Commodities Consumer Protection
Act;
Equity market structure and SECs pending action on market structure (H.R. 4617), Regulation NMS, market data - H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2022
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 11, 2022.
Original Filing: 301402450.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Digital asset regulatory reform;
Equity market structure (H.R. 4617), Regulation NMS, market data - H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - Amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2022
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 15, 2022.
Original Filing: 301380858.xml
Lobbying Issues
Transparency and accuracy of proxy advisors;
Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R.5910 - Holding SPACs Accountable Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity market structure, Regulation NMS, market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities - H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - To amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - To require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act. SEC climate disclosure rule.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2022
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 19, 2022.
Original Filing: 301361681.xml
Lobbying Issues
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Transparency of proxy advisors;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Support for Nasdaq Board Diversity filing with the SEC;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
2021 Reconciliation Package;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from
safe harbor for forward-looking statements, and for other purposes;
A bill to temporarily extend the public debt limit;
H.R.3684 - Infrastructure Investment and Jobs Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, Regulation NMS, proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities - H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 1, H.R. ____ - Securities Exchange Reform Act of 2022, H.R. 5795 - Main Street Growth Act, H.R. ____ - To amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations approach 2, H.R. ____ - To amend the Securities Exchange Act of 1934 to improve the governance of multi-class stock companies, H.R. ____ - Free-market Accountability through Investor Rights Act of 2022, H.R. ____ - To require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members, H.R. 4865 - Registration for Index-Linked Annuities Act;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2021
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 12, 2022.
Original Filing: 301321604.xml
Lobbying Issues
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Transparency of proxy advisors;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Support for Nasdaq Board Diversity filing with the SEC;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
S.2621 - Modernization of Derivatives Tax Act of 2021;
2021 Reconciliation Package;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
Exchange-traded funds - S. 2617 - Ending the Carried Interest Loophole Act;
H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from
safe harbor for forward-looking statements, and for other purposes;
A bill to temporarily extend the public debt limit;
H.R.3684 - Infrastructure Investment and Jobs Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/imigration reform;
Equity, Regulation NMS, proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and
Short interest disclosure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2021
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 20, 2021.
Original Filing: 301310043.xml
Lobbying Issues
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Transparency of proxy advisors;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws - H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Incentives for the trading of small cap stocks/ETFs;
Support for Nasdaq Board Diversity filing with the SEC;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act, S. 1283 - Tax on Wall Street Speculation Act;
S.2621 - Modernization of Derivatives Tax Act of 2021;
2021 Reconciliation Package;
Mark-to-market - S.2621 Modernization of Derivatives Tax Act of 2021;
Exchange-traded funds - S. 2617 - Ending the Carried Interest Loophole Act;
H.R. 4617 - To require the Securities and Exchange Commission to carry out a study on payment for order flow, to require the Investor Advocate of the Commission to provide recommendations on payment for order flow, and for other purposes;
Tracking legislation that would impact special purpose acquisition companies (SPACs) - S. 1504 - Sponsor Promote and Compensation Act, H.R. __ - To amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude certain special purpose acquisition companies from
safe harbor for forward-looking statements, and for other purposes;
A bill to temporarily extend the public debt limit;
H.R.3684 - Infrastructure Investment and Jobs Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform, H.R. 3524 - Ensuring American Global Leadership and Engagement Act, H.R. 2225 - National Science Foundation for the Future Act;
Equity, Regulation NMS, proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and
Short interest disclosure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2021
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 19, 2021.
Original Filing: 301281346.xml
Lobbying Issues
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Transparency of proxy advisors;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation on 10-Q optionality, H.R. 3454 - Modernizing Disclosures for Investors Act;
Legislation on reforming U.S. antitrust laws, H.R. 3816 - American Choice and Innovation Online Act, H.R. 3826 - Platform Competition and Opportunity Act, H.R. 3825 - Ending Platform Monopolies Act, H.R. 3849 - Augmenting Compatibility and Competition by Enabling Service Switching Act, H.R. 3843 - Merger Filing Fee Modernization Act, H.R. 3460, the State Antitrust Enforcement Venue Act;
Incentives for the trading of small cap stocks/ETFs;
Support for Nasdaq Board Diversity filing with the SEC;
Federal financial transaction tax, H.R. 1584 - Protecting Retirement Savers and Everyday Investors Act;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform, H.R. 3524 - Ensuring American Global Leadership and Engagement Act, H.R. 2225 - National Science Foundation for the Future Act;
Equity, Regulation NMS, proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017;
ESG and public company regulations, H.R. 1187 - Corporate Governance Improvement and Investor Protection Act; and
Short interest disclosure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2021
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 6, 2021.
