Mutual Fund Fee Reform Act

See Addendum S. 238, "Social Security Number Misuse Prevention Act". S. 239, Notification of Risk to Personal Data Act of 2007. S. 495, Personal Data Privacy and Security Act of 2007. S. 1178, The Identity Theft Prevention Act of 2007. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". S. 2338, "FHA Modernization Act of 2007". S. 2452, "Home Ownership Preservation and Protection Act of 2007" (provision relating to assignee liability). S. 2794, "Senior Investor Protection Act of 2008". S. 3268, "Stop Excessive Energy Speculation Act of 2008". H.R. 948, "Social Security Number Misuse Prevention Act". H.R. 1424, Division A - "Emergency Economic Stabilization Act", became Public Law No. 110-343. H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3221, "Housing and Economic Recovery Act of 2008", Became P.L. 110-289. H.R. 3225, "Mutual Fund Fee Reform Act". H.R. 3915, "Mortgage Reform and Anti-Predetory Lending Act of 2007", Section 204 (provision related to assignee liability). H.R. 6604, "Commodity Markets Transparency and Accountability Act of 2008". SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. SEC Proposed Rule, "Enhanced Disclosure and New Prospectus Delivery Options for Registered Open-End Management Investment Companies", Release No. 33-8861 (11/21/07). SEC Proposed Rule 151A, "Indexed Annuities and Certain Other Insurance Contracts", Release No. 33-8933 (6/25/08). Department of Treasury, "Blueprint for a Modernized Financial Regulatory Structure" (3/3/08) Recommendation to the Secretary of Treasury that the Treasury Department establish an "Office of Insurance Information", no bill number. Treasury Capitol Purchase Program under the Emergency Economic Stablization Act.

Client expense: $1,030,000 · Firm income: Not reported

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

HR 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 Monitoring issues impacting 401(k) fees, 12(b)(1) fees and default investment alternatives HR 3225 - Mutual Fund Fee Reform Act

Client expense: Not reported · Firm income: $22,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti-Predatory Legacy Act of 2007 (all provisions); S2452, the Home Ownership Preservation and Protection Act of 2007(all provisions); List continues on Page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions) H.R. 1424, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) H.R. 3997, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) S. 2169 the Promoting Refinancing Opportunities for Mortgages Impacted by the Subprime Emergency Act of 2007 (all provisions) S. 2636 The Foreclosure Prevention Act of 2008 Proposals to address anticipated mortgage foreclosures Proposals to address predatory lending practices in the subprime mortgage market H.R. 6659 The Equal Treatment of Covered Bonds Act of 2008 S. 3268, The Commodity Markets Transparency and Accountability Act of 2008 H.R. 6604. the Commodity Markets Transparency and Accountability Act of 2008 H.R. 3691 A bill to Amend the Commodity Exchange Act to require reporting and record keeping for positions involving credit default swaps, to grow the Federal Reserve Board authority over investment-bank holding companies, and for other purposes.

HR 2796 / S 2126--capital gains tax exclusion for mututal funds; HR 3225--mutual fund fee reform legislation; HR 2312 / S 502--permanent individual income tax rates for capital gains and dividends legislation; PL 110-343--capital gains reporting legislation; HR 3185 / HR 3765 / S 2473--401(k) fee disclosure legislation; PL 110-343--Emergency Economic Stabilization Act-market rescue and tax extenders legislation.

Client expense: $430,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/ H.R. 3010 (Arbitration Fairness); H.R. 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Auction Rate Securities Market; Mutual Recognition; Rule 15a-6; Municipal bonds; H.R. 6333/ S. 3518 (The Municipal Bond Market Support Act); H.R. 6308 (Municipal Bond Fairness Act); Credit Ratings for Structured Finance Products; SEC Nominations; Cross border securities activities; Section 13(d) ownership of equity swaps; Regulatory restructuring/discount window access; H.R. 5720/ H.R. 3221 (Foreclosure Prevention Act of 2008); S. 2636 (Foreclosure Prevention Act of 2008); Treasury Blueprint/Regulatory Restructuring; H.R. 1424 (Emergency Economic Stabilization Act); H.R. 6482 (credit ratings for asset-backed instruments).

Client expense: $1,430,000 · Firm income: Not reported

HR 3225 - Mutual Fund Fee Reform Act HR 1257 / S 1181 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform HR 1424 - Emergency Economic Stabilization Act

Client expense: $40,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 275 Global Online Freedom Act of 2007 H.R. 1171 Money Market Fund Parity Acto of 2007 (mutual fund competitiveness) H.R. 1257 Shareholder Vote on Executive Compensation Act (proxy vote disclosure) H.R. 3225 Mutual Fund Fee Reform Act (12b-1 fees) H.R. 3997 Emergency Economic Stabilization Act of 2008 (Troubled Assets) H.R. 6308 Municipal Bond Fairness Act H.R. 6333 Municipal Bond Market support Act of 2008 H.R. 6377 Energy Markets Emergency Act of 2008 H.R. 6604 Commodity Markets Transparency and Accountability Act of 2008 H.R. 6796 VULTURE Funds Act S. 2136 Helping Families Save Their homes in Bankruptcy Act of 2007 (subprime) S. 3130 Increasing Transparency and ACcountability in Oil Prices Act of 2008 S. 3268 Stop Excessive Energy Speculation Act of 2008 Commodity Index Funds (Lieberman) U.S. Capital Markets Competitiveness Financial Regulatory Structure Modernization (Treasury Blueprint) Closed-End Funds / AMPS Money Market Mutual Fund Guaranty Plan

