Trade Association
Financial Stability Oversight Council interpretive guidance regarding nonbank financial company designations. General education concerning the need to simplify anti-money laundering / Bank Secrecy Act reporting mandates and raising reporting thresholds. Office of Financial Research assessments of entities that pose a systemic risk to the financial system of the United States. SEC guidance to investment advisers on fulfilling their proxy voting responsibilities, particularly where they use the services of a proxy advisory firm, and proxy voting disclosures under Form N-1A, Form N-2, Form N-3, and Form N-CSR under the Investment Company Act of 1940. SEC interpretation of Exchange Act Rule 14a-1(l) related to proxy voting advice under the federal proxy rules and related guidance regarding the application of the antifraud provisions in Exchange Act Rule 14a-9 to proxy advice. Implementation of the SEC's Regulation Best Interest (84 Fed. Reg. 33318, July 12, 2019). Department of Labor final fiduciary rule (81 Fed. Reg. 20945, Apr. 8, 2016) and the status of various Prohibited Transaction Exemptions following the 5th Circuit injunction of the final fiduciary rule. Section 5 of President Trump's April 10, 2019 Executive Order 13868, "Promoting Energy Infrastructure and Economic Growth," concerning reporting by the Department of Labor. Standards governing fiduciaries under section 402, section 403, section 404, and section 405 of the Employee Retirement Income Security Act. State efforts to impose a patchwork of fiduciary obligations on retirement plans regulated under the Employee Retirement Income Security Act and the issues this poses for the uniformity Congress intended when it enacted the Employee Retirement Income Security Act with its preemption provision. Implementation of the Presidents October 9, 2019 Executive Order 13891  on "Promoting the Rule of Law Through Improved Agency Guidance Documents."
FIN - Financial Institutions/Investments/Securities RET - Retirement GOV - Government Issues
38 - Labor, Dept of (DOL) 1 - SENATE 41 - Treasury, Dept of 38 - Labor, Dept of (DOL) 1 - SENATE 41 - Treasury, Dept of 38 - Labor, Dept of (DOL) 1 - SENATE 41 - Treasury, Dept of
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