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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1100 New York Avenue, NW |
Address2 | Suite 310, East Tower |
| City | Washington |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
| City | New York |
State | NY |
Zip Code | 10006 |
Country | USA |
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5. Senate ID# 27115-12
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6. House ID# 302680000
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| TYPE OF REPORT | 8. Year | 2024 |
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: Terry G. Campbell II |
Date | 7/9/2024 4:52:02 PM |
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
Monitoring legislation speaking to regulate AI, machine learning, and other tools used in the financial services arena;
Transparency and accuracy of proxy advisors;
Public company regulations; SEC climate disclosure rule. Legislative reforms to improve capital formation (Venture Exchange), H.R 1807, H.R. 2624, H.R. 2625, H.R. 2793, H.R. 2576, H.R. 2610, H.R. 2608, H.R. 2603, H.R. 6623 - Main Street Growth Act, legislation on 10-Q optionality;
Immigration reform;
Federal financial transaction tax: S. 1990 and H.R. 4119 - Tax on Wall Street Speculation Act;
Digital asset regulatory reform, S. 2597 - Digital Commodities Consumer Protection Act;
Equity market structure and SECs rulemaking on market structure, Regulation NMS, market data, regulation of Exchange pricing: SECs proposed elimination of volume based tiered pricing in the equities markets;
Amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations, Require the SEC to engage in rulemaking to prohibit or limit the use of rebate payments by exchanges that are tiered based on the aggregate volume of transactions effected by such members;
Highlighting Nasdaqs anti-financial crime software solutions and policies aimed at those issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury - Dept of
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 |
Terry G |
Campbell |
II |
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Jameel |
Aalim-Johnson |
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Laura |
Nolan |
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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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Zip Code |
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21. Client new principal place of business (if different than line 20)
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Zip Code |
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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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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) |