Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

9. Check if this filing amends a previously filed version of this report

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 BAN

16. Specific lobbying issues

Equity market structure issues;
LIBOR transition issues;
SEC Final Regulation Best Interest;
Implementation of Electronic Signature in Global and National Commerce Act;
Consolidated Audit Trail (CAT) - US House and US Senate;
Legislation related to changes in certain private activity bond treatment;
H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019;
H.R. 3967, Municipal Bond Market Support Act of 2019;
Federal Reserve Board and Prudential Agency Covid-19 Actions;
S. 2563 - ILLICIT Cash Act;
S. 3550 - Municipal Bonds Emergency Relief Act;
Self-Regulatory Organization (SRO) Reform;
H.R. 2772 - Investing in Our Communities Act;
S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019;
S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act;
S. 4203 - American Infrastructure Bonds Act of 2020;
Federal government market support programs (e.g. TALF);
H.R.2, Moving Forward Act (municipal finance provisions);
Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions);
S. 1428/H.R. 6276, Retirement Parity for Student Loans Act;
S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions);
SBA Paycheck Protection Program;
Net Stable Funding Ratio Regulatory Proposal;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
S. 4159 - E-SIGN Modernization Act of 2020;
SEC Temporary Exemptive Order related to municipal advisors;
LIBOR;
Stress Testing Reform;
H.R. 2923 - Inclusive Prosperity Act of 2019;
Increase in the bank qualified bond limit - Rep. Sewell Bill;
H.R.6395 - National Defense Authorization Act for Fiscal Year 2021;
H.R. 8696, Securing a Strong Retirement Act of 2020;
Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act .

17. House(s) of Congress and Federal agencies Check if None

U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Ginnie Mae, Federal Housing Finance Agency (FHFA), Securities & Exchange Commission (SEC)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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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 CDT

16. Specific lobbying issues

Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
Block trades on swap execution facilities (SEFs);
Derivatives regulation (general);
H.R. 7668 - Financial Services and General Appropriations Act, 2021;
H.R.7046 - To amend the Bank Holding Company Act of 1956 to place certain limitations on commodity ownership and to repeal the merchant banking authority, and for other purposes;
CFTC proposed cross border rule;
CFTC final rule on margin requirements for uncleared swaps.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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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

H.R. 1876 (Senior Security Act of 2019);
H.R. 2513 (Corporate Transparency Act of 2019);
Senior investors/diminished capacity investors;
Diversity & Inclusion initiatives in the financial services industry;
P.L. 106-229 (E-Sign Act);
Issues related to restitution and disgorgement (not yet introduced);
Housing finance reform (general);
SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents;
S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019;
H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019;
S. 1719 - Senior Security Act of 2019;
Public Law 116-136, CARES Act;
S. 4129 - LOCAL Infrastructure Act;
S. 4203 - American Infrastructure Bonds Act of 2020;
H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020;
S.945/H.R. 7000 - Holding Foreign Companies Accountable Act;
H.R. 2 - Moving Forward Act;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
H.R. 8696 - Securing a Strong Retirement Act of 2020.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Natl Credit Union Administration (NCUA), Ginnie Mae, Homeland Security - Dept of (DHS), Natl Security Council (NSC), State - Dept of (DOS), Office of the Comptroller of the Currency (OCC), Housing & Urban Development - Dept of (HUD), Federal Housing Finance Agency (FHFA)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

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 TAX

16. Specific lobbying issues

H.R. 1516 (Wall Street Tax Act of 2019);
H.R. 2772 (Investing in Our Communities Act);
S. 647 (Wall Street Tax Act of 2019);
United States individual and business taxation;
Proposals to modify tax incentives for retirement savings and investment;
Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR;
Tax Incentives to preserve interest deduction related to municipal bonds;
Tax Incentives to reinstate advance refunding bonds;
Tax Incentives to provide for direct pay municipal bonds;
Issues related to taxation of ownership of securities and securities transactions;
H.R. 3967 - Municipal Bond Market Support Act of 2019;
Proposals to expand Private Activity Bonds;
S. 3995, the Remote and Mobile Worker Relief Act of 2020;
H.R. 2, Moving Forward Act (municipal finance provisions);
S. 4203, American Infrastructure Bond Act;
Public Law 116-136, CARES Act (retirement and savings provisions);
S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions);
S. 1428/H.R. 6276, Retirement Parity for Student Loans Act;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
S. 4129 - LOCAL Infrastructure Act;
H.R. 8696 - Securing a Strong Retirement Act of 2020.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Security Council (NSC), Securities & Exchange Commission (SEC), Internal Revenue Service (IRS)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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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 RET

16. Specific lobbying issues

H.R. 1907 (Retirement Security for American Workers Act);
H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans);
Tax incentives for retirement savings;
SEC Final Regulation Best Interest;
Electronic delivery of retirement plan documents and disclosures;
Public Law 116-136, CARES Act;
H.R. 4117 (IRA Preservation Act of 2019);
S.1428/H.R.6276 (Retirement Parity for Student Loans Act);
S. 1431 (Retirement Security and Savings Act of 2019), various retirement and savings provisions);
SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments);
H.R. 8696 (Securing a Strong Retirement Act of 2020).

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Labor - Dept of (DOL)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

21. Client new principal place of business (if different than line 20)

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

ISSUE UPDATE

24. General lobbying issue that no longer pertains

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

FOREIGN ENTITIES

27. Add the following foreign entities:

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

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?
No Yes