Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues; SEC's Proposed Rule on Volume-Based Exchange Transaction Pricing for NMS Stocks.
Duration: January 1, 2008
to
present
General Issues: Financial Institutions/Investments/Securities , Agriculture , Banking
Spending: about $3,960,000 (But it's complicated. Here's why.)
It can be tricky to figure out how much an organization spent on a particular lobbying engagement. The law only requires lobbyists to report the amount they were paid for federal lobbying each quarter rounded to the nearest $10,000—and if it's less than $3,000 in a given quarter (or less than $13,000 for organizations with in-house lobbyists), they don't have to disclose it at all. Plus, some organizations include spending that doesn’t belong in the report—for instance, money spent lobbying state governments or other legal work.
Agencies lobbied since 2008: U.S. Senate, House of Representatives, Securities & Exchange Commission (SEC), Treasury - Dept of, Natl Economic Council (NEC), U.S. Senate,, Commodity Futures Trading Commission (CFTC)
Lobbyists
Lobbyists named here were listed on a filing related to this lobbying engagement. They may not be working on it now. Occasionally, a single lobbyist whose name is spelled two different ways on filings may be represented twice here.
Lobbyist
Covered positions?
Dwight Fettig Staff Director, Senate Banking Commitee
Legislative Director, Rep./Sen. Tim Johnson
Ben Turner Legislative Director, Rep. John Delaney; Legislative Assistant/Legal Counsel, Rep. Jim Himes; Legislative Correspondent, Rep. Jim Himes; Legislative Aide, Rep. Joe Courtney
Bryan Blom Staff Director, Senate Banking Subcommittee on National Security, International Trade & Finance; Minority Staff Director, Senate Banking Subcommittee on Securities, Insurance, and Investment; Legislative Director, Rep. Sean Duffy
Jillien Williams Staff, Rep. Jo Bonner
Jason Pitcock Counsel, House Subcommittee on Capital Markets
Kirsten Johnson-Obey Professional Staff, House FI&CC Subcommittee
Leg Director, Rep. Bruce F. Vento
Leg Assistant, Rep. Bruce F. Vento
Kelly McGrath Legislative Assistant, House Financial Services Committee
Jennifer Read Deputy Chief Counsel, House Financial Services Committee; Senior Counsel, House Financial Services Committee; Counsel, House Financial Services Committee; Presidential Management Fellow, U.S. Department of Housing and Urban Affairs
Stephen Newton Deputy Legislative Director, Sen. Romney; Senior Policy Advisor, Sen. Romney; Legislative Assistant, Sen. Romney; Legislative Assistant, Sen. Kennedy; Research Assistant, Senate Committee on Small Business and Entrepreneurship
Lendell Porterfield n/a
Dawn Sears n/a
Andrew Lowenthal n/a
Dawn Sears Callaghan n/a
Dawn Callaghan n/a
Brendon Weiss n/a
Jennifer Rust (Read) n/a
Disclosures Filed
Once a lobbying engagement begins, the lobbyist or firm is required to file updates four times a year. Those updates sometimes change which lobbyists are involved or add new issues being discussed. When lobbyists stop working for a client, the firm is also supposed to file a report disclosing the end of the relationship.
1st Quarter, 2024
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 22.
Original Filing: 301570990.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues; SEC's Proposed Rule on Volume-Based Exchange Transaction Pricing for NMS Stocks.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2023
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 22.
Original Filing: 301539284.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2023
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Oct. 19, 2023.
Original Filing: 301509340.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2023
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on July 19, 2023.
Original Filing: 301483169.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2023
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 17, 2023.
Original Filing: 301453031.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues; SECs pending action on market structure and Regulation NMS.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2022
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 19, 2023.
Original Filing: 301434024.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2022
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Oct. 18, 2022.
Original Filing: 301406762.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2022
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on July 19, 2022.
Original Filing: 301387063.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2022
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 18, 2022.
Original Filing: 301359170.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange; immunity issues.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2021
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 19, 2022.
Original Filing: 301326640.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2021
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Oct. 18, 2021.
Original Filing: 301301712.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2021
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on July 20, 2021.
