PUBLIC STRATEGIES WASHINGTON, INC.

COVID Pandemic Issues: Ensure that stock exchange personnel are listed as critical infrastructure employees by the DHS for areas where workplace restrictions are in place; Communications with the government regarding the resiliency/market operations of varying asset class trading during the COVID-19 pandemic; Provisions in the American Rescue Plan; Legislation to increase transparency and reduce conflicts of interest in the proxy advisory industry Trading and listings standards needed for a U.S. Venture Exchange Legislation requiring the prudential regulators to implement a risk-adjusted approach to value centrally-cleared exchange-listed derivatives; Legislation on 10-Q optionality; Legislation on reforming shareholder proposal rules: raise initial threshold eligibility, raise resubmission threshold; Incentives for the trading of small cap stocks/ETFs; Implementation and expansion of the Jobs Act (JOBS and Investor Confidence Act of 2018)/capital formation agenda/IPOs; Support for Nasdaq Board Diversity filing with the SEC; Defend dual class structures; Federal financial transaction tax; Tax treatment of buybacks and dividends; Support diplomatic efforts by the PCAOB / SEC to ensure PCAOB review of foreign auditing firms; H1B visa/immigration reform; Equity, fixed income market structure/Regulation NMS; Proprietary ownership and distribution of market data; The regulatory role of exchanges and the legal protections necessary to function as a regulator of market activities; Limitations on SEC regulation of non-exchange activities; and Requiring transparency of short positions that match existing requirements on long position holders.

Trade related proposals