id,filing_uuid,filing_type,registrant_name,registrant_id,client_name,filing_year,filing_period,issue_code,specific_issues,government_entities,income_amount,expense_amount,is_no_activity,is_termination,received_date
2591026,d17f4e95-f820-4b17-a444-3aebb788389e,1T,"TAUZIN CONSULTANTS, LLC",400671007,ST. CHARLES PARISH,2021,first_quarter,FIN,Issues related to the upcoming NFIP reauthorization.,"Army, Dept of (Corps of Engineers),HOUSE OF REPRESENTATIVES,SENATE",10000,,0,1,2021-02-01T09:09:34.993000-05:00
2591094,c29ae01f-5be6-4b6f-a4cd-0f124f04d05e,1T,TIGER HILL PARTNERS LLC,401105491,"HILL STRATEGY LLC ON BEHALF OF IEX GROUP, INC.",2021,first_quarter,FIN,Equity market structure reform - no specific legislation,"HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",10000,,0,1,2021-03-01T10:41:57.980000-05:00
2591190,dc13a0ac-ea46-4a92-93d9-87d9b75cd621,Q1,CALIFORNIA AND NEVADA CREDIT UNION LEAGUES,7725,CALIFORNIA AND NEVADA CREDIT UNION LEAGUES,2021,first_quarter,FIN,Credit union and credit union related issues.,"Consumer Financial Protection Bureau (CFPB),Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,Justice, Dept of (DOJ),Natl Credit Union Administration (NCUA),SENATE,Treasury, Dept of",,110000,0,0,2021-03-12T14:08:38.743000-05:00
2591259,3ea907c1-e916-49c6-be8a-1f5bc6be619b,1T,"NORTH SOUTH GOVERNMENT STRATEGIES, FKA JDM PUBLIC STRATEGIES, LLC",400689052,CONSUMER CREDIT INDUSTRY ASSOCIATION,2021,first_quarter,FIN,track legislative activity related to business of insurance legislation and related CFPB authority; track legislative activity related to the sale of voluntary protection products in relation to financing transactions,"HOUSE OF REPRESENTATIVES,SENATE,White House Office",20000,,0,1,2021-03-24T18:47:12.650000-04:00
2591498,7b57b1c2-d54f-46fb-bc0b-70c5d2b0c3bb,1T,"ELEVATE CREDIT, INC.",401104725,"ELEVATE CREDIT, INC.",2021,first_quarter,FIN,"Bank Vendor issues, rate cap","HOUSE OF REPRESENTATIVES,SENATE",,,0,1,2021-04-01T15:37:56.150000-04:00
2591581,6c2333e7-5c48-494a-9898-c651b4a2b4be,Q1,EXEL ADVISORS,401105119,MGIC,2021,first_quarter,FIN,SEC Asset Management Advisory Committee activities.,"HOUSE OF REPRESENTATIVES,SENATE",10000,,0,0,2021-04-02T11:48:42.407000-04:00
2591595,3d9da3a3-fefc-485d-98a5-b34dcfba86f9,Q1,CORPORATION FOR SUPPORTIVE HOUSING,69195,CORPORATION FOR SUPPORTIVE HOUSING,2021,first_quarter,FIN,grandfather CDFIs into managing SBA programs such as Paycheck Protection Program without requiring that they comply with banking regulations or SBA designations,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-02T12:03:48.190000-04:00
2591692,a18f3848-845f-4cc2-8797-5f906f272980,Q1,ATOLLETC LLC,401105527,ATOLLETC LLC,2021,first_quarter,FIN,"Digital Assets, Cryptocurrencies, Blockchain","Education, Dept of,HOUSE OF REPRESENTATIVES,SENATE",,10000,0,0,2021-04-02T16:39:30.913000-04:00
2591703,6ab3ba93-3e27-4e69-9973-667e9637606f,Q1,ATOLLETC LLC,401105527,GOVERNMENT BLOCKCHAIN ASSOCATION - SPRINGFIELD,2021,first_quarter,FIN,"Digital Assets, Cryptocurrencies, Blockchain","HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-02T16:44:32.230000-04:00
2591796,f26a08d6-25e0-48ed-8ef4-4e222d5e45f3,Q1,WASHINGTON MATTERS LLC,40036305,COALITION FOR EQUITABLE REGULATION AND TAXATION,2021,first_quarter,FIN,Seeking clarification of proposed amendments to cash reporting applied to small businesses.,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-03T11:46:08.870000-04:00
2591847,f6dbcb5a-d856-4001-8ad2-89aefd155444,Q1,HOLLAND & KNIGHT LLP,18466,HOUGHTON MIFFLIN HARCOURT,2021,first_quarter,FIN,S.3548 - CARES Act.,"Education, Dept of,HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",50000,,0,0,2021-04-04T11:03:44.200000-04:00
2591849,e36afa7c-188a-4b27-8e64-75b954374e5d,Q1,HOLLAND & KNIGHT LLP,18466,"CONTINENTAL SERVICE GROUP, INC. D/B/A CONSERVE",2021,first_quarter,FIN,Education and advocacy around the private debt collection program required under Section 6306(c)(1) of the Internal Revenue Code and ConServe's position as an approved private debt collector under the program.,"HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-04T11:18:44.960000-04:00
2591923,a3a9d121-e79c-48a7-b451-ea97a4d50011,Q1,"ADVANCED POLICY CONSULTING, LLC",401103524,"INDEPENDENT INVESTMENT BANKERS, CORP.",2021,first_quarter,FIN,"HR 935 - ""Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021""","HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-05T10:47:36.340000-04:00
2591924,3fbb998f-8761-4e4e-b919-bb6c8ec9e469,Q1,"ADVANCED POLICY CONSULTING, LLC",401103524,"BA SECURITIES, LLC",2021,first_quarter,FIN,"HR 935 - ""Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021""","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2021-04-05T10:49:37.087000-04:00
2591925,25956879-1fae-42a0-8379-056ee9884544,Q1,"ADVANCED POLICY CONSULTING, LLC",401103524,"M&A SECURITIES GROUP, INC.",2021,first_quarter,FIN,"HR 935 - ""Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021""","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2021-04-05T10:51:37.910000-04:00
2591937,2c91795a-db92-497e-a453-10273a83f2f7,Q1,"ADVANCED POLICY CONSULTING, LLC",401103524,INVESTMENT COMPANY INSTITUTE (ICI),2021,first_quarter,FIN,Monitoring Financial Stability Councils (FSOC) review process of asset managers as systemically important financial institutions (SIFI) and related legislation. Hart-Scott-Rodino Antitrust Improvements Act (HSR) as it pertains to investment companies and aggregate threshold requirements.,"HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2021-04-05T11:09:44.447000-04:00