Client expense: $1,240,256 · Firm income: Not reported

Shareholder Votes on Executive Compensation Act - H.R. 1257 Paycheck Fairness Act H.R. 1338 Emergency Economic Stabilization Act - H.R. 1424 Tax Equity for Health Plan Beneficiaries Act of 2007 - H.R. 1820 Pension Security Act of 2007 - H.R. 2683 Lilly Ledbetter Fair Pay Act of 2007 - H.R. 2831 Federal Aviation Administration (FAA) Reauthorization Act (benefits provisions) H.R. 2881 Tax Collection Responsibility Act of 2007 - H.R. 3056 401 (k) Fair Disclosure for Retirement Security Act - H.R. 3185 ADA Restoration Act of 2007 - H.R. 3195 Mutual Fund Fee Reform Act H.R. 3225 Pension Protection Technical Corrections Act of 2007 - H.R. 3361 Long-Term Care Affordability and Security Act of 2007 - H.R. 3363 Protecting Employees and Retirees in Business Bankruptcies Act of 2007 - H.R. 3652 Defined Contribution Plan Fee Transparency Act of 2007 - H.R. 3765 AMT Credit Fairness and Relief Act - H.R. 3861 Tax Reduction and Reform Act of 2007 - H. R. 3970 The Temporary Tax Relief Act of 2007/Tax Increase Prevention Act of 2007 - H.R. 3996 Defenders of Freedom Tax Relief Act of 2007/Heroes Earnings Assistance and Tax Relief Act of 2007 title as passed - H.R. 3997 AMT Relief Act of 2007 - H.R. 4351 The Small Business Add Value for Employees (SAVE) Act of 2008 H.R. 5160 Energy and Tax Extenders Act of 2008/Renewable Energy and Job Creation Act of 2008/Energy Improvement and Extension Act of 2008 H.R. 6049 Heroes Earnings Assistance and Relief Tax Act H.R. 6081 Roadmap for Americas Future Act of 2008 H.R. 6110 Pension Protection Act ERISA Amendments of 2008 H.R. 6143 ERISA Amendments H.R. 6142 Pension Protection Technical Corrections Act of 2008 H.R. 6382 Commodity Markets Transparency and Accountability Act & Substitute amendment H.R. 6604 401 (k) Plan Debit Card Bill H.R. 6708 Hurricane Tax Relief Act of 2008 H.R. 6958 Alternative Minimum Tax Relief Act of 2008 H.R. 7005 Disaster Tax Relief Act of 2008 H.R. 7006 Renewable Energy and Job Creation Tax Act of 2008 (tax extenders) H.R. 7060 Senate Tax Equity for Domestic Partner and Health Plan Beneficiaries Act - S. 1556 Defenders of Freedom Tax Relief Act of 2007 - S. 1593 Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments S.1624 Restoring Pension Promises to Workers Act S. 1725 Fair Pay Restoration Act - S. 1843 Americans with Disabilities Act Restoration Act of 2007 - S. 1881 Pension Protection Technical Corrections Act of 2007 - S. 1974 Independent Contractor Proper Classification Act of 2007 - S. 2044 Protecting Employees and Retirees in Business Bankruptcies Act of 2007 - S. 2092 Offshore Deferred Compensation Reform Act of 2007 - S. 2199 Long-Term Care Affordability and Security Act of 2007 - S. 2337 Defined Contribution Fee Disclosure Act of 2007 - S. 2473 AMT Credit Fairness and Relief Act S. 2389 Incentives for Older Workers Act S. 2933 Alternative Minimum Tax and Extenders Tax Relief Act of 2008 S. 3098 Energy Independence and Tax Relief Act of 2008 S. 3125 Title VII Fairness Act S. 3209 Commodity Speculation Reform Act of 2008 - S. 3248 Stop Excessive Energy Speculation Act of 2008 - S. 3268 401 (k) Plan Debit Card Bill S. 3278 The Jobs, Energy, Families, and Disaster Relief Act S.3335 (extenders, deferred comp) ADA Amendments Act S. 3406 Regulatory communication with covered federal officials on legislative issues. Legislation Treasury/IRS Emergency Economic Stabilization Act H.R. 1424 Treasury/IRS - Pension Protection Act Technical Corrections (PPA) - H.R. 3361, H.R. 6382, S. 1974 DOL on 401 (k) fee disclosure - H.R. 3185, H.R. 3765, S. 2473 Treasury/IRS - on hybrid plan issues Treasury/IRS on 409A and deferred compensation Treasury/IRS on pension funding Treasury/IRS - guidance on benefits provisions of the HEART Act H.R. 6081 Treasury/IRS on benefit accruals and anti-backloading Treasury/IRS Hurricane relief H.R. 6958, H.R. 7006