Original Filing: 301287475.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2021
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 19, 2021.
Original Filing: 301258254.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; venture exchange.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2020
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 20, 2021.
Original Filing: 301238264.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2020
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Oct. 15, 2020.
Original Filing: 301210905.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2020
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on July 20, 2020.
Original Filing: 301196199.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2020
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 20, 2020.
Original Filing: 301175344.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2019
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 16, 2020.
Original Filing: 301107690.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2019
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Oct. 21, 2019.
Original Filing: 301076570.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2019
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on July 22, 2019.
Original Filing: 301055377.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency; H.R. 588/S.3723, the Main Street Growth Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2019
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on April 17, 2019.
Original Filing: 301027344.xml
Lobbying Issues
Clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs' security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading; short selling transparency
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2018
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ, Inc. , earning $70,000. The report was filed on Jan. 17, 2019.
Original Filing: 301006482.xml
Lobbying Issues
H.R. 5877, the Main Street Growth Act; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading and H.R. 3973, Market Data Protection Act of 2017; H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection; S. 3641, Corporate Governance Fairness Act; H.R. 5970, the Modernizing Disclosures for Investors Act; H.R.3555, Exchange Regulatory Improvement Act; H.R. 3903, Encouraging Public Offerings Act of 2017; short selling transparency; JOBS Act 3.0
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2018
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $70,000. The report was filed on Oct. 12, 2018.
Original Filing: 300984681.xml
Lobbying Issues
H.R. 5877, the Main Street Growth Act; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; security market structure and price transparency; proprietary ownership and distribution of market data; corporate governance issues; cybersecurity and system infrastructure; computer trading and H.R. 3973, Market Data Protection Act of 2017; H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection; issues related to capital formation; Voldex; H.R. 5970, the Modernizing Disclosures for Investors Act; H.R.3555, Exchange Regulatory Improvement Act; H.R. 3903, Encouraging Public Offerings Act of 2017; short selling transparency; JOBS Act 3.0
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2018
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $70,000. The report was filed on July 20, 2018.
Original Filing: 300973813.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; H.R. 5877, the Main Street Growth Act; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; H.R. 3973, Market Data Protection Act of 2017; H.R.4248, conflicts minerals; H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection; issues related to capital formation; Voldex; H.R. 5970, the Modernizing Disclosures for Investors Act; H.R.3555, Exchange Regulatory Improvement Act; H.R. 3903, Encouraging Public Offerings Act of 2017.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2018
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $70,000. The report was filed on April 19, 2018.
Original Filing: 300950303.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; H.R. 3973, Market Data Protection Act of 2017; H.R.4248, conflicts minerals; H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection; issues related to capital formation; Voldex
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2017
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $70,000. The report was filed on Jan. 19, 2018.
Original Filing: 300929838.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; H.R. 3973, Market Data Protection Act of 2017; H.R.4248, conflicts minerals; H.R. 4015, Corporate Governance Reform and Transparency Act of 2017; S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2017
PORTERFIELD, FETTIG & SEARS, LLC amended a lobbying report for representation of NASDAQ OMX Group, Inc. in Q32017 on Jan. 22, 2018.
Original Filing: 300936062.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; HR 10, Choice Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2017
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 20, 2017.
Original Filing: 300911972.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; HR 10, Choice Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2017
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 18, 2017.
Original Filing: 300887703.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act; HR 10, Choice Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2017
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 19, 2017.
Original Filing: 300869559.xml
Lobbying Issues
Trading and listing standards needed for a U.S. Venture Exchange; clarification of legal certainty for the trading of private securities on the Nasdaq Private Market platform; transparency and conflicts of interest in the proxy advisory industry; incentives for the trading of small cap stocks/ETFs; implementation and expansion of the JOBS Act/capital formation agenda/IPOs; 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; computer trading and HR.1257 & S.462, Securities and Exchange Commission Overpayment Credit Act.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2016
In Q4, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 18, 2017.