2591968,4d02ec63-971e-4a2f-8bfa-d2319e8ed533,Q1,"ADVANCED POLICY CONSULTING, LLC",401103524,ASSOCIATION OF INDEPENDENT MORTGAGE EXPERTS (AIME),2021,first_quarter,FIN,Monitor financial services legislation that may impact independent mortgage brokers,"HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2021-04-05T12:46:55.773000-04:00
2592104,629b7002-6dba-41cb-abcf-953f9fe1b7a1,Q1,RICH FEUER ANDERSON,84775,"SOCIAL FINANCE, INC.",2021,first_quarter,FIN,"Regulation of online lenders, including potential national charters, application of banking regulations, and securitization of student loans.  Implementation of H.R. 748, the ""Coronavirus Aid, Relief and Economic Security Act.""","HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-05T17:41:23.217000-04:00
2592106,31ead8bd-5335-4e81-80d3-040da2f2c5ce,Q1,RICH FEUER ANDERSON,84775,WELLINGTON MANAGEMENT CO LLP,2021,first_quarter,FIN,Legislation and regulation affecting asset management services.,"HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-05T17:49:24.637000-04:00
2592173,2dde92ae-808b-4bcb-9e5f-ab0a9122bf2a,Q1,COUNCIL OF INSTITUTIONAL INVESTORS,11082,COUNCIL OF INSTITUTIONAL INVESTORS,2021,first_quarter,FIN,"March 25, 2021CII letter to SEC on Nasdaq proposal relating to SPACs
March 18, 2021CII letter to Senate Banking Committee supporting the SEC as Investor Advocate Act of 2021
Attachment: draft of the SEC as Investor Advocate Act of 2021
March 18, 2021CII letter to SEC on Rule 144
March 16, 2021 CII staff and members met with staffers from the offices of Sen. Tammy Baldwin (D-Wisc.) and Rep. Anthony Gonzalez (R-Ohio) as well as staffers from the House Financial Services Committees Subcommittee on Investor Protection, Entrepreneurship and Capital Markets and the Senate Banking Committees Subcommittee on Securities and Capital Markets. At the SEC, they met with Acting Chair Allison Herren Lee, Commissioner Hester Peirce, Investor Advocate Rick Fleming and Acting Director of the Division of Corporation Finance John Coates.  
Feb. 25, 2021CII letter to SEC on NYSE proposal relating to SPACs
Feb. 18, 2021CII letter to SEC on Nasdaq proposal relating to restrictive market companies
Feb. 17, 2021CII letter to UK Treasury on dual-class share structures
Feb. 1, 2021CII letter to FTC on premerger notification proposal
Jan. 13, 2021CII letter to SEC on Nasdaq proposal relating to direct listings 
Jan. 7, 2021CII letter to SEC on Nasdaq proposal relating to SPACs","Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",,10000,0,0,2021-04-06T11:13:16.037000-04:00
2592236,550fd6a2-86a3-4d69-a518-9090e868e1b4,Q1,"NASDAQ, INC.",27115,NASDAQ INC,2021,first_quarter,FIN,"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.","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,505000,0,0,2021-04-06T14:09:04.473000-04:00
2592413,0371b6b6-55e2-481c-b500-6863d6e3d491,Q1,NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS,26901,NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS,2021,first_quarter,FIN,"Issues related to the implementation of the Dodd-Frank Wall Street Reform Act 2010.  Issues related to the regulation of securities products, including the conduct, compensation and use of the title ""advisor.adviser"" by those who sell them.  Issues related to the regulation of certain employee benefit plan/sponsors/participants and IRA holders under ERISA.  Issues related to investment advice provided by municipal advisors.  Issues related to consumer compensation in instances of investment fraud.  Issues related to the disclosure of potential examples of financial exploitation of senior citizens.","Centers For Medicare and Medicaid Services (CMS),Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Labor, Dept of (DOL),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,425021,0,0,2021-04-07T09:16:54.623000-04:00
2592495,2697870d-2594-4b97-9711-fd96e3e595c7,Q1,HUTTON STRATEGIES,312758,FEDERATED INVESTORS,2021,first_quarter,FIN,financial services and capital markets issues generally.,"HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-07T11:41:48.273000-04:00
2592941,2439bf12-0688-4304-8939-e09e32cb186d,Q1,THE INSTITUTE OF INTERNAL AUDITORS,401104412,THE INSTITUTE OF INTERNAL AUDITORS,2021,first_quarter,FIN,"Issues related to corporate governance, risk management and auditing standards.  Issues related to the internal auditing sector.  Issues related to SEC disclosures.","HOUSE OF REPRESENTATIVES,SENATE",,30000,0,0,2021-04-09T14:32:36.880000-04:00
2593008,f1a73e56-68d5-44bc-8bdf-387e74363493,Q1,"RESOLUTION PUBLIC AFFAIRS, LLC",401105068,WELLS FARGO & COMPANY,2021,first_quarter,FIN,"Issues related to GSIBs, generally","HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-09T18:27:35.683000-04:00
2593010,5b5633bf-8c75-4b0f-856d-586a5cca3046,Q1,"RESOLUTION PUBLIC AFFAIRS, LLC",401105068,INVESTMENT COMPANY INSTITUTE,2021,first_quarter,FIN,"HR 1319 the American Recovery Program.  Issues related to retirement savings, generally","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-09T18:32:38.273000-04:00
2593062,6797eebb-7bb1-46d8-871a-c13116ba1c02,Q1,"WATER STRATEGIES, LLC",400434103,NATIONAL WATER RESOURCES ASSOCIATION,2021,first_quarter,FIN,"Review and track Special Districts Provide Essential Services Act  (H.R. 535/ S.91)