H.R. 948 - Social Security Number Protection Act; provisions relating to financial services industry H.R. 958 The Data Accountability & Trust Act (DATA); provisions relating to financial services industry H.R.1443 - Consumer Fairness Act of 2007; provisions relating to securities and banking industries H.R.1525 - Internet Spyware (I-SPY) Prevention Act; provisions relating to financial services industry H.R.1685 Data Security Act of 2007; provisions relating to financial services industry H.R. 3010 - Arbitration Fairness Act of 2007; provisions relating to securities and banking industries H.R. 3046 Social Security Number Privacy and Identity Theft Prevention Act of 2007; provisions relating to financial services industry H.R. 3225 - Mutual Fund Fees Reform Act; entire bill H.R. 6513 - Securities Act of 2008; entire bill S. 208 - Social Security Account Number Protection Act; provisions relating to financial services industry S. 239 - The Notification of Risk to Personal Data Act; provisions relating to financial services industry S. 495 - The Personal Data Privacy and Security Act; provisions relating to financial services industry S. 806 Consumer Protection & ID Act; provisions relating to financial services industry S. 1135 - The Fair Arbitration Act of 2007; provisions relating to securities and banking industry S. 1178 - Identity Theft Protection Act; provisions relating to financial services industry S. 1181 Shareholder Vote on Executive Compensation Act; entire bill S. 1202 Personal Data Protection Act; provisions relating to financial services industry S. 1260 - Data Security Act of 2007; provisions relating to financial services industry S. 1782 Arbitration Fairness Act of 2007; provisions relating to securities and banking industry S. 2124 Federal Agency Data Breach Protection Act; provisions relating to financial services industry S. 2168 Identify Theft Enforcement and Restitution Act of 2007; provisions relating to financial services industry

Proposals to amend Sector 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti-Predatory Legacy Act of 2007 (all provisions); S2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions); List continues on Page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions) H.R. 1424, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) H.R. 3997, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions)

See Addendum S. 238, "Social Security Number Misuse Prevention Act". S. 239, Notification of Risk to Personal Data Act of 2007. S. 495, Personal Data Privacy and Security Act of 2007. S. 1178, The Identity Theft Prevention Act of 2007. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". S. 2338, "FHA Modernization Act of 2007". S. 2452, "Home Ownership Preservation and Protection Act of 2007" (provision relating to assignee liability). S. 2794, "Senior Investor Protection Act of 2008". S. 3268, "Stop Excessive Energy Speculation Act of 2008". H.R. 948, "Social Security Number Misuse Prevention Act". H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3221, "Housing and Economic Recovery Act of 2008", Became P.L. 110-289. H.R. 3225, "Mutual Fund Fee Reform Act". H.R. 3915, "Mortgage Reform and Anti-Predetory Lending Act of 2007", Section 204 (provision related to assignee liability). H.R. 6604, "Commodity Markets Transparency and Accountability Act of 2008". SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. SEC Proposed Rule, "Enhanced Disclosure and New Prospectus Delivery Options for Registered Open-End Management Investment Companies", Release No. 33-8861 (11/21/07). SEC Proposed Rule 151A, "Indexed Annuities and Certain Other Insurance Contracts", Release No. 33-8933 (6/25/08). Department of Treasury, "Blueprint for a Modernized Financial Regulatory Structure" (3/3/08)

Client expense: $780,000 · Firm income: Not reported

HR 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 HR 3361 - Pension Protection Technical Corrections Act of 2007 Monitoring issues impacting 401(k) fees, 12(b)(1) fees and default investment alternatives HR 3225 - Mutual Fund Fee Reform Act

Client expense: Not reported · Firm income: $22,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 2796 / S 2126--capital gains tax exclusion for mutual funds; HR 3225--mutual fund fee reform legislation; HR 2312 / S 502--permanent individual income tax rates for capital gains and dividends legislation; HR 878 / S 601--capital gains reporting legislation; HR 3185 / HR 3765 / S 2473--401(k) fee disclosure legislation; HR 1424--market rescue and tax extender legislation.

Client expense: $490,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/HR 3010 (Arbitration Fairness); HR 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Auction Rate Securities Market; Mutual Recognition; Rule 15a-6; Municipal bonds; HR 6333 (The Municipal Bond Market Support Act); HR 6308 (Municipal Bond Fairness Act); Credit Ratings for Structured Finance Products; SEC Nominations; Cross border securities activities; Section 13(d) ownership of equity swaps; Regulatory restructuring/discount window access; HR 5720/HR 3221 (Foreclosure Prevention Act of 2008); S. 2636 (Foreclosure Prevention Act of 2008); Treasury Blueprint/Regulatory Restructuring.

