LD-2 disclosure · 2nd Quarter - Report
BROKER/DEALER COORDINATION GROUP
Client
- Description
- Informal coalition of financial services companies
- Location
- District of Columbia · United States of America
Registrant
- Description
- Law Firm.
- Location
- Washington, District of Columbia, United States of America
Lobbying activities
3 issuesRetirement
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with SEC broker/dealer standard of care. Legislative proposals to address the fiduciary issue or the SEC standard of care. State fiduciary rules. SEC proposal regarding predictive data analytics. H.J.Res. 142/S.J.Res. 79, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary". H.R. 9029, Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2025.
LobbyistsKENT A MASON · CHRIS L GASTON
Covered position (CHRIS L GASTON): Chief of Staff, Representative Rush Holt
TargetedSENATE · HOUSE OF REPRESENTATIVES · Office of Management & Budget (OMB) · Labor, Dept of (DOL) · Securities & Exchange Commission (SEC)
Financial Institutions/Investments/Securities
Issues related to the effect of the Department of Labor's fiduciary definition regulation and coordination of such regulation with SEC broker/dealer standard of care. Legislative proposals to address the fiduciary issue or the SEC standard of care. State fiduciary rules. SEC proposal regarding predictive data analytics. H.J.Res. 142/S.J.Res. 79, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to "Retirement Security Rule: Definition of an Investment Advice Fiduciary". H.R. 9029, Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2025.