• - S. 2230/H.R. 4551, Protecting Investors Personally Identifiable Information Act - Issues related to blockchain and cryptocurrency regulation - Issues related to the Financial Data Transparency Act (included as part of Public Law 117-263)
• - Issues related to Regulation Best Interest and fiduciary standards - Issues related to ESG investing in retirement plans (H.J. Res. 30; S.J. Res. 8)
• - Issues related to infrastructure investment - Issues related to public finance and municipal financing - H.R. 1837, Investing in Our Communities Act - H.R. 490, Federal Infrastructure Bank Act of 2023
• - Issues related to capital formation; Issues related to private client business lines, H.R. 2622/S. 2141 (legislation relating to MiFid II); Issues related to financial recordkeeping; Issues related to equity market structure and disclosures; Issues related to fixed income market structure, disclosure, and reporting times (MSRB Rule G-14; FINRA Rule 6730; MSRB Rule G-47); Issues related to Chinas impact on U.S. capital markets; SEC Rule 15c2-11; SEC Rule 15c2-12; Issues related to the Consolidated Audit Trail (CAT) and Consolidated Audit Information System (CAIS); Issues related to FINRAs remote inspections proposal; FINRAs remote supervisory location proposal; Issues related to conflicts of interest in securitizations; Issues related to shortening of settlement cycles; Issues related to proxy voting process; FINRA Rule 4210; Issues related to investor choice and ESG investing; Issues related to SEC rule proposal process and costs of proposals; Issues related to IPOs; H.R. 2812, Middle Market IPO Underwriting Cost Act; Issues related to the SECs predictive data analytics proposal; Issues related to Hart-Scott-Rodino pre-merger notifications; Issues related to SEC oversight; H.R. 7758, No China in Index Funds Act
• - S. 2309/H.R. 4664,Financial Services and General Government Appropriations Act and related House legislation, 2024 - H.R. 2882, Further Consolidated Appropriations Act, 2024

Duration: October 1, 2020 to present

General Issues: Banking, Labor Issues/Antitrust/Workplace, Taxation/Internal Revenue Code, Financial Institutions/Investments/Securities, Budget/Appropriations, Accounting, Copyright/Patent/Trademark, Insurance, Housing, Trade (Domestic & Foreign), Bankruptcy, Economics/Economic Development

Spending: about $850,000 (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 2020: U.S. Senate, House of Representatives, Securities & Exchange Commission (SEC), Treasury - Dept of, Labor - Dept of (DOL)