Client expense: $1,050,000 · Firm income: Not reported

Proposals to amend Sector 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti- Predatory Legacy Act of 2007 (all provisions); S 2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions). List continues on page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions)

Client expense: $17,215 · Firm income: Not reported

Shareholder Votes on Executive Compensation Act - H.R. 1257 Tax Equity for Health Plan Beneficiaries Act of 2007 - H.R. 1820 Pension Security Act of 2007 - H.R. 2683 Lilly Ledbetter Fair Pay Act of 2007 - H.R. 2831 Federal Aviation Administration (FAA) Reauthorization Act (benefits provisions) - H.R. 2881 Tax Collection Responsibility Act of 2007 - H.R. 3056 401 (k) Fair Disclosure for Retirement Security Act - H.R. 3185 ADA Restoration Act of 2007 - H.R. 3195 Mutual Fund Fee Reform Act H.R. 3225 Pension Protection Technical Corrections Act of 2007 - H.R. 3361 Long-Term Care Affordability and Security Act of 2007 - H.R. 3363 Protecting Employees and Retirees in Business Bankruptcies Act of 2007 - H.R. 3652 Defined Contribution Plan Fee Transparency Act of 2007 - H.R. 3765 AMT Credit Fairness and Relief Act - H.R. 3861 Tax Reduction and Reform Act of 2007 - H. R. 3970 The Temporary Tax Relief Act of 2007/Tax Increase Prevention Act of 2007 - H.R. 3996 Defenders of Freedom Tax Relief Act of 2007/Heroes Earnings Assistance and Tax Relief Act of 2007 - title as passed - H.R. 3997 AMT Relief Act of 2007 - H.R. 4351 The Small Business Add Value for Employees (SAVE) Act of 2008 - H.R. 5160 Energy and Tax Extenders Act - H.R. 6049 Heroes Earnings Assistance and Relief Tax Act - H.R. 6081 Roadmap for America's Future Act of 2008 - H.R. 6110 Pension Protection Act ERISA Amendments of 2008 - H.R. 6143 ERISA Amendments - H.R. 6142 Pension Protection Technical Corrections Act of 2008 - H.R. 6382 Senate Tax Equity for Domestic Partner and Health Plan Beneficiaries Act - S. 1556 Defenders of Freedom Tax Relief Act of 2007 - S. 1593 Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments - S.1624 Restoring Pension Promises to Workers Act - 1725 Fair Pay Restoration Act - S. 1843 Americans with Disabilities Act Restoration Act of 2007 - S. 1881 Pension Protection Technical Corrections Act of 2007 - S. 1974 Independent Contractor Proper Classification Act of 2007 - S. 2044 Protecting Employees and Retirees in Business Bankruptcies Act of 2007 (S. 2092) Offshore Deferred Compensation Reform Act of 2007 - S. 2199 Long-Term Care Affordability and Security Act of 2007 - S. 2337 Defined Contribution Fee Disclosure Act of 2007 - S. 2473 AMT Credit Fairness and Relief Act - S. 2389 Incentives for Older Workers Act - S. 2933 Alternative Minimum Tax and Extenders Tax Relief Act of 2008 - S. 3098 Title VII Fairness Act - S. 3209 Regulatory - communication with covered federal officials on legislative issues. Legislation - The Pension Protection Act Technical Corrections (PPA) - H.R. 3361/H.R. 6382//S. 1974 DOL proposed 408(b)(2) regulations for fee disclosure requirements DOL - 401 (k) fee disclosure (H.R. 3185/H.R. 3765/S. 2473) Treasury/IRS hybrid plan hearing Treasury/IRS guidance on 409A and deferred compensation Treasury/IRS hearing on measurement of pension plan assets and liabilities

HR 3225 - Mutual Fund Fee Reform Act HR 1257 / S 1181 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform

Client expense: $40,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

See Addendum S. 238, "Social Security Number Misuse Prevention Act". S. 239, Notification of Risk to Personal Data Act of 2007. S. 495, Personal Data Privacy and Security Act of 2007. S. 1178, The Identity Theft Prevention Act of 2007. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". S. 2338, "FHA Modernization Act of 2007". S. 2452, "Home Ownership Preservation and Protection Act of 2007" (provision relating to assignee liability). S. 2794, "Senior Investor Protection Act of 2008". H.R. 948, "Social Security Number Misuse Prevention Act". H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3221, "Housing and Economic Recovery Act of 2008". H.R. 3225, "Mutual Fund Fee Reform Act". H.R. 3915, "Mortgage Reform and Anti-Predetory Lending Act of 2007", Section 204 (provision related to assignee liability). SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. SEC Proposed Rule, "Enhanced Disclosure and New Prospectus Delivery Options for Registered Open-End Management Investment Companies", Release No. 33-8861 (11/21/07). SEC Proposed Rule 151A, "Indexed Annuities and Certain Other Insurance Contracts", Release No. 33-8933 (6/25/08). Department of Treasury, "Blueprint for a Modernized Financial Regulatory Structure" (3/3/08)