Original Filing: 300848490.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; Transparency and conflicts of interest in the proxy advisory industry - HR 5311 Corporate Governance and Transparency Act;
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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;
The operation of technology; computer trading;
HR.1975 - Securities and Exchange Commission Overpayment Credit Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2016
In Q3, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 19, 2016.
Original Filing: 300833592.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; Transparency and conflicts of interest in the proxy advisory industry - HR 5311 Corporate Governance and Transparency Act;
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
The operation of technology, computer trading
HR.1975 - Securities and Exchange Commission Overpayment Credit Act
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2016
In Q2, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 15, 2016.
Original Filing: 300810446.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; Transparency and conflicts of interest in the proxy advisory industry - HR 5311 Corporate Governance and Transparency Act;
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
The operation of technology, computer trading
HR.1839 - The Reforming Access for Investments in Startup Enterprises Act of 2015
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2016
In Q1, PORTERFIELD, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 18, 2016.
Original Filing: 300793198.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; Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
HR.1839 - The Reforming Access for Investments in Startup Enterprises Act of 2015
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2015
In Q4, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 19, 2016.
Original Filing: 300777082.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; Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
HR.1839 - The Reforming Access for Investments in Startup Enterprises Act of 2015
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2015
In Q3, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 20, 2015.
Original Filing: 300761067.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; Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
HR.1839 - The Reforming Access for Investments in Startup Enterprises Act of 2015
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2015
In Q2, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 17, 2015.
Original Filing: 300738598.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; Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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
HR.1839 - The Reforming Access for Investments in Startup Enterprises Act of 2015
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2015
In Q1, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 20, 2015.
Original Filing: 300723511.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; Transparency and conflicts of interest in the proxy advisory industry
SEC Conflict Minerals Rule; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act/capital formation agenda/IPOs; 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, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 19, 2015.
Original Filing: 300701146.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC conflict minerals rules; incentives for the trading of small cap stocks; Jobs Act; security market structure and price transparency; SEC policies during turbulent market conditions; proprietary ownership and distribution of market data; corporate governance issues including SOX, cybersecurity and system infrastructure; the operation of technology; computer trading; trading rules for options exchanges.
Agencies Lobbied
U.S. Senate
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2014
In Q3, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 20, 2014.
Original Filing: 300685943.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC Conflict mineral rules; incentives for the trading of small cap stocks; JOBS Act; 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 SOX, cybersecurity and system infrastructure; the operation of technology, computer trading; trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2014
In Q2, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 18, 2014.
Original Filing: 300661544.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC Conflict mineral rules; incentives for the trading of small cap stocks; JOBS Act; 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 SOX, cybersecurity and system infrastructure; the operation of technology, computer trading; trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2014
In Q1, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 21, 2014.
Original Filing: 300644863.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC Conflict mineral rules; incentives for the trading of small cap stocks; JOBS Act; 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 SOX, cybersecurity and system infrastructure; the operation of technology, computer trading; trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2013
In Q4, PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 21, 2014.
Original Filing: 300626803.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC Conflict mineral rules; incentives for the trading of small cap stocks; JOBS Act; 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 SOX, cybersecurity and system infrastructure; the operation of technology, computer trading; trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2013
In Q3, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 18, 2013.
Original Filing: 300598398.xml
Lobbying Issues
Transparency and conflict of interest in the proxy advisory industry; SEC Conflict minerals rules; incentives for the trading of small cap stocks; the Jobs Act; 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 includin SOX, cybersecurity and system infrastructure; the operation of technology, computer trading; trading rules for options exchanges.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2013
PORTERFIELD, LOWENTHAL, FETTIG & SEARS, LLC amended a lobbying report for representation of NASDAQ OMX Group, Inc. in Q22013 on July 17, 2015.
Original Filing: 300738754.xml
Lobbying Issues
Incentives for trading of small cap stocks/ETFs; H.R. 3606, Jumpstart Our Business Start-ups Act; Highly skilled workers -- immigration reform; 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; The operation of technology, computer trading; Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2013
In Q2, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Aug. 19, 2013.
Original Filing: 300589202.xml
Lobbying Issues
Incentives for trading of small cap stocks/ETFs; H.R. 3606, Jumpstart Our Business Start-ups Act; Highly skilled workers -- immigration reform; 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; The operation of technology, computer trading; Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2013
In Q1, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 22, 2013.