Original Filing: 301250918.xml
Lobbying Issues
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place;
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, H.R. 294 - Encouraging Public Offerings Act of 2021, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S. 2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives;
Legislation on 10-Q optionality, H.R. 4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R. 3088 - Shareholder Protection Act of 2019;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Support for Nasdaq Board Diversity filing with the SEC;
Defend dual class structures;
Federal financial transaction tax, H.R. 8695 - Protecting Retirement Savers and Everyday Investors Act;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2020
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 19, 2021.
Original Filing: 301234385.xml
Lobbying Issues
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place;
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Federal financial transaction tax, H.R.8695 - Protecting Retirement Savers and Everyday Investors Act;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2020
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 8, 2020.
Original Filing: 301208191.xml
Lobbying Issues
COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place;
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Federal financial transaction tax (A4402);
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2020
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 15, 2020.
Original Filing: 301188318.xml
Lobbying Issues
Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place;
Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Financial transaction tax;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2020
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 16, 2020.
Original Filing: 301168460.xml
Lobbying Issues
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Financial transaction tax;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2019
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 21, 2020.
Original Filing: 301125619.xml
Lobbying Issues
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R. 5116 - Corporate Governance Reform and Transparency Act of 2019;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act of 2019;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Financial transaction tax;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2019
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 10, 2019.
Original Filing: 301064326.xml
Lobbying Issues
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2017;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - Main Street Growth Act, S.2306 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018;
Legislation on 10-Q optionality, H.R.4076 - Modernizing Disclosures for Investors Act;
Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold, H.R.3088 - Shareholder Protection Act of 2019;
SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Defend dual class structures;
Stock buybacks;
Financial transaction tax;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2019
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 12, 2019.
Original Filing: 301044859.xml
Lobbying Issues
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016;
Legislation on confidential filing and test the waters, S. 536 - Encouraging Public Offerings Act;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 2899 - To amend the Securities Exchange Act of 1934 to allow for the registration of venture exchanges, and for other purposes;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018;
Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act of 2018;
SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Financial transaction tax;
Tax treatment of buybacks and dividends;
Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2019
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 9, 2019.
Original Filing: 301023431.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016;
Legislation on confidential filing and test the waters, Encouraging Public Offerings Act of 2017;
Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act of 2018;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, Options Markets Stability Act of 2018;
Legislation on 10-Q optionality, Modernizing Disclosures for Investors Act of 2018;
SEC Conflict Minerals Rule, To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals of 2017;
Section 31 Fee Overpayments, Section 31 Fee Overpayments of 2017 (Senate), Section 31 Fee Overpayments of 2017 (House);
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
Financial transaction tax;
Tax treatment of buybacks and dividends;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Limitations on SEC regulation of non-exchange activities, Exchange Regulatory Improvement Act of 2017; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2018
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 7, 2019.
Original Filing: 301002586.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017, S. 488 - JOBS and Investor Confidence Act of 2018;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016;
Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act;
Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act;
SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals;
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
Incentives for the trading of small cap stocks/ETFs;
Implementation and expansion of the Jobs Act (S.488 - JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2018
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 15, 2018.
Original Filing: 300985169.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016;
Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act;
Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act;
SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals;
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act (S.488 - JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2018
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 20, 2018.
Original Filing: 300977408.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs, H.R. 10 - Financial CHOICE Act of 2017;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016;
Legislation on confidential filing and test the waters, H.R. 3903 - Encouraging Public Offerings Act;
Trading and listings standards needed for a U.S. Venture Exchange, H.R. 5877 - Main Street Growth Act;
Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives, H.R. 5749 - Options Markets Stability Act;
Legislation on 10-Q optionality, H.R. 5970 - Modernizing Disclosures for Investors Act;
SEC Conflict Minerals Rule, H.R. 4248 - To amend the Securities Exchange Act of 1934 to repeal certain disclosure requirements related to conflict minerals;
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2018
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 20, 2018.