Client expense: $620,000 · Firm income: Not reported

H.R. 1171 Money Market Fund Parity Act of 2007 (mutual fund competitiveness) H.R. 1257 Shareholder Vote on Executive Compensation Act (proxy vote disclosure) H.R. 3225 Mutual Fund Fee Reform Act (12b-1 fees) H.R. 275 The Global Online Freedom Act H.R. 3609 Emergency Home Ownership and Mortgage Equity Protection Act of 2007 (subprime) H.R. 3915 Mortgage Reform and Anti-Predatory Lending Act of 2007 (subprime) H.R. 5579 Emergency Mortgage Loan Modification Act of 2008 (subprime) H.R. 6308 Municipal Bond Fairness Act H.R. 6330 Prevent Unfair Manipulation of Prices (PUMP) Act H.R. 6333 The "Municipal Bond Support Act of 2008" H.R. 6377 Energy Markets Emergency Act of 2008 S. 2136 Helping Families Save Their Homes in Bankruptcy Act of 2007 (subprime) S. 2452 Home Ownership Preservation and Protection Act of 2007 (subprime) S. 3130 Increasing Transparency and Accountability in Oil Prices Act Commodity Index Funds (Lieberman) U.S. Capital Markets Competitiveness Financial Regulatory Structure Modernization (Treasury Blueprint) Vulture Funds Closed-End Funds / AMPS

Client expense: $1,409,600 · Firm income: Not reported

HR 3225 - Mutual Fund Fee Reform Act HR 1257 / S 1181 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform

Client expense: $40,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 948 - Social Security Number Protection Act; provisions relating to financial services industry H.R. 958 The Data Accountability & Trust Act (DATA); provisions relating to financial services industry H.R.1443 - Consumer Fairness Act of 2007; provisions relating to securities and banking industries H.R.1525 - Internet Spyware (I-SPY) Prevention Act; provisions relating to financial services industry H.R.1685 Data Security Act of 2007; provisions relating to financial services industry H.R. 3010 - Arbitration Fairness Act of 2007; provisions relating to securities and banking industries H.R. 3046 Social Security Number Privacy and Identity Theft Prevention Act of 2007; provisions relating to financial services industry H.R. 3225 - Mutual Fund Fees Reform Act; entire bill H.R. 5611 - The National Association Of Registered Agents And Brokers (NARAB) Reform Act; entire bill S. 208 - Social Security Account Number Protection Act; provisions relating to financial services industry S. 239 - The Notification of Risk to Personal Data Act; provisions relating to financial services industry S. 495 - The Personal Data Privacy and Security Act; provisions relating to financial services industry S. 806 Consumer Protection & ID Act; provisions relating to financial services industry S. 1135 - The Fair Arbitration Act of 2007; provisions relating to securities and banking industry S. 1178 - Identity Theft Protection Act; provisions relating to financial services industry S. 1181 Shareholder Vote on Executive Compensation Act; entire bill S. 1202 Personal Data Protection Act; provisions relating to financial services industry S. 1260 - Data Security Act of 2007; provisions relating to financial services industry S. 1782 Arbitration Fairness Act of 2007; provisions relating to securities and banking industry S. 2124 Federal Agency Data Breach Protection Act; provisions relating to financial services industry S. 2168 Identify Theft Enforcement and Restitution Act of 2007; provisions relating to financial services industry

HR 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 HR 3361 - Pension Protection Technical Corrections Act of 2007 Monitoring issues impacting 401(k) fees, 12(b)(1) fees and default investment alternatives HR 3225 - Mutual Fund Fee Reform Act

Client expense: Not reported · Firm income: $22,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 2796 / S 2126--capital gains tax exclusion for mutual funds; HR 3225--mutual fund fee reform legislation; HR 2312 / S 502--permanent individual income tax rates for capital gains and dividends legislation; HR 878 / S 601--capital gains reporting legislation; HR 3185 / HR 3765 / S 2473--401(k) fee disclosure legislation.

Client expense: $400,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/HR 3010 (Arbitration Fairness); HR 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Auction Rate Securities Market; Mutual Recognition; Rule 15a-6; Municipal bonds

Client expense: $1,360,000 · Firm income: Not reported

H.R. 1171 Money Market Fund Parity Act of 2007 (mutual fund competitiveness) H.R. 1257 Shareholder Voteon Executive Compensation Act (proxy vote disclosure) H.R. 3225 Mutual Fund Fee Reform Act (12b-1 fees) H.R. 3609 Emergency Home Ownership and Mortgage Equity Protection Act of 2007 (subprime) H.R. 3915 Mortgage Reform and Anti-Predatory Lending Act of 2007 (subprime) H.R. 5579 Emergency Mortgage Loan Modificatoin Act of 2008 (subprime) S. 2136 Helping Families Save Their Homes in Bankruptcy Act of 2007 (subprime) S. 2452 Home Ownership Preservation and Protection Act of 2007 (subprime) Capital Markets Competitiveness Issues Alternative Fund Model