Original Filing: 300561928.xml
Lobbying Issues
Incentives for trading of small cap stocks/ETFs; H.R. 3606, Jumpstart Our Business Start-ups Act; Highly skilled workers -- immigration reform; 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; The operation of technology, computer trading; Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2012
In Q4, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 18, 2013.
Original Filing: 300533408.xml
Lobbying Issues
Incentives for trading of small cap stocks/ETFs; H.R. 3606, Jumpstart Our Business Start-ups Act; Highly skilled workers -- immigration reform; 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; The operation of technology, computer trading; Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2012
In Q3, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 19, 2012.
Original Filing: 300514141.xml
Lobbying Issues
Incentives for trading of small cap stocks/ETFs; H.R. 3606, Jumpstart Our Business Start-ups Act; Highly skilled workers -- immigration reform; 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; The operation of technology, computer trading; Trading rules for options exchanges
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2012
In Q2, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 20, 2012.
Original Filing: 300496949.xml
Lobbying Issues
trading rules for options exchange; market structure and price transparency; taxation of securities transactions; highly skilled workers, immigration; financial services reform
H.R. 3606, Jumpstart Our Business Start-ups Act; S. 1933, Reopening American Capital Markets to Emerging Growth Companies Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2012
In Q1, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 20, 2012.
Original Filing: 300472557.xml
Lobbying Issues
trading rules for options exchange; market structure and price transparency; taxation of securities transactions; highly skilled workers, immigration; financial services reform
H.R. 3606, Jumpstart Our Business Start-ups Act; S. 1933, Reopening American Capital Markets to Emerging Growth Companies Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2011
In Q4, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Jan. 20, 2012.
Original Filing: 300447820.xml
Lobbying Issues
capital formation, corporate governance issues, including Sarbanes-Oxley; trading rules for options exchange; market structure and price transparency; taxation of securities transactions; highly skilled workers, immigration; financial services reform
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2011
In Q3, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 19, 2011.
Original Filing: 300420442.xml
Lobbying Issues
capital formation; corporate governance issues, including Sarbanes-Oxley; trading rules for options exchange; market structure and price transparancy; taxation of securities transactions; highly skilled workers, immigration; financial services reform
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2011
In Q2, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on July 20, 2011.
Original Filing: 300401526.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; Implementation of H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; SRO Reform; security market structure.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2011
In Q1, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on April 20, 2011.
Original Filing: 300374030.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; Implementation of H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; SRO Reform; listed venture market
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2010
PORTERFIELD & LOWENTHAL, LLC amended a lobbying report for representation of NASDAQ OMX Group, Inc. in Q42010 on April 30, 2012.
Original Filing: 300477196.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; SRO Reform; increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2010
In Q4, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Dec. 3, 2010.
Original Filing: 300333216.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; SRO Reform; increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2010
In Q3, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $60,000. The report was filed on Oct. 19, 2010.
Original Filing: 300317964.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; SRO Reform; increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2010
In Q2, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on July 20, 2010.
Original Filing: 300299771.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; SRO rulemaking reform; financial services regulatory reform; H.R. 4173, Wall Street and Consumer Protection Act of 2009; S 3217, Restoring American Financial Stability Act of 2010; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 4173, Wall Street and Consumer Protection Act of 2009;
S 3217, "Restoring American Financial Stability Act of 2010;
H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act
Agencies Lobbied
U.S. House of Representatives
1st Quarter, 2010
In Q1, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on April 20, 2010.
Original Filing: 300272004.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systesms for emission reductions, including cap and trading proposals; financial services regulatory reform; H.R. 4173, Wall Street and Consumer Protection Act of 2009; S 3217, "Restoring American Financial Stability Act of 2010"
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Agencies Lobbied
U.S. House of Representatives
4th Quarter, 2009
In Q4, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on Jan. 19, 2010.