Review and track H.R.1319 - American Rescue Plan Act of 2021

Review and support water conservation tax parity sections of H.R. 848, the Growing Renewable Energy and Efficiency Now (GREEN) Act","Agriculture, Dept of (USDA),Army, Dept of (Corps of Engineers),Bureau of Reclamation,Council on Environmental Quality (CEQ),Environmental Protection Agency (EPA),Federal Emergency Management Agency (FEMA),Food & Drug Administration (FDA),Homeland Security, Dept of (DHS),HOUSE OF REPRESENTATIVES,Office of Management & Budget (OMB),SENATE,U.S. Fish & Wildlife Service (USFWS),U.S. Forest Service",120000,,0,0,2021-04-10T07:29:00.087000-04:00
2593093,da770291-5461-41ad-8e31-968edc0cb464,Q1,THE WILLIAMS GROUP,401104049,GENERAL MOTORS,2021,first_quarter,FIN,Federal charters,"HOUSE OF REPRESENTATIVES,SENATE",15000,,0,0,2021-04-10T09:56:12.317000-04:00
2593097,1222b90b-bafe-4aaa-a3df-9db31d9797cf,Q1,THE WILLIAMS GROUP,401104049,"METLIFE GROUP, INC.(FKA METROPOLITAN LIFE)",2021,first_quarter,FIN,Insurance and Securities Law,"HOUSE OF REPRESENTATIVES,SENATE",19500,,0,0,2021-04-10T09:58:13.590000-04:00
2593098,9587ae33-fae3-43bb-8358-ebe9be363236,Q1,THE WILLIAMS GROUP,401104049,AMERICAN FINANCIAL SERVICES ASSOCIATION,2021,first_quarter,FIN,Banking Law,"HOUSE OF REPRESENTATIVES,SENATE",15000,,0,0,2021-04-10T10:00:14.797000-04:00
2593099,6bd2a8f3-ce8c-462e-abe8-40abc6d16eee,Q1,THE WILLIAMS GROUP,401104049,TRANSUNION,2021,first_quarter,FIN,Fai Credit Reporting Act,"HOUSE OF REPRESENTATIVES,SENATE",11250,,0,0,2021-04-10T10:03:16.067000-04:00
2593101,832f66f9-c131-4968-89fd-53c5db54c2b7,1T,THE WILLIAMS GROUP,401104049,THE MANAGED FUNDS ASSOCIATION,2021,first_quarter,FIN,Securities Law,"HOUSE OF REPRESENTATIVES,SENATE",15000,,0,1,2021-04-10T10:07:18.430000-04:00
2593103,6734b22e-2946-446e-8c2e-6a89a58cbb8f,Q1,THE WILLIAMS GROUP,401104049,ROBINHOOD,2021,first_quarter,FIN,Securities Law,"HOUSE OF REPRESENTATIVES,SENATE",45000,,0,0,2021-04-10T10:10:20.827000-04:00
2593110,bcfdb3f8-18f1-40b4-a077-3bfcf74f912d,Q1,HOLLAND & KNIGHT LLP,18466,FEE DEDUCTIBILITY COALITION,2021,first_quarter,FIN,Efforts to reinstate the ability to deduct investment and financial advisory fees.,,,,0,0,2021-04-10T13:28:25.620000-04:00
2593120,7a674bfb-0b42-409a-a88c-52aa36ae8166,Q1,HOLLAND & KNIGHT LLP,18466,NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS,2021,first_quarter,FIN,Broadening SECURE ACT/retirement reform acts; Federal policy related to financial and retirement security.,,,,0,0,2021-04-10T14:14:35.227000-04:00
2593133,b2a28511-51fa-431d-aa2c-3a3c90457d7a,Q1,HOLLAND & KNIGHT LLP,18466,BLOCK.ONE,2021,first_quarter,FIN,Issues related to financial services and financial technologies; blockchain.,"HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-10T15:07:45.287000-04:00
2593187,590cbc34-6857-42cd-917d-6dced46bda70,Q1,PUBLIC CITIZEN,32362,PUBLIC CITIZEN,2021,first_quarter,FIN,payment for order flow and other issues related to gamestop/robinhood,"Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE,White House Office",,90000,0,0,2021-04-12T08:00:37.127000-04:00
2593301,a4155941-c5fe-4216-8145-6377f87ce737,Q1,M&T BANK CORPORATION,401104858,M&T BANK CORPORATION,2021,first_quarter,FIN,"Small Business Lending, other regulations related to financial institutions","HOUSE OF REPRESENTATIVES,SENATE",,90000,0,0,2021-04-12T11:31:10.493000-04:00
2593396,21f5387c-0ef9-431a-83be-43c57bc8583d,Q1,"PORTERFIELD, FETTIG & SEARS, LLC",305054,VANGUARD,2021,first_quarter,FIN,Asset management and money market fund issues; data security and privacy.,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-12T12:58:25.353000-04:00
2593503,4e82f1f5-9db4-4536-ba82-d42bf41bf805,Q1,"RWC, INC",400510505,COIN CENTER,2021,first_quarter,FIN,Issues related to cryptocurrency technology,"Commodity Futures Trading Commission (CFTC),Financial Crimes Enforcement Network (FinCEN),HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",50000,,0,0,2021-04-12T15:15:14.933000-04:00
2593550,eb1ad5d7-7fbd-49a9-932c-dfe7c45b965e,Q1,DENTONS US LLP,36105,AMERICAN AMUSEMENT MACHINE ASSOCIATION,2021,first_quarter,FIN,"Issues related to implementation of Dodd-Frank or to amend Dodd Frank;  Operation Choke Point;  COVID 19 Stimulus Package, American Recovery Act of 2021;","HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE",20000,,0,0,2021-04-12T15:53:44.367000-04:00
2593554,c6cb716c-c438-4d9a-ad9b-fb15e7e294bb,Q1,DENTONS US LLP,36105,AMUSEMENT AND MUSIC OPERATORS ASSOCIATION,2021,first_quarter,FIN,"Issues related to implementation of Dodd-Frank or to amend Dodd Frank;  Operation Choke Point;  COVID 19 Stimulus Package, American Recovery Act of 2021;","HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE",20000,,0,0,2021-04-12T15:54:48.097000-04:00
2593557,bbd261d6-b35a-4aa7-a8aa-99522ae92c80,Q1,"MINDSET ADVOCACY, LLC",296271,LPL FINANCIAL LLC,2021,first_quarter,FIN,General interests in cybersecurity proposals. General interest in proposed Federal Data Breach Notification Standard. General interest in a best-interest standard for investment advice. General interest in enhancing Diversity and Inclusion best practices within the financial services industry.,"HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-12T15:57:52.767000-04:00
2593562,66d12e73-30c1-4d3a-a976-fa38a377840a,Q1,HOLLAND & KNIGHT LLP,18466,"CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC.",2021,first_quarter,FIN,Educating members of Congress and staff on financial planning business tax incentives and retirement issues and policy.,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-12T15:59:57.720000-04:00
2593668,7d2c0413-3189-45fb-822a-bde20fbbc25a,Q1,"LEDGE COUNSEL, INC.",22438,NATIONAL ACTIVE AND RETIRED FEDERAL EMPLOYEES ASSOCIATION,2021,first_quarter,FIN,Federal Retirement Thrift Savings Plan,"Federal Retirement Thrift Investment Board,Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,Office of Personnel Management (OPM),President of the U.S.,SENATE",10000,,0,0,2021-04-12T18:03:18.723000-04:00
2593676,7c5c3d31-e891-496d-954f-7df2641c3374,Q1,PENN AVENUE PARTNERS,400918672,"BRIGHTHOUSE FINANCIAL, INC.",2021,first_quarter,FIN,Financial services issues impacting Brighthouse Financial.,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-12T18:07:26.543000-04:00
2593721,9443efac-8683-489d-b566-b85513ea751c,Q1,VETERANS EDUCATION SUCCESS,401104702,VETERANS EDUCATION SUCCESS,2021,first_quarter,FIN,"Nomination of Rohit Chopra to head CFPB
Consumer financial protection especially re cap on interest rates","HOUSE OF REPRESENTATIVES,SENATE",,10000,0,0,2021-04-12T18:41:00.217000-04:00
2593730,afe6770a-f6ed-4b38-a2b1-ca0c09e4d800,Q1,VALERIE MORSE WHITE CONSULTING,40041336,VISA U.S.A. INC.,2021,first_quarter,FIN,"Issues relating to interchange fees
issues relating to diversity and inclusion
Issues relating to impact of COVID 19",HOUSE OF REPRESENTATIVES,30000,,0,0,2021-04-12T19:43:15.357000-04:00
2593746,4ebfde54-3412-446f-8346-c995da38f590,Q1,LAWRENCE JAMES GROUP PROFESSIONALS LLC,401105099,BORSKI ASSOCIATES ON BEHALF OF PHILADELPHIA INDUSTRIAL DEVELOPMENT CORP,2021,first_quarter,FIN,Support changes to PPP program and designation as lender.,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-12T20:03:26.377000-04:00
2593773,7c4b859a-9638-4eb2-9ca2-52e563d20858,Q1,MANUFACTURED HOUSING INSTITUTE,23714,MANUFACTURED HOUSING INSTITUTE,2021,first_quarter,FIN,"Clarification of Paycheck Protection Program guidelines regarding the eligibility of manufactured housing communities to receive funds.

Monitoring legislation that extends and expands the eviction moratorium and foreclosure moratorium for residents and landlords.

Targeted liability relief legislation to provide businesses a safe harbor pass from unwarranted lawsuits from the COVID health emergency.

Monitoring changes to Ability to Repay/Qualified Mortgage rule.

Revise the Truth in Lending Acts implementing regulation, Regulation Z, to align with Public Law 115-174.

Implement the duty to serve requirements contained in the Housing and Economic Recovery Act of 2008 for manufactured housing (Public Law 110-289).

Seek updates to FHA Title I and Title II Manufactured Home Loan Insurance Programs.