Original Filing: 300953484.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, H.R.4015 - Corporate Governance Reform and Transparency Act of 2016;
Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress);
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities;
H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2017
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 17, 2018.
Original Filing: 300925465.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016 (114th Congress);
Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress);
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities;
H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2017
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 11, 2017.
Original Filing: 300902637.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs - H.R. 10 - Financial CHOICE Act of 2017;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, Corporate Governance Reform and Transparency Act of 2016 (114th Congress);
Trading and listings standards needed for a U.S. Venture Exchange, Main Street Growth Act (114th Congress);
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Equity, fixed income market structure/Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues;
Cyber Security and system infrastructure;
Limitations on SEC regulation of non-exchange activities;
H.R.3555 - Exchange Regulatory Improvement Act; and
Requiring transparency of short positions that match existing requirements on long position holders.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2017
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 11, 2017.
Original Filing: 300883247.xml
Lobbying Issues
General issues relating to the following:
Revitalize the market for small public companies/policies that promote IPOs;
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016 (114th Congress);
HR 10 - Financial CHOICE Act of 2017;
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act (114th Congress);
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Security market structure and Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2017
In Q1, Nasdaq, Inc. had in-house lobbyists. The report was filed on April 19, 2017.
Original Filing: 300868817.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016 (114th Congress);
HR 5983 - Financial CHOICE Act of 2016 (114th Congress);
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act (114th Congress);
Section 31 Fee Overpayments, S. 462 - Section 31 Fee Overpayments, H.R. 1257 - Section 31 Fee Overpayments;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1B visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Security market structure and Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2016
In Q4, Nasdaq, Inc. had in-house lobbyists. The report was filed on Jan. 23, 2017.
Original Filing: 300855455.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016;
HR 5983 - Financial CHOICE Act of 2016;
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
H1 visa/immigration reform;
Securities transactions tax;
Tax treatment of options contracts;
Security market structure and Regulation NMS;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2016
In Q3, Nasdaq, Inc. had in-house lobbyists. The report was filed on Oct. 11, 2016.
Original Filing: 300826256.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016;
Legislation aimed at providing a less regulated/higher capital requirement to replace Dodd-Frank, HR 5983 - Financial CHOICE Act of 2016;
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
Highly skilled workers -- immigration reform;
Taxation of securities transactions/tax treatment of options contracts;
Security market structure, Regulation NMS and price discovery;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2016
In Q2, Nasdaq, Inc. had in-house lobbyists. The report was filed on July 19, 2016.
Original Filing: 300814290.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry, HR 5311 - Corporate Governance Reform and Transparency Act of 2016;
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
Highly skilled workers -- immigration reform;
Taxation of securities transactions/tax treatment of options contracts;
Security market structure, Regulation NMS and price discovery;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2016
In Q1, Nasdaq, Inc. (FKA NASDAQ OMX GROUP) had in-house lobbyists. The report was filed on April 20, 2016.
Original Filing: 300798293.xml
Lobbying Issues
General issues relating to the following:
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry;
Trading and listings standards needed for a U.S. Venture Exchange, HR 4638 - Main Street Growth Act;
Cross border regulatory issues between the U.S. and Europe;
SEC Conflict Minerals Rule;
Incentives for the trading of small cap stocks/ETFs;
Repatriation/tax reform;
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs;
Highly skilled workers -- immigration reform;
Taxation of securities transactions/tax treatment of options contracts;
Security market structure, Regulation NMS and price discovery;
Proprietary ownership and distribution of market data;
Corporate governance issues; and
Cyber Security and system infrastructure.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2015
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 15, 2016.
Original Filing: 300772856.xml
Lobbying Issues
Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry
reduce conflicts of interest in the proxy advisory services industry
Trading and listings standards needed for a U.S. Venture Exchange
The RAISE Act: HR 1839, Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform
Cross border regulatory issues between the U.S. and Europe
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts
Security market structure and price transparency
Proprietary ownership and distribution of market data
Corporate governance issues
Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2015
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 20, 2015.
Original Filing: 300761846.xml
Lobbying Issues
Trading and listings standards needed for a U.S. Venture Exchange
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform
Cross border regulatory issues between the U.S. and Europe
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues
Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2015
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 17, 2015.
Original Filing: 300738041.xml
Lobbying Issues
Trading and listings standards needed for a U.S. Venture Exchange
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform
Cross border regulatory issues between the U.S. and Europe
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues
Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2015
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 20, 2015.
