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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1717 Pennsylvania Ave. NW |
Address2 | Suite 350 |
| City | Washington D.C |
State | DC |
Zip Code | 20006 |
Country | USA |
3. Principal place of business (if different than line 2)
| City | Washington D.C |
State | DC |
Zip Code | 20006 |
Country | USA |
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5. Senate ID# 11082-12
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6. House ID# 330660000
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| TYPE OF REPORT | 8. Year | 2021 |
Q1 (1/1 - 3/31) | Q2 (4/1 - 6/30) | Q3 (7/1 - 9/30) | Q4 (10/1 - 12/31) |
9. Check if this filing amends a previously filed version of this report
| 10. Check if this is a Termination Report | Termination Date |
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11. No Lobbying Issue Activity |
| INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
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| 12. Lobbying | 13. Organizations | ||||||||
| INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
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| Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). | 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options. | ||||||||
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Method A.
Reporting amounts using LDA definitions only
Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code Method C. Reporting amounts under section 162(e) of the Internal Revenue Code |
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| Signature | Digitally Signed By: Connor Garvey |
Date | 4/6/2021 11:13:06 AM |
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code FIN
16. Specific lobbying issues
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
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Federal Trade Commission (FTC)
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
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Mahoney |
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General Counsel |
19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Information Update Page - Complete ONLY where registration information has changed.
20. Client new address
| Address |
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State |
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Zip Code |
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Country |
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21. Client new principal place of business (if different than line 20)
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State |
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Zip Code |
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Country |
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22. New General description of client’s business or activities
LOBBYIST UPDATE
23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client
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3 |
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4 |
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ISSUE UPDATE
24. General lobbying issue that no longer pertains
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
| Name | Address |
Principal Place of Business (city and state or country) |
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
| 1 | 2 | 3 |
FOREIGN ENTITIES
27. Add the following foreign entities:
| Name | Address |
Principal place of business (city and state or country) |
Amount of contribution for lobbying activities | Ownership percentage in client | ||||||||||
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% | |||||||||||||
28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization
| 1 | 3 | 5 |
| 2 | 4 | 6 |
CONVICTIONS DISCLOSURE
29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery,
extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
| Lobbyist Name | Description of Offense(s) |