Inclusion of rental assistance and support for small businesses in economic stimulus packages regarding COVID-19.","Commerce, Dept of (DOC),Consumer Financial Protection Bureau (CFPB),Energy, Dept of,Federal Emergency Management Agency (FEMA),Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Labor, Dept of (DOL),SENATE,Small Business Administration (SBA),Treasury, Dept of",,110000,0,0,2021-04-13T08:00:53.667000-04:00
2593852,54748685-d7ea-4998-a45c-df038623d03f,Q1,BORSKI ASSOCIATES,84376,PHILADELPHIA INDUSTRIAL DEVELOPMENT CORP,2021,first_quarter,FIN,Support changes to PPP program and designation as lender,"HOUSE OF REPRESENTATIVES,SENATE",10500,,0,0,2021-04-13T09:47:53.977000-04:00
2593961,e2a02adc-a615-4510-bd4e-ba7a933a6095,Q1,ASSOCIATION OF EQUIPMENT MANUFACTURERS,286017,ASSOCIATION OF EQUIPMENT MANUFACTURERS,2021,first_quarter,FIN,"PN78-24, Support for the nomination and confirmation of Janet Yellen to serve as Secretary of the Treasury","Agriculture, Dept of (USDA),Commerce, Dept of (DOC),Environmental Protection Agency (EPA),HOUSE OF REPRESENTATIVES,Labor, Dept of (DOL),Mine Safety & Health Administration (MSHA),SENATE,Small Business Administration (SBA),Transportation, Dept of (DOT),U.S. Trade Representative (USTR),White House Office",683325,,0,0,2021-04-13T11:15:35.067000-04:00
2594012,f8d26e79-954e-41b4-a96a-9f5152daee31,Q1,"DUTKO WORLDWIDE, LLC",12868,ACCENTURE FEDERAL SERVICES LLC,2021,first_quarter,FIN,Monitor financial services IT modernization,"Agriculture, Dept of (USDA),Education, Dept of,Federal Housing Finance Agency (FHFA),Federal Retirement Thrift Investment Board,Food & Drug Administration (FDA),HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Justice, Dept of (DOJ),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",40000,,0,0,2021-04-13T11:39:06.463000-04:00
2594149,0f47d3d3-06e3-40fe-902c-0126bc71e7b0,Q1,CAPITOL COUNSEL LLC,313715,ENERGY INFRASTRUCTURE COUNCIL,2021,first_quarter,FIN,"Issues related to SEC rule making on shareholder proposal rule 14A-8.  Issues affecting the energy infrastructure industry in the United States, including, but not limited to, environmental, social and governance matters (ESG) including climate change and sustainability.","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",40000,,0,0,2021-04-13T12:48:47.643000-04:00
2594153,0f60b3ef-0fbc-48cb-93f4-585036365203,Q1,HOLLAND & KNIGHT LLP,18466,"PCI SECURITY STANDARDS COUNCIL, LLC",2021,first_quarter,FIN,"Payment card security standards issues related to data breach, privacy, data security, and cyber security.","Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-13T12:55:50.207000-04:00
2594202,265cb9b4-c64d-469c-a8a1-2c39b6826182,Q1,CAPITOL COUNSEL LLC,313715,CAPITAL MAGNET FUND COALITION (AD HOC COALITION),2021,first_quarter,FIN,Advocacy for Capital Magnet Fund funding as well as on grantee/administrative issues.,"Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",30000,,0,0,2021-04-13T13:31:43.427000-04:00
2594251,efcd9f72-ea8a-4548-9db9-1239b49feb4e,Q1,RICH FEUER ANDERSON,84775,BLACKROCK FUNDS SERVICES GROUP LLC (FORMERLY BLACKROCK CAPITAL MANAGEMENT INC.),2021,first_quarter,FIN,Regulation of asset management products and activities as systemically important.  Regulation of money market funds and exchange-traded funds.,"HOUSE OF REPRESENTATIVES,SENATE",80000,,0,0,2021-04-13T14:06:29.413000-04:00
2594282,324122c4-a990-48cf-9558-0b15fc75df87,Q1,RICH FEUER ANDERSON,84775,"FINANCIAL INDUSTRY REGULATORY AUTHORITY (""FINRA"" FORMERLY NASD)",2021,first_quarter,FIN,Regulation of broker-dealers.  Customer recovery across arbitration and other dispute resolution forums.,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-13T14:17:46.157000-04:00
2594285,8bc5c32f-a293-4f80-9605-c8e0dae620fc,Q1,MCDERMOTT WILL & SCHULTE LLP,24338,SANTA BARBARA TAX PRODUCTS GROUP,2021,first_quarter,FIN,"Legislation and agency regulation concerning tax time financial products, including but not limited to prepaid debit cards.","HOUSE OF REPRESENTATIVES,SENATE",10000,,0,0,2021-04-13T14:22:52.087000-04:00
2594358,9c3cea57-0851-4e34-b066-b987fad81c01,Q1,COMMUNITY BANKERS ASSOCIATION OF ILLINOIS,400531588,COMMUNITY BANKERS ASSOCIATION OF ILLINOIS,2021,first_quarter,FIN,"CBAI 2020 Federal Policy Priorities -

Community Bank Response to the COVID-19 Crisis

COVID-19 has focused community bank efforts on helping their individual and small business customers and their communities weather the virus crisis and assist in the recovery effort. This was a commitment above and beyond what was normally expected, but one which community bankers were happy to fulfill. Community banks stepped-up during the crisis despite the many challenges and frustrations they encountered. They should be commended for what they are doing, treated fairly and equally, encouraged to do more, and not penalized for successfully performing their essential function.

The Independent Community Bankers of Americas Legislative and Regulatory Agenda Contained in their Community Focus 2020: The Community Bank Agenda for Expanding Economic Opportunity

CBAI joins the Independent Community Bankers of America (ICBA) in supporting a more efficient system of regulation, unbiased laws governing the financial sector, a safer and more secure business environment, and more efficient agricultural policies to support the nations economic growth and development in every corner of the country.

Completing the Implementation of the Economic Growth, Regulatory Relief and Consumer Protection Act (S. 2155)

The banking regulators have almost completed implementing  S. 2155 so community banks can benefit from all of the regulatory relief measures. Community bankers, the associations that represent their interests, and Congress (which represent this vital economic constituency) must diligently insist on the swift completion the rulemaking - consistent with Congressional intent. 

Additional Meaningful Regulatory Relief for Community Banks

Community bankers seek additional regulatory relief including on several fronts (i.e., BSA reform, CTRs , SARs, tax exempt interest on agricultural and small business loans, and beneficial ownership reporting) to permit them to serve their customers and communities better and more efficiently. 

The Community Bank Position on Credit Unions and Their Expanded Powers

Credit unions have long-since strayed from their founding purposes, blatantly abusing their competitive advantages and are virtually indistinguishable from tax-paying community banks. Credit union acquisitions of community banks is a recent and disturbing trend that negatively impacts all taxpayers. This escalation of credit unions abusing of their tax-exemption should prompt Congress to Wake Up and act - NOW. This abuse is an existential threat to community banks and the communities they serve.

Closing the Industrial Loan Company (ILC) Regulatory Loophole

ILCs represent the unacceptable mixing of banking and commerce, because of the risks they pose to the financial system, our economy and American taxpayers. ILCs are the functional equivalent of banks and should be properly regulated. The loophole that excludes their holding companies from being supervised and regulated by the Federal Reserve must be closed.

The Community Bank Position on the Farm Credit System and its Expanded Powers

The Farm Credit System (FCS) has long-since strayed from its founding purposes, blatantly abusing its competitive advantages against community banks. The FCS is the only GSE that competes directly with community banks. This blatant and continuing discrimination against community banks must end and FCS competitive advantages must be reined-in and the playing field leveled for community banks.

The Federal Reserves Role in Payments System Improvement

A fast and secure payments system is the very foundation of financial services and economy and must be modernized. The payments system must not be monopolized by The Clearing House and its 25 large bank owners that endangered our financial system and the entire economy during the financial crisis. Community banks, small businesses and consumers must rely on the Federal Reserve to provide access to a safe and secure payments system. The Federal Reserve must be supported in its development of the FedNow Service to ensure that all participants have access to a real-time system on a fair and impartial basis. 

Modernizing the Community Reinvestment Act (CRA)

The modernization of the CRA must enhance the ability of community banks to serve their communities and must not impose any additional regulatory burden. All financial service providers must be subject to the CRA to provide a complete picture of every financial institutions performance in serving their communities. A modernization of the CRA that does not encompass credit unions, Farm Credit System lenders and Fintechs (including the OCCs Special Purpose National Banks) will be a sham. 

Modifying the FDICs Brokered Deposit Rule 

The FDIC proposed brokered deposit rule needs to be updated to reflect modern ways of gathering deposits and they should not be viewed unfavorably, and subject to unreasonable restrictions. A properly tailored brokered deposit rule will ensure that it does not place undue limits on the reasonable use of brokered deposits by community banks. 

Safe Harbor for Banking Cannabis-Related Businesses

Without taking a position on the legalization of cannabis, it is a matter of public safety to have a safe harbor from federal sanctions for financial institutions that choose to serve legally-compliant cannabis-related business in states where cannabis is legal. CBAI has expressed its support in Congress for the Secure and Fair Enforcement Banking Act of 2019 (H.R. 1595) which provides this legal safe harbor. 

De Novo Community Bank Formation, the Dual Banking System and Charter Choice

Newly chartered (de novo) community banks are vitally important to maintaining a strong, growing, evolving and vibrant profession in the face of banking industry consolidation. Recent and encouraging signs by the FDIC to approve de novo charter applications must continue and many new banks should be chartered each year to help maintain the vitality of the community banking profession.

The dual banking system, where chartering and supervision is divided between the federal government and the states is important and must be maintained. Community banks should be able to choose the banking charter that best fits their unique business model.  A banking system with multi-agency (state and federal) regulators and charter choice provides the necessary checks and balances as well as improved rulemaking. 

Sound Principles for GSE Reform 

The seemingly endless and ongoing period of government ownership and control of Fannie and Freddie  must come to an end. GSE reform remains critically important to the future of the housing market and the U.S. economy. The GSEs must provide a steady and reliable source of funding for home mortgage lending for lenders of all sizes and through all economic cycles. This is particularly critical to maintaining liquidity when the markets are experiencing financial stress. 

The Federal Home Loan Banks

Most community banks are members and shareholders of their regional Federal Home Loan Bank (FHLB). The FHLBs provide short-term liquidity, long-term funding, mortgage-related products, and other financial services in order to help their members provide affordable credit to the local communities they serve. The regional structure, special functions, and unique purpose of the FHLBs must be recognized and maintained by the Federal Housing Finance Agency (FHFA). As the Administration and Congress consider reforming the housing finance system, care must be taken not to harm the FHLBs. They must remain healthy, stable, and reliable sources of funding for their members.

Agriculture and Rural America

A vibrant rural economy is vital to Americas prosperity. The multi-year Farm Bill provided a strong safety net for farmers and ranchers including adequate price-protection programs and enhanced USDA-guaranteed farm and business loan programs. These programs must be protected from cuts or any adverse changes that would discourage farmer and rancher participation or undermine private-sector delivery. 

Enhanced Data, Cyber and Payment Card Security (Data Security)

Enhanced security standards should be enforced through a tiered system where the more restrictive rules and are imposed on the largest and most critical members of the financial system and economy where their lapses pose the greatest threat to the largest number of consumers. Core data security principals in standards enacted by legislation and regulations must include the complete cost of data breaches being borne by that party that caused the breach; all participants should be subject to verifiable Gramm-Leach-Bliley Act-like data security standards; and any new data security standard proposals should ensure that community banks are not overburdened with redundant standards. 

Consumer Financial Protection Bureau Reform and Meaningful Exemptions for Community Banks 

Regulations promulgated by the CFPB must provide community banks with the flexibility to meet the needs of its customers and they must not be burdened with additional and unnecessary regulatory requirements that would prevent them from serving their customers and communities.  A one-size-fits-all approach to CFPB regulations harms the successful community bank business model. 

In reforming the CFPB, the single Director governance should be replaced by a five-member board or commission; a broader definition of firms that grant credit should be subject to the CFPB rules, they should be robustly supervised and examined; and the focus of any enhanced regulation of financial products should be on the mega banks and financial firms, the unregulated shadow financial industry and emerging Fintech companies. 

The CFPB has the statutory authority under the Dodd-Frank Act to exempt any class of providers [community banks] or any products or services from the rules it writes, but to-date the Bureau has been far too reticent to do so.  The effective use of this authority will ensure community banks continue to be a healthy alternative to large banks and non-banks for consumers seeking to use responsible financial service providers.

The Community Bank Positions on Emerging Issues

OCC - Special Purpose Fintech National Bank (SPNBs) Fintech Charters
The Office of Comptroller of the Currency (OCC) intends to issue special purpose national banking charters to Fintech companies. Fintechs cannot have the advantages of a national bank charter with limited requirements, regulations, and liability.  

FASB - Current Expected Credit Loss Model (CECL)
Community bankers and Congress must continue to be vigilant to assure the CECL Model implementation provides a clear, practical, and easy-to-use methodologies for calculating expected losses which can be seamlessly incorporated into existing processes for community banks. 

CFPB - Customer Data Sharing
Community banks are financially sound and take great care in protecting consumer privacy. Non-bank entities must be held responsible for ensuring the safety of the customer information they are accessing and be able to satisfy the liability for any financial harm which they cause community banks and their consumers.

CFPB - Small-Dollar Consumer Lending
Appropriate action will be required, as the revised implementation of the rule unfolds to assure appropriate and responsible access to small dollar loans by consumers and to minimize any negative impact on community banks small-dollar consumer lending. 

CFPB - Small Business Data Collection
Small business lending data clearly suggests fair lending is not a problem at community banks as they treat their customers honestly and fairly. The regulatory burden of the collection and reporting requirements fall disproportionately hard on community banks, and Section 1071 should either be repealed, or community banks should be provided with a meaningful exception.

Federal Reserve - Modernize Reg CC
Fraud losses are increasing at community banks and Reg CC needs to keep pace with the technology. All banks, credit unions, and others who utilize the payments system should be operating on the same level playing field when it comes to return reasons for fraud and acknowledging and communicating about fraud.

Finally Address the Risks of Too-Big-To-Fail Banks and Financial Firms to Protect Our Financial System, the Economy, and American Taxpayers from Future Bailouts

The financial crisis, taxpayer bail-outs, and subsequent recession was caused by the misconduct of the nations largest banks and financial firms. These megabanks have proven, at great cost to American taxpayers, that they cannot be effectively managed, supervised or disciplined. They are clearly too-big-to-change, too-big-to-fail and must be downsized.
(House, Senate, CFPB, OCC, FDIC, Federal Reserve)


Legislation and Regulation - 

Beginning Agriculturalist Lifetime Employment Act of 2021 (BALE Act (no bill number yet) (All Sections) Regarding increasing the percentage of USDA loan guarantee for beginning farmers or ranchers or socially disadvantaged farmers or ranchers (House)

H.R. 1799 - PPP Extension Act of 2021 (All Sections) Regarding extending the Paycheck Protection Program through June 30, 2021 (House and Senate)

H.R. 1977 - Enhancing Credit Opportunities in Rural America Act (ECORA) (All Sections) Regarding exempting from taxes interest earned on loans from farm real estate and rural mortgage loans (House and Senate)

H.R. 1996 - SAFE Act (All Sections) Regarding safe harbor for banks that choose to provide financial services to cannabis related businesses (House)


Letters -

Comment Letter to the Consumer Financial Protection Bureau (CFPB) regarding: Consumer Access to Financial Records - Docket No CFPB-2020-0034 and RIN 3170-AA78 (CFPB)

Comment Letter to the Federal Reserve regarding: Community Reinvestment Act - Advance Notice of Proposed Rulemaking - Docket No. R-1723 and RIN 7100-AF94 (Federal Reserve House, Senate, OCC, FDIC)


Action Alerts -

Action Alert regarding fixes to the Paycheck Protection Program (PPP) including - small businesses not being able to borrow up to the maximum first round draw amount, in spite of a legislative rule change for the second round, because the small business had been granted first round PPP forgiveness; small businesses with modest shortfalls in using first draw dollars should be eligible for second draw loans; and self-employed farmers and ranchers should be permitted to use the gross income method so they have access to the PPP (House and Senate)

Action Alert regarding cosponsoring H.R. 1977 - Enhancing Credit Opportunities in Rural America Act (ECORA) which exempts from taxes interest earned on loans from farm real estate and rural mortgage loans (House and Senate)


Miscellaneous -

Potential reintroduction of legislation to exempt community banks from taxation on income from small dollar amount small business and agriculture loans to begin to provide parity with Farm Credit lenders and credit unions (Senate)
The OCCs approval of the conversion of Anchorage Trust Company to become Anchorage Digital Bank (OCC)

Paycheck Protection Program (PPP) CBAI member polling results (House, Senate, CFPB, OCC, FDIC, Federal Reserve)

Paycheck Protection Program (PPP) issue with small businesses not being able to borrow up to the maximum first round draw amount, in spite of a legislative rule change for the second round, because the small business had been granted first round PPP forgiveness (House, Senate, CFPB, OCC, FDIC, Federal Reserve)

US Postal Service banking, Farm Credit System lending preferential treatment and unfair competition with community banks, and fraud in the Paycheck Protection Program (PPP) lending - SBA IG Report (Number 20-21) and Bloomberg Businessweek headline PPP Scammers Made Fintech Companies Their Lenders of Choice (Senate)

US Postal Service banking (House)

Paycheck Protection Program (PPP) - ramping the reduction in gross receipts (versus all or nothing) to enable more small business borrowers to qualify for the second round of PPP funding (House)

Closing the Industrial Loan Company (ILC) regulatory loophole for consolidated supervision by the Federal Reserve of ILC parent holding companies ((Federal Reserve House, Senate, OCC, FDIC)

Credit Unions - challenging their tax exemption and unfair competition with community banks (House and Senate)

Small-dollar consumer lending - opportunities and challenges (House)","Consumer Financial Protection Bureau (CFPB),Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE",,60000,0,0,2021-04-13T15:15:27.460000-04:00
2594479,cc52381d-d04b-477c-b6ad-21b074d20fa6,Q1,RICH FEUER ANDERSON,84775,NOMURA AMERICA HOLDING INC.,2021,first_quarter,FIN,"Regulation of broker-dealers, including capital requirements.  Regulation of derivatives and equity market structure issues.","HOUSE OF REPRESENTATIVES,SENATE",15000,,0,0,2021-04-13T16:17:16.267000-04:00
2594511,bfaee0d6-16b0-4136-8c6f-c5b3265f2229,Q1,RICH FEUER ANDERSON,84775,"SWIFT, INC.",2021,first_quarter,FIN,Imposition of sanctions on financial messaging services with respect to institutions in other countries.,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-13T16:35:44.050000-04:00
2594534,905d65cb-22bb-4546-b544-ae5b3676046f,Q1,RICH FEUER ANDERSON,84775,LONDON STOCK EXCHANGE GROUP PLC,2021,first_quarter,FIN,"Regulation of securities indices, regulation of derivative instruments, regulation and capitalization of clearinghouses, and protection of customer assets.","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-13T16:54:03.080000-04:00
2594640,aacc7792-4622-4672-8687-feea81429a9c,Q1,PENN AVENUE PARTNERS,400918672,WESTERN UNION,2021,first_quarter,FIN,"Financial Services Issues.
Cross Border Remittance Issues.","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2021-04-13T18:19:53.770000-04:00
2594669,bee65068-23ea-4bc2-903f-4b4c97bd3372,Q1,MERKAVA STRATEGIES CORPORATION,401105865,BORIS MINTS,2021,first_quarter,FIN,Client's inclusion in Section 241 of CAATSA report and related matters,"HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",125000,,0,0,2021-04-13T19:56:02.813000-04:00
2594845,8a8f9ccc-a0b1-4e4d-952b-f5cf8730c1e1,Q1,ACG ADVOCACY,2057,AMBAC ASSURANCE CORPORATION,2021,first_quarter,FIN,"Military housing finance issues.
Fiscal issues impacting Puerto Rico.","HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",90000,,0,0,2021-04-14T10:18:56.997000-04:00
2594914,d4be18bb-7bce-4936-b223-10f485a30381,Q1,"WARNER, NORCROSS + JUDD LLP",401050963,BUSINESS INTERMEDIARY EDUCATION FOUNDATION,2021,first_quarter,FIN,"Creating simplified system of federal registration and regulation for broker dealers who are only engaged in brokering the mergers, acquisitions, and sales of privately owned businesses as would be provided in H.R. 609 (116th Congress).  The Small Business, Mergers, Acquisitions and Sales Broker Simplification Act.","HOUSE OF REPRESENTATIVES,SENATE",8530,,0,0,2021-04-14T11:06:14.753000-04:00
2595096,52d9362d-975d-4374-a2f2-a01e9c74bf12,Q1,ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION,400503478,ALTERNATIVE INVESTMENT MANAGEMENT ASSOCIATION,2021,first_quarter,FIN,"- Anti-Money Laundering Act of 2020 - requirements for certain transactions involving convertible - virtual currency or digital assets
- General issues relating to ESG 
- General issues relating to short selling practices","HOUSE OF REPRESENTATIVES,Treasury, Dept of",,70000,0,0,2021-04-14T12:41:58.033000-04:00
2595124,f6594ff3-365f-46c2-95e0-192e31c4bee3,Q1,"CASSIDY & ASSOCIATES, INC.",8453,SOCIETY OF ACTUARIES,2021,first_quarter,FIN,General legislative issues related to actuarial profession,"HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",20000,,0,0,2021-04-14T12:57:02.957000-04:00
2595192,694534f9-e7ee-4036-93f2-3c561b98c3af,Q1,AARP,1694,AARP,2021,first_quarter,FIN,"Public L.117-2, American Rescue Plan Act of 2021

No bill number - Discussed retirement plan portability

No bill number - Participated in SEC Investor Advisory Committee meeting 

No bill number - Discussed notice of proposed rulemaking regarding Consumer Access to Financial Records

No bill number - SECURE Act 

No bill number - Discussed ""Reporting Instances of Non-authorized Grift Act (RING) Act of 2021","Administration for Children & Families (ACF),Agriculture, Dept of (USDA),Centers For Disease Control & Prevention (CDC),Centers For Medicare and Medicaid Services (CMS),Consumer Financial Protection Bureau (CFPB),Corporation for Natl & Community Service,Defense, Dept of (DOD),Food & Drug Administration (FDA),Government Accountability Office (GAO),Health & Human Services, Dept of (HHS),Health Resources & Services Administration (HRSA),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Indian Health Service,Internal Revenue Service (IRS),Justice, Dept of (DOJ),Labor, Dept of (DOL),Natl Institutes of Health (NIH),Natl Transportation Safety Board (NTSB),Office of Management & Budget (OMB),Office of Personnel Management (OPM),Office of the Comptroller of the Currency (OCC),Pension Benefit Guaranty Corporation (PBGC),Securities & Exchange Commission (SEC),SENATE,Social Security Administration (SSA),Transportation, Dept of (DOT),Treasury, Dept of,Veterans Affairs, Dept of (VA),White House Office",,2840000,0,0,2021-04-14T13:14:18.377000-04:00
2595219,af1943a5-6508-4ed8-a178-2e692628eee2,Q1,"SOBBA PUBLIC, LLC",316797,"VIRTU FINANCIAL, LLC",2021,first_quarter,FIN,issues related to market making of securities and derivatives,"Agriculture, Dept of (USDA),Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",40000,,0,0,2021-04-14T13:39:22.827000-04:00
2595235,38e57fc7-495d-4015-9e06-ead64a4055f7,Q1,"SOBBA PUBLIC, LLC",316797,"ATMOSPHERE I, LLC, FORMERLY IGNEIO, LLC",2021,first_quarter,FIN,issues related to the blockchain and crypto currencies,"Commodity Futures Trading Commission (CFTC),Federal Reserve System,Financial Crimes Enforcement Network (FinCEN),Securities & Exchange Commission (SEC),Treasury, Dept of",30000,,0,0,2021-04-14T13:47:25.913000-04:00
2595248,88663478-6d50-4cb0-af2a-35945a9bc165,Q1,MCGUIREWOODS CONSULTING (A SUBSIDIARY OF MCGUIREWOODS LLP),24486,"MORTGAGE RESEARCH CENTER, LLC",2021,first_quarter,FIN,Mortgage servicing issues and general financial services issues,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-14T14:00:30.537000-04:00
2595372,ff5142fb-e11e-4f00-b6b8-411b11e379fc,Q1,"MINDSET ADVOCACY, LLC",296271,"PURPOSE FINANCIAL, INC.",2021,first_quarter,FIN,"Dodd-Frank Act implementation, CARES Act (S. 3548 & H.R. 748)","Consumer Financial Protection Bureau (CFPB),HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-14T15:03:04.727000-04:00
2595420,bec876e7-5397-4780-8de7-4cf7f11e26a7,Q1,KASOWITZ LLP,401103221,BIZ2CREDIT INC.,2021,first_quarter,FIN,"Fintech issues, and outreach to key financial institutions regulators.","Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE,Small Business Administration (SBA),Treasury, Dept of",41905,,0,0,2021-04-14T15:39:41.710000-04:00
2595461,bebaebdb-3e11-44ae-89be-86080d0f6c34,Q1,"CBOE GLOBAL MARKETS, INC.",48510,"CBOE GLOBAL MARKETS, INC.",2021,first_quarter,FIN,Issues related to potential change in the U.S. Tax Code impacting securities.,"HOUSE OF REPRESENTATIVES,SENATE",,60000,0,0,2021-04-14T16:01:57.843000-04:00
2595489,8c9c416c-17ae-48d6-b12f-50a8a4903cd2,Q1,"MINDSET ADVOCACY, LLC",296271,"KROLL BOND RATING AGENCY, INC.",2021,first_quarter,FIN,Federal policy issues related to NRSROs.,"Federal Reserve System,HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",60000,,0,0,2021-04-14T16:16:07.853000-04:00
2595519,b11d2585-7bd5-4db8-a19c-78241cf71c4f,Q1,REAL ESTATE ROUNDTABLE,28435,REAL ESTATE ROUNDTABLE,2021,first_quarter,FIN,"Dodd Frank - Wall Street Reform and Consumer Protection Act 
Credit Risk Retention 
OTC Derivatives 
Basel III, Liquidity Coverage Ratio, HVCRE Rule, FRTB 
Volcker Rule 
Flood Insurance; Terrorism Risk Insurance 
CFIUS Reform (FIRRMA) 
Beneficial Ownership (BSA) 
Cyber Security (H.R. 3776, H.R. 3359)
Current Expected Credit Losses (CECL) 
LIBOR Reform 
Federal Reserve Credit Facilities 
Forbearance Issues 
TALF 
Main Street Lending Program 
Emergency Rental Assistance for Residential Business Tenants (e.g. H.R. 7301) 
Restart Act (S.3814) 
Corporate Governance Through Diversity Act (H.R. 1018, S. 360) 
Pandemic Risk Insurance 
Troubled Debt Restructuring (TDR) 
CECL 
Reg S-K Reform","Commerce, Dept of (DOC),Commodity Futures Trading Commission (CFTC),Director of National Intelligence (ODNI),Energy, Dept of,Environmental Protection Agency (EPA),Federal Accounting Standards Advisory Board (FASAB),Federal Bureau of Investigation (FBI),Federal Deposit Insurance Corporation (FDIC),Federal Energy Regulatory Commission (FERC),Federal Housing Finance Agency (FHFA),Federal Reserve System,Homeland Security, Dept of (DHS),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Internal Revenue Service (IRS),Labor, Dept of (DOL),Office of the Comptroller of the Currency (OCC),Securities & Exchange Commission (SEC),SENATE,Small Business Administration (SBA),State, Dept of (DOS),Transportation, Dept of (DOT),Treasury, Dept of,White House Office",,1056891,0,0,2021-04-14T16:26:13.913000-04:00
2595546,0f801069-3b30-47d6-b8fd-a083b9f96ea4,Q1,"MINDSET ADVOCACY, LLC",296271,"INTERCONTINENTALEXCHANGE, INC.",2021,first_quarter,FIN,"Holding Foreign Countries Accountable Act, corporate disclosures, sanctions","HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2021-04-14T16:40:20.780000-04:00
2595626,33e1606b-8767-4c30-afb7-56b73b7e1b1f,Q1,"O'ROURKE AND ASSOCIATES, LLC",401105420,ADS ALLIANCE DATA SYSTEMS,2021,first_quarter,FIN,"Issues relating to arbitration, data security/data breach, and privacy.","HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-14T17:11:51.440000-04:00
2595632,a3d716a2-c224-4ab4-8ff3-fa4e3c02c29d,Q1,"O'ROURKE AND ASSOCIATES, LLC",401105420,FIRST AMERICAN FINANCIAL CORPORATION,2021,first_quarter,FIN,"Issues relating to data security/data breach, and privacy.","HOUSE OF REPRESENTATIVES,SENATE",10000,,0,0,2021-04-14T17:17:55.337000-04:00
2595673,362a586b-4de5-411f-8b5f-3f3957014ea1,Q1,"MINDSET ADVOCACY, LLC",296271,RENAISSANCE RE NORTH AMERICA,2021,first_quarter,FIN,"Risk mitigation, flood insurance reform, risk transfer, FHFA Capital Rule","Federal Emergency Management Agency (FEMA),HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-14T17:49:09.680000-04:00
2595794,1a44ea5c-e7e1-49a3-af1c-e82cef367b1b,Q1,"REPUBLIC CONSULTING, LLC",401016871,WORKIVA,2021,first_quarter,FIN,Financial Transparency Act and Use of machine readable data in government reports.,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-15T08:53:47.173000-04:00
2595797,2a336c23-91b1-4e57-afda-f8792141f8e8,Q1,"REPUBLIC CONSULTING, LLC",401016871,MORTGAGE BANKERS ASSOCIATION,2021,first_quarter,FIN,Issues related to GSE Reform and affordable housing.,"Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-15T08:58:48.743000-04:00
2595919,26ed1b58-4b78-4c65-9e9a-24461f6cdd73,Q1,AMERICAN ACADEMY OF OPHTHALMOLOGY,1364,AMERICAN ACADEMY OF OPHTHALMOLOGY,2021,first_quarter,FIN,"HR 133, Consolidated Appropriations Act, 2021 (Omnibus Appropriations/COVID-19 Relief bill)
HR 1799, the PPP Extension Act
HR 1319, the American Rescue Plan Act of 2021","Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,SENATE",,240000,0,0,2021-04-15T10:34:20.910000-04:00
2595975,e1c6109b-d3a8-46bc-90f6-5e42f52ba659,Q1,AZOA SERVICES CORP(ALLIANZ OF AMERICA) FORMERLY AZOA SERIVCES CORP/FIREMAN'S FUND(ALLIANZ OF AMERICA,14611,AZOA SERVICES CORP(ALLIANZ OF AMERICA) AND AFFILIATES,2021,first_quarter,FIN,"Systemic Risk: Argue that asset managers should not be designated as systemically important financial institutions under SEC113 of Dodd-Frank.
Also, track international developments regarding systemic risk designation.

Financial Services and General Government Appropriations Act, 2021:  Issue: Making appropriations for financial services and general government , ""Lobby for a provision to be included that would require the SEC to develop a unique
registration form for Registered Index Linked Annuities.

Monitor efforts to provide for a statutory replacement benchmark rate for contracts that use LIBOR as a benchmark and do not contain any fallback
provisions independent of LIBOR. (No bills introduced).","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,Risk Management Agency,Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,560000,0,0,2021-04-15T10:59:37.507000-04:00
2596330,61eba901-2887-4676-9ad4-b5ce81e00142,Q1,SOCIETY FOR CORPORATE GOVERNANCE,400789376,SOCIETY FOR CORPORATE GOVERNANCE,2021,first_quarter,FIN,Proxy Voting,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-15T14:05:21.473000-04:00
2596350,49f8a345-b764-4a58-9c3e-23138e531592,Q1,"THE JOSEPH GROUP, LLC",288613,ANGELLIST,2021,first_quarter,FIN,"Issues relating to capital formation
Crowdfunding, cryptocurrency and blockchain related matters","HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2021-04-15T14:21:30.317000-04:00
2596419,86ed4bf7-2e66-4145-94ec-13c77f674b43,Q1,RICH FEUER ANDERSON,84775,"FRANKLIN SQUARE HOLDINGS, L.P.",2021,first_quarter,FIN,Regulation of business development companies.,"HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-15T14:54:52.690000-04:00
2596457,3e2630f4-ba03-48e5-b993-aee0a3f3c949,Q1,"MINDSET ADVOCACY, LLC",296271,"NOMURA HOLDING AMERICA, INC.",2021,first_quarter,FIN,"Legislation and regulation related to capital markets issues, CARES Act (S.3548)","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",20000,,0,0,2021-04-15T15:12:01.840000-04:00
2596494,cade7adb-1677-4ae3-a37c-dffd82011271,Q1,EQUIPMENT LEASING AND FINANCE ASSOCIATION,13767,EQUIPMENT LEASING AND FINANCE ASSOCIATION,2021,first_quarter,FIN,"Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203)
Issues related to Small Business and Lending Fairness Act","Consumer Financial Protection Bureau (CFPB),Federal Reserve System,HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),SENATE,Small Business Administration (SBA),Treasury, Dept of",,110000,0,0,2021-04-15T15:33:12.507000-04:00
2596553,862578a2-aff4-4d5b-8bda-0140e11fe828,Q1,"BLACKROCK FUNDS SERVICES GROUP, LLC",400534597,BLACKROCK FUNDS SERVICES GROUP LLC,2021,first_quarter,FIN,"Financial Stability Issues
Exchange Traded Products
Climate Risk","Commodity Futures Trading Commission (CFTC),Executive Office of the President (EOP),Export-Import Bank of the United States (EXIM Bank),Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,Labor, Dept of (DOL),Overseas Private Investment Corp (OPIC),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,310000,0,0,2021-04-15T16:00:38.630000-04:00
2596583,6869ef5c-21b5-42c9-ab56-0f9f39f5cbed,Q1,"1607 STRATEGIES, LLC",401105461,STRUCTURED FINANCE ASSOCIATION,2021,first_quarter,FIN,"Issues affecting structured finance, the transition from LIBOR and Consumer Financial Protection Bureau actions affecting the expectations of market participants involved in securitization. 
Issues related to mortgage finance reform.
Issues regarding Consumer Financial Protection Bureau rulemaking concerning qualified mortgages.
Issues related to FASBs new accounting standards.","Consumer Financial Protection Bureau (CFPB),Federal Housing Finance Agency (FHFA),Federal Reserve System,HOUSE OF REPRESENTATIVES,Natl Economic Council (NEC),SENATE,Treasury, Dept of",22500,,0,0,2021-04-15T16:13:46.193000-04:00
2596708,98fc70f4-e29a-4c52-8b00-2788fbb899d2,Q1,MCLARTY INBOUND LLC,401103585,PRAGER DREIFUSS AG (ON BEHALF OF MARE FINANCE INVESTMENT HOLDINGS),2021,first_quarter,FIN,"Advise on US-Venezuela relations, OFAC licensing process, and foreign assets.","State, Dept of (DOS)",30000,,0,0,2021-04-15T17:32:22.333000-04:00
2596725,2449fb54-3cf0-45ba-9187-4f3c0dedc70c,Q1,LEADERSHIP CONFERENCE ON CIVIL AND HUMAN RIGHTS,22371,LEADERSHIP CONFERENCE ON CIVIL AND HUMAN RIGHTS,2021,first_quarter,FIN,"Community Reinvestment Act reform
Consumer Financial Protection Bureau policy and oversight
Coronavirus response packages
Fair Chance Hiring policy under Section 19","Bureau of the Census,Commerce, Dept of (DOC),Consumer Financial Protection Bureau (CFPB),Education, Dept of,Equal Employment Opportunity Commission (EEOC),Executive Office of the President (EOP),Federal Communications Commission (FCC),Federal Deposit Insurance Corporation (FDIC),Federal Housing Finance Agency (FHFA),Federal Reserve System,Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Labor, Dept of (DOL),Occupational Safety & Health Administration (OSHA),Office of the Comptroller of the Currency (OCC),SENATE,White House Office",,443849,0,0,2021-04-15T17:41:26.213000-04:00
2596740,7f08eae0-207d-487f-bc26-bbde4f7365c7,Q1,RICH FEUER ANDERSON,84775,"THE HARTFORD FINANCIAL SERVICES GROUP, INC.",2021,first_quarter,FIN,Legislative proposals addressing pandemic risk insurance and business interruption insurance.,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2021-04-15T17:45:28.800000-04:00
2596758,c1e231a9-25d4-46bf-a0cb-da9bee98af9e,Q1,RICH FEUER ANDERSON,84775,AMERICAN PROPERTY CASUALTY INSURERS ASSOCIATION,2021,first_quarter,FIN,Regulatory structure for insurance and financial services.,"HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2021-04-15T18:19:41.407000-04:00
2597013,1695da96-80bf-4f09-882c-b477e472de53,Q1,"THE SMITH-FREE GROUP, LLC",35800,MASTERCARD WORLDWIDE,2021,first_quarter,FIN,Efforts in support of promoting contactless payments technology for urban mass transit mobility,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2021-04-16T09:47:55.537000-04:00
2597046,4deb26bf-b2e0-4e88-8408-8c90f0065e71,Q1,ACA INTERNATIONAL,81431,ACA INTERNATIONAL,2021,first_quarter,FIN,"Issues related to Operation Choke Point and Fair Access to Banking
S. 563 - the Fair Access to Banking Act - protects fair access to financial services and to ensure banks operate in a safe and sound manner, basing judgements and decisions on impartial, individualized risk-based analysis developed through empirical data and evaluated under quantifiable standards.","Consumer Financial Protection Bureau (CFPB),Federal Communications Commission (FCC),HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE,Small Business Administration (SBA)",,136000,0,0,2021-04-16T10:05:04.977000-04:00
2597119,1c8fe383-a892-4dac-a7c0-5dbb28789739,Q1,HOLLAND & KNIGHT LLP,18466,AMSCOT FINANCIAL CORPORATION,2021,first_quarter,FIN,"Legislation and policies affecting financial services, including pay day advances and check cashing.","HOUSE OF REPRESENTATIVES,SENATE",80000,,0,0,2021-04-16T10:32:22.703000-04:00