Original Filing: 300721664.xml
Lobbying Issues
Trading and listings standards needed for a U.S. Venture Exchange
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform
Cross border regulatory issues between the U.S. and Europe
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues
Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2014
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 20, 2015.
Original Filing: 300702231.xml
Lobbying Issues
Cross border regulatory issues between he U.S. and Europe
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform -- Chairman Camp's Draft
Implementation and expansion of the Jobs Act/capital formation agenda/IPOs
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts/Chairman Camp's Draft
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues
Cyber Security and system infrastructure -- Senate Cyber Security Information Sharing Act
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2014
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 17, 2014.
Original Filing: 300679266.xml
Lobbying Issues
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs -- H.R. 3448
Repatriation/tax reform -- Chairman Camp's Draft
The Jobs Act -- H.R. 4200, H.R. 454, H.R. 4571, HR. 4569, H.R. 4570, H.R. 4465
Highly skilled workers -- immigration reform -- S.744, H.R. 714, H.R. 3163, H.R. 2131, H.R. 15
Taxation of securities transactions/tax treatment of options contracts -- Chairman Camp's Draft
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distributions of market data
Corporate governance issues
CyberSecurity and system infrastructure -- H.R. 624, Senate Cybersecurity Information Sharing Act
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2014
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 17, 2014.
Original Filing: 300658801.xml
Lobbying Issues
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs -- H.R. 3448
Repatriation/tax reform -- Chairman Camp's Draft
The Jobs Act -- H.R. 4200, H.R. 4554, H.R. 4568, H.R. 4571, H.R. 4569, H.R. 4570, H.R. 4465
Highly skilled workers -- immigration reform -- S.744, H.R. 714, H.R. 3163, H.R. 2131, H.R. 15
Taxation of securities transactions/tax treatment of options contracts -- Chairman Camp's Draft
Security market structure and price transparency
SEC policies during turbulent market conditionns
Proprietary ownership and distributions of market data
Corporate governance issues
CyberSecurity and system infrastructure -- H.R. 624, Senate Cybersecurity Information Sharing Ac
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2014
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 17, 2014.
Original Filing: 300638938.xml
Lobbying Issues
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
The Jobs ACt
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distributions of market data
Corporate governance issues
CyberSecurity and system infrastructure
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2013
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 16, 2014.
Original Filing: 300615950.xml
Lobbying Issues
Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reform
The Jobs Act
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of Options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues
CyberSecurity and system infrastructure
The operation of technology, computer trading
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2013
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 18, 2013.
Original Filing: 300597990.xml
Lobbying Issues
Transparency and conflict of interest in proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/Tax reformThe Jobs Act
Highly skilled workers -- immigration reform
Taxation of securities transactions/tax treatment of Options contracts
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, computer trading
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2013
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 18, 2013.
Original Filing: 300576286.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry
SEC Conflict Minerals Rule
Incentives for the trading of small cap stocks/ETFs
Repatriation/tax reformThe Jobs Act
Highly skilled workers -- immigration reform
Taxation of securities transactions
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, computer trading
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2013
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 17, 2013.
Original Filing: 300552130.xml
Lobbying Issues
Incentives for the trading of small cap stocks/ETFs
Repatriation / tax reform
The Jobs Act
Highly skilled workers -- immigration reformTaxation of securities transactions
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, computer trading, including IPO opening cross
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2012
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 22, 2013.
Original Filing: 300538778.xml
Lobbying Issues
Incentives for the trading of small cap stocks/ETFs
Repatriation tax holiday to spur job growth/tax reform
The Jobs Act
Highly skilled workers -- immigration reformTaxation of securities transactions
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distributions of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, computer trading, including the IPO opening cross
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2012
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 18, 2012.
Original Filing: 300510437.xml
Lobbying Issues
Incentives for the trading of small cap stocks/ETFs
Repatriation tax holiday to spur job growth/tax reform
The Jobs Act
Highly skilled workers -- immigration reformTaxation of securities transactions
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distributions of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, computer trading, including the IPO opening cross
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2012
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 20, 2012.
Original Filing: 300496152.xml
Lobbying Issues
Incentives for the trading of small cap stocks/ETFs
Repatriation tax holiday to spur job growth/tax reform
The Jobs Act
Highly skilled workers -- immigration reformTaxation of securities transactions
Security market structure and price transparency
SEC policies during turbulent market conditions
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
CyberSecurity and system infrastructure
The operation of technology, including the IPO opening cross
Education and promotion of various technology applications
Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2012
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 19, 2012.
Original Filing: 300465458.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
Cyber security and system infrastructure
SEC policies during turbulent market conditionsSecurity market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Highly skilled workers -- immigration reform
HR 3606 and S 1933
Trading rules for options exchanges
Education and promotion of various technology applications
Repatriation tax holiday to spur job growth/tax reform
Incentives for the trading of small cap stocks/ETFs
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2011
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 20, 2012.
Original Filing: 300446900.xml
Lobbying Issues
Proprietary and shared-plan market data
Corporate governance issues, including Sarbanes-Oxley
Cyber security and system infrastructure
SEC policies during turbulent market conditionsSecurity market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Highly skilled workers -- immigration reform
HR 3606 and S 1933
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2011
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 19, 2011.
Original Filing: 300419585.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley
Trading rules for options exchanges
Cyber security and system infrastructureSEC policies during turbulent market conditions
Financial services regulatory reform
Security market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Highly skilled workers -- immigration reform
Pending Trade Agreements (Korea, Columbia, Panama)
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2011
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 18, 2011.
Original Filing: 300393772.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Education outreach on bid with ICE for NYSE-Euronext
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchangesSRO rulemaking reform (HR 4173)
Cyber security and system infrastructure
SEC policies during turbulent market conditions
Financial services regulatory reform (HR 4173)
Security market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2011
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 18, 2011.
Original Filing: 300366095.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
SRO rulemaking reform (HR 4173)Cyber security and system infrastructure
SEC policies during turbulent market conditions
Financial services regulatory reform (HR 4173)
Security market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2010
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 19, 2011.
Original Filing: 300343419.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
SRO rulemaking reform (HR 4173)SEC policies during turbulent market conditions
Financial services regulatory reform (HR 4173)
Security market structure and price transparency
Taxation of securities transactions
Creation of a Listed Venture Market
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2010
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 14, 2010.
Original Filing: 300312259.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
Security index products, exchanged traded funds and other index-based productsSRO rulemaking reform (HR 4173)
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173)
Financial services regulatory reform (HR 4173)
Government disposition of TARP assets via an exchange traded fund
Funding for developing nations to improve capital markets
Security market structure and price transparency
Taxation of securities transactions
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2010
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 19, 2010.
Original Filing: 300293839.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
Security index products, exchanged traded funds and other index-based productsSRO rulemaking reform (HR 4173)
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173)
Financial services regulatory reform (HR 4173)
Govenment disposition of TARP assets via an exchange traded fund
Funding for developing nations to improve capital markts
Security market structure and price transparency
Taxation of securities transactions
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2010
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 16, 2010.
Original Filing: 300260505.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based productsSRO rulemaking reform (HR 4173)
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173)
Financial services regulatory reform (HR 4173)
Government disposition of TARP assets via an exchange traded fund
Funding for developing nations to improve capital markets
Security market structure and price transparency
Taxation of securities transactions
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2009
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 19, 2010.
Original Filing: 300237905.xml
Lobbying Issues
Proprietary ownership and distribution of market data
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards (HR 4173)
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based productsSRO rulemaking reform (HR 4173)
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps (HR 4173)
Financial services regulatory reform (HR 4173)
Government disposition of TARP assets via an exchange traded fund
Funding for developing nations to improve capital markets
Security market structure and price transparency
Taxation of securities transactions
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2009
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 15, 2009.
Original Filing: 300206156.xml
Lobbying Issues
Mutual recognition of foreign securities markets
Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868)Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-bassed products
SRO rulemaking form
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps
Emergency Economic Stabilization Act of 2008
Financial services regulatory reform
Government disposition of TARP assets via an exchange traded fund
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2009
In Q2, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on July 16, 2009.
Original Filing: 300179831.xml
Lobbying Issues
Mutual recognition of foreign securities markets
Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR2868)Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
Role of Nasdaq Clearing Corporation in the marketplace
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency and clearing of over-the-counter trading derivatives, credit default swaps and interest rates swaps (HR977)
Financial services regulatory reform
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2009
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 16, 2009.
