Securities Act of 2008

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. 1424 Emergency Economic Stabilization Act of 2008; provisions relating to TARP, federal economic stabilization program, FDIC insurance coverage, mental health parity, tax provisions including basis reporting, IRA charitable rollovers, small business, AMT relief, R&D, mortgage debt forgiveness, and disaster relief provisions relating to saving vehicles 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 P.L. 110-343 Emergency Economic Stabilization Act of 2008; provisions relating to TARP, tax sections on savings, AMT, small business, and mental health parity

Client expense: $160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Potential legislation relating to the rules of procedure and/or the technical activities of the Financial Accounting Foundation and the Financial Accounting Standards Board, including the following: H.R.755, The Promoting Transparency in Financial Reporting Act of 2007, H.R.5830, The FHA Housing Stabilization and Homeownership Retention Act of 2008, H.R. 6513, The Securities Act of 2008, and H.R. 1424, The Emergency Economic Stabilization Act of 2008.

Client expense: $10,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Potential legislation relating to the rules of procedure and/or the technical activities of the Financial Accounting Foundation and the Financial Accounting Standards Board, including the following: H.R.755, The Promoting Transparency in Financial Reporting Act of 2007, H.R.5830, The FHA Housing Stabilization and Homeownership Retention Act of 2008, H.R. 6513, The Securities Act of 2008, and H.R. 1424, The Emergency Economic Stabilization Act of 2008.

Client expense: $10,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to the Commodity Futures Trading Commission Reauthorization Act (H.R. 4626). H.R. 6513 - Securities Act of 2008

Client expense: Not reported · Firm income: $20,000

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE

H.R. 698 & S. 1356-Industrial Loan Companies; H.R. 3010 & S. 1782-Arbitration; H.R. 6312-Credit Union, Bank, and Thrift Regulatory relief Act of 2008; H.R. 6513-Securities Act of 2008; H.R. 1424, Economic Stabilization Act of 2008

Client expense: $1,240,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

P.L. 91-598, Securities Investor Protection Act of 1970, seeking an amendment to portfolio margining; H.R. 6513, Securities Act of 2008, Section 8, Securities Investor Protection Act of 1970 Amendments, seeking an amendment to portfolio margining; Clearing and risk management for over-the-counter derivatives; The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure March 2008, futures and securities regulatory restructuring

Client expense: $250,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Legislation affecting SIPC protection amounts under portfolio margining (amendment to 15 USC 78 lll in H.R. 6513).

Client expense: Not reported · Firm income: $10,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Initiatives related to CBOE's organization and modernization, including exchange rule filings. Regulation of securities trading and securities exchanges, including HR 6513, the "Securities Act of 2008."

Client expense: Not reported · Firm income: $60,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

Potential legislation relating to the rules of procedure and/or the technical activities of the Financial Accounting Foundation and the Financial Accounting Standards Board, including the following: H.R. 755, The Promoting Transparency in Financial Reporting Act of 2007, H.R. 5830, The FHA Housing Stabilization and Homeownership Retention Act of 2008, H.R. 6513, The Securities Act of 2008, and H.R. 1424, The Emergency Economic Stabilization Act of 2008.

Client expense: $10,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Potential legislation relating to the rules of procedure and/or the technical activities of the Financial Accounting Foundation and the Financial Accounting Standards Board, including the following: H.R. 755, The Promoting Transparency in Financial Reporting Act of 2007, H.R. 5830, The FHA Housing Stabilization and Homeownership Retention Act of 2008, H.R. 6513, The Securities Act of 2008, and H.R. 1424, The Emergency Economic Stabilization Act of 2008.

Client expense: $10,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 6513, Securities Act of 2008.

Client expense: $660,000 · Firm income: Not reported

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

HR 6513, Provisions related to portfolio margining.

Client expense: Not reported · Firm income: $30,000

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. 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

P.L. 91-598, Securities Investor Protection Act of 1970, seeking an amendment to portfolio margining; H.R. 6513, Securities Act of 2008, Section 8, Securities Investor Protect Act of 1970 Amendments, seeking an amendment to portfolio margining; Memorandum of Understanding Between the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission Regarding Coordination in Areas of Common Regulatory Interest, March 11, 2008, resolution of customer protection issues presented by customer portfolio margining accounts; The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure March 2008, futures and securities regulatory restructuring; Clearing and risk management for over-the-counter derivative products; U.S. Securities and Exchange Commission Emergency Order Pusuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments, Release No. 34-58166, July 15, 2008, seeking exemptive relief for options market-makers (see also Release No. 34-58190, July 18, 2008); H.R. 1424, Emergency Economic Stabilization Act of 2008, sought to add H.R. 6513; U.S. Securities and Exchange Commission Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments, Release No. 34-58592, September 18, 2008, seeking exemptive relief for options market-makers (see also Release No. 34-58611, September 21, 2008).

Client expense: $110,000 · Firm income: Not reported

H.R. 698 & S. 1356-Industrial Loan Companies; H.R. 3010 & S. 1782-Arbitration; H.R. 6312-Credit Union, Bank, and Thrift Regulatory relief Act of 2008; H.R. 6513-Securities Act of 2008; H.R. 1424, Economic Stabilization Act of 2008

Client expense: $1,240,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

HR 6513 Securities Investor Protection Act - expansion of SEC enforcement remedies

Client expense: Not reported · Firm income: $10,000

Government targets: Securities & Exchange Commission (SEC)

Issues related to the Commodity Futures Trading Commission Reauthorization Act (H.R. 4626). H.R. 6513 - Securities Act of 2008

Client expense: Not reported · Firm income: $20,000

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE

H.R. 878/ S. 601 Simplification through Additional Tax Reporting Tax (START) Act H.R.6513 To amend the Federal securities laws to enhance the effectiveness of the Securities and Exchange Commission's enforcement, corporation finance, trading and markets, investment management, and examination programs, and for other purposes.

Client expense: $640,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, White House Office

HR 6513, Provisions related to portfolio margining.

Client expense: Not reported · Firm income: $30,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 698 & S. 1356-Industrial Loan Companies; H.R. 3010 & S. 1782-Arbitration; H.R. 6312- Credit Union, Bank, and Thrift Regulatory Relief Act of 2008; H.R. 6513- Securities Act of 2008

Client expense: $920,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office