Original Filing: 300238189.xml
Lobbying Issues
Proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systesms for emission reductions, including cap and trading proposals; H.R. 4173, Wall Street and Consumer Protection Act of 2009; HR 3996 "Financial Stability Improvement Act of 2009"; H.R. 3795 "Over-the-Counter Derivatives Act of 2009"
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 3795 "Over-the-Counter Derivatives Act of 2009"
Agencies Lobbied
U.S. House of Representatives
3rd Quarter, 2009
In Q3, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on Oct. 20, 2009.
Original Filing: 300215834.xml
Lobbying Issues
Mutual recognition of foreign securities markets; proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systems for emission reductions, including cap and trading proposals; financial services regulatory reform; increased transparency of over-the-counter derivatives, credit default swaps and interest rate swaps.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2009
PORTERFIELD, LOWENTHAL & FETTIG, LLC amended a lobbying report for representation of NASDAQ OMX Group, Inc. in Q32009 on Oct. 20, 2009.
Original Filing: 300216018.xml
Lobbying Issues
Mutual recognition of foreign securities markets; proprietary ownership and distribution of market data; corporate governance isses, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systems for emission reductions, including cap and trading proposals; financial services regulatory reform;Increased transparency of over-the-counter trading of derivatives, credit default swaps and interest rate swaps.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2009
In Q2, PORTERFIELD, LOWENTHAL & FETTIG, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on July 20, 2009.
Original Filing: 300189467.xml
Lobbying Issues
Mutual recognition of foreign securities markets; proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implemention and enhanced listing standards; trading rules for options exchanges; role of NASDAQ Clearing Corporation in the marketplace; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systems for emission reductions, including cap and trading proposals; financial services regulatory reform.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2009
In Q1, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on April 19, 2009.
Original Filing: 300156267.xml
Lobbying Issues
Mutual recognition of foreign securities markets; proprietary ownership and distribution of market data; corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; trading rules for options exchanges; 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; increased transparency of over-the-counter trading derivatives, credit default swaps and interest rate swaps (HR 977); Financial Services Regulatory Reform.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2008
In Q4, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ OMX Group, Inc. , earning $40,000. The report was filed on Jan. 16, 2009.
Original Filing: 300122058.xml
Lobbying Issues
Mutual recognition of foreign securities markets; Proprietary ownership and distribution of market data; Corporate governance issues, including Sarbanes-Oxley implemenation and enhanced listing standards; SRO rulemaking reform; policies aimed at creating financial instruments and market trading systems for emissions reductions - cap and trading proposals; trading rules for options exchanges; trading rules for options exchanges.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2008
In Q3, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ STOCK MARKET, INC. , earning $40,000. The report was filed on Oct. 17, 2008.
Original Filing: 300098448.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; Proprietary ownership and distribution of market data; Symbology; Policies aimed at creating financial instruments and market trading systems for emissions reductions, including cap and trading proposals;-Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; SRO Rulemaking reform
Agencies Lobbied
U.S. House of Representatives
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; Mutual recognition of foreign securities markets; Proprietary ownership and distribution of market data; Symbology; Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; -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
2nd Quarter, 2008
In Q2, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ STOCK MARKET, INC. , earning $40,000. The report was filed on July 18, 2008.
Original Filing: 300071415.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; 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); Symbology;
-Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; 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
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; Mutual recognition of foreign securities markets; Securities issuances under Section 144a of the Securities of 1933;
Proprietary ownership and distribution of market data; Symbology; Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; -Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; SRO Rulemaking reform.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2008
In Q1, PORTERFIELD & LOWENTHAL, LLC lobbied for NASDAQ STOCK MARKET, INC. , earning $40,000. The report was filed on April 21, 2008.
Original Filing: 300051308.xml
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; 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); Symbology;
-Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; SRO Rulemaking reform.
Agencies Lobbied
U.S. House of Representatives
Lobbying Issues
Nasdaq acquisitions of the OMX Group, Boston Stock Exchange and the Philadelphia Stock Exchange; Global exchange consolidation; Mutual recognition of foreign securities markets; Securities issuances under Section 144a of the Securities of 1933;
Proprietary ownership and distribution of market data; Symbology; Corporate governance issues, including Sarbanes-Oxley implementation and enhanced listing standards; -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.
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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