Client expense: $1,553,577 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

See Addendum S. 238, "Social Security Number Misuse Prevention Act". S. 239, Notification of Risk to Personal Data Act of 2007 - A bill to require Federal agencies, and persons engaged in interstate commerce, in possession of data containing sensitive personally identifiable information, to disclose any breach of such information. S. 495, Personal Data Privacy and Security Act of 2007 - A bill to prevent and mitigate identity theft, to ensure privacy, to provide notice of security breaches, and to enhance criminal penalties, law enforcement assistance, and other protections against security breaches, fraudulent access, and misuse of personally identifiable information. S. 1178, The Identity Theft Prevention Act of 2007 - A bill to strengthen data protection and safeguards, require data breach notification, and further prevent identity theft. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". S. 2452, "Home Ownership Preservation and Protection Act of 2007" (provision relating to assignee liability). S. 2794, "Senior Investor Protection Act of 2008". H.R. 948, "Social Security Number Misuse Prevention Act". H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3225, "Mutual Fund Fee Reform Act". H.R. 3915, "Mortgage Reform and Anti-Predetory Lending Act of 2007", Section 204 (provision related to assignee liability). SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. SEC, Proposed Rule, "Enhanced Disclosure and New Prospectus Delivery Options for Registered Open-End Management Investment Companies", Release No. 33-8861 (11/21/07). Department of Treasury, "Blueprint for a Modernized Financial Regulatory Structure" (3/3/08)

Shareholder Votes on Executive Compensation Act (H.R. 1257) Tax Equity for Health Plan Beneficiaries Act of 2007 (H.R. 1820) Pension Security Act of 2007 (H.R. 2683) Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments (H.R. 2785) Lilly Ledbetter Fair Pay Act of 2007 (H.R. 2831) Alternative Investments, Treating income received by partners for performing investment management as ordinary income (H.R. 2843) Tax Collection Responsibility Act of 2007 (H.R. 3056) 401 (k) Fair Disclosure for Retirement Security Act (H.R. 3185) ADA Restoration Act of 2007 (H.R. 3195) Mutual Fund Fee Reform Act (H.R. 3225) Pension Protection Technical Corrections Act of 2007 (H.R. 3361) Long-Term Care Affordability and Security Act of 2007 (H.R. 3363) Commission on the Tax Treatment of Hedge Funds and Private Equity Act of 2007 (H.R. 3417) Protecting Employees and Retirees in Business Bankruptcies Act of 2007 (H.R. 3652) Defined Contribution Plan Fee Transparency Act of 2007 (H.R. 3765) Bill to Delay the Effective Date of the PPA Funding Rules (H.R. 3868) Tax Reduction and Reform Act of 2007 (H. R. 3970) Offshore Deferred Compensation Reform Act of 2007 (H.R. 3923) The Temporary Tax Relief Act of 2007/Tax Increase Prevention Act of 2007 (H.R. 3996) Defenders of Freedom Tax Relief Act of 2007/Heroes Earnings Assistance and Tax Relief Act of 2007 title as passed (H.R. 3997) AMT Relief Act of 2007 (H.R. 4351) Senate Tax Equity for Domestic Partner and Health Plan Beneficiaries Act (S. 1556) Defenders of Freedom Tax Relief Act of 2007 (S. 1593) Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments (S. 1624) Restoring Pension Promises to Workers Act (S. 1725) Fair Pay Restoration Act (S. 1843) Americans with Disabilities Act Restoration Act of 2007 (S. 1881) Pension Protection Technical Corrections Act of 2007 (S. 1974) Independent Contractor Proper Classification Act of 2007 (S. 2044) Protecting Employees and Retirees in Business Bankruptcies Act of 2007 (S. 2092) Offshore Deferred Compensation Reform Act of 2007 (S. 2199) Long-Term Care Affordability and Security Act of 2007 (S. 2337) Defined Contribution Fee Disclosure Act of 2007 (S. 2473) Regulatory communication with covered federal officials on legislative issues. Legislation The Pension Protection Act (PPA) - H.R. 3361/S. 1974 & H.R. 3185/S. 2473 Treasury/IRS guidance on hybrid plans including backloading Treasury/IRS guidance on combined plan limit Treasury/IRS proposed regulations on single employer plan funding, benefit restrictions, interest rate modifications and mortality tables Treasury/IRS guidance on 409A and deferred compensation Treasury/IRS guidance on employer stock diversification DOL proposed 408(b)(2) regulations for fee disclosure requirements DOL final regulations and other guidance on Form 5500 PBGC guidance related to PPA implementation (hybrid/cash balance plans including backloading)

Proposals to amend S 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti- Predatory Legacy Act of 2007 (all provisions); S 2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions). List continues on page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761 Terrorism Risk Insurance Revision and Extension Act of 2007 Municipal Securities Markets Mutual Recognition

Client expense: $20,423 · Firm income: Not reported

HR 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 HR 3361 - Pension Protection Technical Corrections Act of 2007 Monitoring issues impacting 401(k) fees, 12(b)(1) fees and default investment alternatives HR 3225 - Mutual Fund Fee Reform Act

Client expense: Not reported · Firm income: $22,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 2796 / S 2126--capital gains tax exclusion for mutual funds; HR 3225--mutual fund fee reform legislation; HR 2312 / S 502--permanent individual income tax rates for capital gains and dividends legislation; HR 878 / S 601--capital gains reporting legislation; HR 3185 / HR 3765 / S 2473--401(k) fee disclosure legislation

Client expense: $410,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

HR 3225 - Mutual Fund Fee Reform Act HR 1257 / S 1181 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform

Client expense: $40,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 948 - Social Security Number Protection Act; provisions relating to financial services H.R. 958 The Data Accountability & Trust Act (DATA); provisions relating to financial services industry H.R.1443 - Consumer Fairness Act of 2007; provisions relating to securities and banking industries H.R.1525 - Internet Spyware (I-SPY) Prevention Act; provisions relating to financial services industry H.R.1685 Data Security Act of 2007; provisions relating to financial services industry H.R. 3010 - Arbitration Fairness Act of 2007; provisions relating to securities and banking industries H.R. 3046 Social Security Number Privacy and Identity Theft Prevention Act of 2007; provisions relating to financial services industry H.R. 3225 - Mutual Fund Fees Reform Act; entire bill H.R. 5611 - The National Association Of Registered Agents And Brokers (NARAB) Reform Act; entire bill S. 208 - Social Security Account Number Protection Act; provisions relating to financial services industry S. 239 - The Notification of Risk to Personal Data Act; provisions relating to financial services industry S. 495 - The Personal Data Privacy and Security Act; provisions relating to financial services industry S. 806 Consumer Protection & ID Act; provisions relating to financial services industry S. 1135 - The Fair Arbitration Act of 2007; provisions relating to securities and banking industry S. 1178 - Identity Theft Protection Act; provisions relating to financial services industry S. 1181 Shareholder Vote on Executive Compensation Act; entire bill S. 1202 Personal Data Protection Act; provisions relating to financial services industry S. 1260 - Data Security Act of 2007; provisions relating to financial services industry S. 1782 Arbitration Fairness Act of 2007; provisions relating to securities and banking industry S. 2124 Federal Agency Data Breach Protection Act; provisions relating to financial services industry S. 2168 Identify Theft Enforcement and Restitution Act of 2007; provisions relating to financial services industry

S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/HR 3010 (Arbitration Fairness); HR 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Auction Rate Securities Market; Mutual Recognition; Rule 15a-6; Municipal bonds

Client expense: $1,360,000 · Firm income: Not reported

See Addendum S. 238, "Social Security Number Misuse Prevention Act". S. 239, Notification of Risk to Personal Data Act of 2007 - A bill to require Federal agencies, and persons engaged in interstate commerce, in possession of data containing sensitive personally identifiable information, to disclose any breach of such information. S. 495, Personal Data Privacy and Security Act of 2007 - A bill to prevent and mitigate identity theft, to ensure privacy, to provide notice of security breaches, and to enhance criminal penalties, law enforcement assistance, and other protections against security breaches, fraudulent access, and misuse of personally identifiable information. S. 1178, The Identity Theft Prevention Act of 2007 - A bill to strengthen data protection and safeguards, require data breach notification, and further prevent identity theft. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". H.R. 948, "Social Secuirty Number Misuse Prevention Act". H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3225, "Mutual Fund Fee Reform Act". H.R. 3915, "Mortgage Reform and Anti-Predetory Lending Act of 2007", Section 204 (provision related to assignee liability). SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. SEC, Proposed Rule, "Enhanced Disclosure and New Prospectus Delivery Options for Registered Open-End Management Investment Companies", Release No. 33-8861 (11/21/07).

Client expense: $1,260,000 · Firm income: Not reported

S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/HR 3010 (Arbitration Fairness); HR 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Mutual Recognition; Rule 15a-6

