LD-2 disclosure · 2nd Quarter - Report
FINANCIAL SERVICES INSTITUTE
Client
- Location
- District of Columbia · United States of America
Registrant
- Description
- Advocacy organization of independent broker-dealers and financial advisors
- Location
- Washington, District of Columbia, United States of America
Lobbying activities
1 issueFinancial Institutions/Investments/Securities
independent contractor status (HR 842/S 420 - the PRO Act, and the DOL's delay & withdrawal of the final rule clarifying the definition of independent contractor under the FLSA); retirement security legislation such as the Securing a Strong Retirement Act; SEC Regulation Best Interest, diversity & inclusion, payments to ensemble practices, SEC share class enforcement efforts, fixes to Tax Cuts and Jobs Act (TCJA) 2017 such as restoring the tax deductibility of advisory fees, tax provisions in the Build Back Better Act
LobbyistsDALE BROWN · mr DAVID THOMAS BELLAIRE esq · HANNA LAVER
TargetedSENATE · HOUSE OF REPRESENTATIVES · Labor, Dept of (DOL) · Securities & Exchange Commission (SEC)