Original Filing: 300150350.xml
Lobbying Issues
Mutual recognition of foreign securities markets
Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
Role of Nasdaq Clearing Corporation in the marketplace
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency and clearing of over-the-counter trading derivatives, credit default swaps and interest rate swaps (HR977)
Financial services regulatory reform
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2008
In Q4, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Jan. 15, 2009.
Original Filing: 300119597.xml
Lobbying Issues
Mutual recognition of foreign securities markets
Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868) Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
Role of Nasdaq Clearing Corporation in the marketplace
SRO rulemaking form
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps
Emergency Economic Stabilization Act of 2008
Financial services regulatory reform
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2008
Nasdaq OMX Group (formerly "The Nasdaq Stock Market") amended a lobbying report for in-house lobbying in Q32008 on Oct. 7, 2011
Original Filing: 300411353.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange Consolidation
Mutual recognition of foreign securities
Proprietary ownership and distribution of market dataLegislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868)
Symbology
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Capital formation process in the United States
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-basesd products
Role of Nasdaq Clearing Corporation in the marketplace
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps, interest rate swaps and other crucial products
Emergency Economic Stabilization Act of 2008
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2008
In Q3, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on Oct. 14, 2008.
Original Filing: 300092282.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange Consolidation
Mutual recognition of foreign securities
Proprietary ownership and distribution of market dataLegislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868)
Symbology
Corporate governance issues, including Sarbanes-Oxlex implementation and enhanced listing standards
Capital formation process in the United States
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
Role of Nasdaq Clearing Corporation in the marketplace
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
SEC policies related to short sales during turbulent market conditions
Increased transparency of over-the-counter trading of derivatives, credit default swaps, interest rate swaps and other crucial products
Emergency Economic Stabilization Act of 2008
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2008
In Q2, Nasdaq OMX Group had in-house lobbyists. The report was filed on July 11, 2008.
Original Filing: 300063675.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange consolidation
Mutual recognition of foreign securities
Securities issuance under Section 144a of the Securities Act of 1933Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities
exchanges (HR 2868)
Symbology
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Capital formation process in the United States
Effects of hedge fund regulation on US markets and trading volumes
Treatment of investment compnay and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
SEC implementation of Regulation NMS
SEC reform of self-regulatory organizations
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Mutual recognition of foreign securities markets
China's policies affect cross border listings in China and the U.S.
Interest Rate Swaps and other derivatives and how they trade in the U.S.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2008
Nasdaq OMX Group (formerly "The Nasdaq Stock Market") amended a lobbying report for in-house lobbying in Q12008 on Oct. 7, 2011
Original Filing: 300411345.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange consolidation
Mutual recognition of foreign securities
Securities issuances under Section 144a of the Securities Act of 1933Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868
Symbology
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Consideration of Nasdaq application to open representative office in Beijing
Capital formation process in the United States
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
SEC implementation of Regulation NMS
SEC reform of self-regulatory organizations
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2008
Nasdaq OMX Group (formerly "The Nasdaq Stock Market") amended a lobbying report for in-house lobbying in Q12008 on Aug. 18, 2009
Original Filing: 300197357.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange consolidation
Mutual recognition of foreign securities
Securities issuances under Section 144a of the Securities Act of 1933Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities exchanges (HR 2868)
Symbology
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Consideration of Nasdaq application to open representative office in Beijing
Capital formation process in the United States
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
SEC implementation of Regulation NMS
SEC reform of self-regulatory organizations
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2008
In Q1, Nasdaq OMX Group (formerly "The Nasdaq Stock Market") had in-house lobbyists. The report was filed on April 18, 2008.
Original Filing: 300044771.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange
Global Exchange consolidation
Mutual recognition of foreign securities
Securities issuances under Section 144a of the Securities Act of 1933Proprietary ownership and distribution of market data
Legislation to eliminate the exemption from state regulation for certain securities designated by national securities
exchanges (HR 2868)
Symbology
Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards
Consideration of Nasdaq application to open representative office in Beijing
Capital formation process in the United States
Effects on hedge fund regulation on US markets and trading volumes
Treatment of investment company and private equity firms
Trading rules for options exchanges
Security index products, exchange traded funds and other index-based products
SEC implementation of Regulation NMS
SEC reform of self-regulatory organizations
SRO rulemaking reform
Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate
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