Client expense: $3,120,000 · Firm income: Not reported

Regulatory Treasury/IRS guidance on hybrid plans including backloading Treasury/IRS guidance on combined plan limit Treasury/IRS/DOL final regulations and other guidance on 403(b) plans Treasury/IRS proposed regulations on single employer plan funding, benefit restrictions, interest rate modifications and mortality tables Treasury/IRS proposed regulations on automatic enrollment contributions Treasury/IRS proposed regulations on health, long term care and disability insurance in a qualified plan Treasury/IRS guidance on 409A and deferred compensation Treasury/IRS transition relief and guidance on 409A corrections Treasury/IRS guidance on nonqualified deferred compensation Section 162 (m) Treasury/IRS guidance on normal retirement age Treasury/IRS proposed guidance on 204(h) notices Treasury/IRS guidance on employer stock diversification DOL proposed regulations on PPA disclosure penalties DOL proposed regulations on selection of annuity providers for individual account plans DOL RFI on 401(k) plan fee and expense disclosure DOL proposed 408(b)(2) regulations for fee disclosure requirements DOL/ERISA Advisory Council Working Groups on participant defined contribution plan benefit statements, financial literacy, participant defined benefit plan statements, fiduciary responsibilities and revenue sharing DOL final regulations and other guidance on Form 5500 DOL final guidance and follow-up on qualified default investment alternative arrangements PBGC proposed regulations to change the variable rate premium (VRP) PBGC proposed guidance related to PPA implementation Shareholder Votes on Executive Compensation Act (H.R. 1257) Tax Equity for Health Plan Beneficiaries Act of 2007 (H.R. 1820) Farm Nutrition and Bioenergy Act of 2007, Food & Energy Security Act of 2007, title as passed (H.R. 2419) Pension Security Act of 2007 (H.R. 2683) Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments (H.R. 2785) Lilly Ledbetter Fair Pay Act of 2007 (H.R. 2831) Alternative Investments, Treating income received by partners for performing investment management as ordinary income (H.R. 2843) Tax Responsibility Act of 2007 (H.R. 3056) Fair Disclosure for Retirement Security Act of 2007 (H.R. 3185) ADA Restoration Act of 2007 (H.R. 3195) Mutual Fund Fee Reform Act (H.R. 3225) Pension Protection Technical Corrections Act of 2007 (H.R. 3361) Long-Term Care Affordability and Security Act of 2007 (H.R. 3363) Commission on the Tax Treatment of Hedge Funds and Private Equity Act of 2007 (H.R. 3417) Protecting Employees and Retirees in Business Bankruptcies Act of 2007 (H.R. 3652) Defined Contribution Plan Fee Transparency Act of 2007 (H.R. 3765) Bill to Delay the Effective Date of the PPA Funding Rules (H.R. 3868) Tax Reduction and Reform Act of 2007 (H. R. 3970) Offshore Deferred Compensation Reform Act of 2007 (H.R. 3923) The Temporary Tax Relief Act of 2007/Tax Increase Prevention Act of 2007 (H.R. 3996) Defenders of Freedom Tax Relief Act of 2007/Heroes Earnings Assistance and Tax Relief Act of 2007 – title as passed (H.R. 3997) AMT Relief Act of 2007 (H.R. 4351) Senate Tax Equity for Domestic Partner and Health Plan Beneficiaries Act (S. 1556) Defenders of Freedom Tax Relief Act of 2007 (S. 1593) Alternative Investments, Amending Internal Revenue Code provisions taxing partnerships involving alternative investments (S. 1624) Restoring Pension Promises to Workers Act (S. 1725) Fair Pay Restoration Act (S. 1843) Americans with Disabilities Act Restoration Act of 2007 (S. 1881) Pension Protection Technical Corrections Act of 2007 (S. 1974) Independent Contractor Proper Classification Act of 2007 (S. 2044) Protecting Employees and Retirees in Business Bankruptcies Act of 2007 (S. 2092) Offshore Deferred Compensation Reform Act of 2007 (S. 2199) Long-Term Care Affordability and Security Act of 2007 (S. 2337) Defined Contribution Fee Disclosure Act of 2007 (S. 2473) Small Business Tax Relief Act/Children’s Health Insurance (CHIP) Reauthorization Act of 2007, title as passed (H.R. 976)

Monitoring issues impacting 401(k) fees, 12(b)(1) fees and default investment alternatives H.R. 3361 - Pension Protection Technical Corrections Act of 2007 H.R. 3185 - 401(k) Fair Disclosure for Retirement Security Act of 2007 H.R. 3225 - Mutual Fund Fee Reform Act

Client expense: Not reported · Firm income: $40,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 2796 / S 2126--capital gains tax exclusion for mutual funds; HR 3225--mutual fund fee reform legislation; HR 3185--defined contribution plan fee disclosure legislation; HR 2312 / S 502 permanent individual income tax rates for capital gains and dividends legislation; HR 878 / S 601--capital gains reporting legislation; HR 3185/ HR 3765 / S 2473--401(k) fee disclosure legislation.

Client expense: $890,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

HR 3225 - Mutual Fund Fee Reform Act HR 1257/S 1181 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform

Client expense: $80,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 238, "Social Security Number Misuse Prevention Act". S. 239, “Notification of Risk to Personal Data Act of 2007” - A bill to require Federal agencies, and persons engaged in interstate commerce, in possession of data containing sensitive personally identifiable information, to disclose any breach of such information. S. 495, “Personal Data Privacy and Security Act of 2007” - A bill to prevent and mitigate identity theft, to ensure privacy, to provide notice of security breaches, and to enhance criminal penalties, law enforcement assistance, and other protections against security breaches, fraudulent access, and misuse of personally identifiable information. S. 1178, The “Identity Theft Prevention Act of 2007” - A bill to strengthen data protection and safeguards, require data breach notification, and further prevent identity theft. S. 1202, "Personal Data Protection Act of 2007". S. 1260, "Data Security Act of 2007". H.R. 948, "Social Secuirty Number Misuse Prevention Act". H.R. 1685, "Data Security Act of 2007". H.R. 3046, "Social Security, Number Privacy and Identity Theft Prevention Act of 2007". H.R. 3225, "Mutual Fund Fee Reform Act". SEC Review of Rule 12b-1. SEC Review of soft dollar arrangements under Sections 28(e) of the Exchange Act. See Addendum

Client expense: $1,440,000 · Firm income: Not reported

HR 3225 - Mutual Fund Fee Reform Act HR 1257 - Shareholder Vote on Executive Compensation Act Potential soft dollar reform

Client expense: $80,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 2796--capital gains tax tax exclusion for mutual funds; HR 3225--mutual fund fee reform legislation; HR 3185--defined contribution plan fee disclosure legislation; HR 2312 / S 502 permanent individual income tax reates for capital gains and dividends legislation.

Client expense: $700,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE