Credit Rating Agency Transparency and Disclosure Act

H.R. 4173, S. 3217 - Financial regulatory reform; Money market mutual fund regulation; H.R. 1445, S. 1073 - Credit rating agencies; S.139, S. 1490, S.141, H.R. 2221, S. 773 - Data privacy; H.R. 3126 - Consumer financial protection agency; S. 569 - Anti money laundering H.R. 711, S. 1276, S. 344 - Registration of advisors to private pools of capital; H.R. 991, H.R. 1020, S. 931 - Arbitration of brokerage dispute; H.R. 1699, H.R. 977, S. 272, H.R. 2448, S. 447, H.R. 3153 Credit derivatives; Equity trading (flash, high-frequency, dark pools); Volcker rule; Systemic risk/banking and financial services industry oversight; Thrift and state trust charters; Extension of fiduciary duties for investment advisors and broker dealers; Resolution authority; Payment, clearing, settlement regulation Capital requirements

Client expense: $990,000 · Firm income: Not reported

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

H.R. 4173, S. 3217 - Financial regulatory reform; Money market mutual fund regulation; H.R. 1445, S. 1073 - Credit rating agencies; H.R. 139, S.141, H.R. 222, S. 773 - Data privacy; H.R. 3126 - Consumer financial protection agency; S. 569 - Anti money laundering H.R. 71, S. 1276, S. 344 - Registration of advisors to private pools of capital; H.R. 991, H.R. 1020, S. 931 - Arbitration of brokerage dispute; H.R. 1699, H.R. 977, S. 272, H.R. 2448, S. 447, H.R. 3153 Credit derivatives; Volcker rule; Systemic risk/banking and financial services industry oversight; Thrift and state trust charters; Extension of fiduciary duties for investment advisors and broker dealers; Resolution authority; Equity trading (flash, high-frequency, dark pools); Payment, clearing, settlement regulation

Client expense: $830,000 · Firm income: Not reported

H.R. 1445, Credit Rating Agency Transparency and Disclosure Act, All Provisions H.R. 2221, Data Accountability and Trust Act, All Provisions H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009, All Provisions H.R. 1705, Financial Product Safety Commission Act, All Provisions H.R. 1106, Helping Families Save Their Homes Act of 2009, All Provisions H.R. 2554, National Association of Registered Agents and Brokers Reform Act, All Provisions H.R. 3126, Consumer Financial Protection Agency Act of 2009, All Provisions H.R. 3817, Investor Protection Act of 2009, All Provisions H.R. 3996, The Financial Stability Improvement Act of 2009, All Provisions H.R. 3890, Accountability and Transparency in Credit Rating Agencies Act of 2009, All Provisions H.R. 3795, Over The Counter Derivatives Market Act, All Provisions H.R. 3763, A Bill to Amend the Fair Credit Reporting Act to Provide for an Exclusion from Red Flag Guidelines for Certain Businesses, All Provisions H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009, All Provisions TG-18, Financial Stability Plan, All Provisions TG-163, Say on Pay Proposal, All Provisions [No Bill Number], Regulation of Derivatives [No Bill Number], Securitization Reform [No Bill Number], Residential Mortgage Backed Securities [No Bill Number], Commercial Mortgage Backed Securities [No Bill Number], Restoring American Financial Stability Act of 2009, All Provisions

Client expense: $2,060,000 · Firm income: Not reported

H.R. 4173 - Financial regulatory reform; Money market mutual fund regulation; H.R. 1445, S. 1073 - Credit rating agencies; H.R. 139, S.141, H.R. 2221 - Data privacy; H.R. 3126 - Consumer financial protection agency; S. 569 - Anti money laundering H.R. 71, S. 1276, S. 344 - Registration of advisors to private pools of capital; H.R. 991, H.R. 1020, S. 931 - Arbitration of brokerage dispute; H.R. 1699, H.R. 977, S. 272, H.R. 2448, S. 447, H.R. 3153 Credit derivatives; Systemic risk/banking and financial services industry oversight; Thrift and state trust charters; Extension of fiduciary duties for investment advisors and broker dealers; Resolution authority; Equity trading (flash, high-frequency, dark pools); Payment, clearing, settlement regulation

Client expense: $880,000 · Firm income: Not reported

Issues related to the regulation of Credit Rating Agencies. H.R. 1181; To direct the Securities and Exchange Commission to establish both a process by which asset-backed instruments can be deemed eligible for NRSRO ratings and an initial list of such eligible assets-backed instruments, all provisions. H.R. 1445, S. 927, S. 1073 Credit Rating Agency Transparency and disclosure Act, all provisions. H.R. 74, Financial Oversight Commission Act of 2009, all provisions.

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

Government targets: Executive Office of the President (EOP), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Financial regulatory reform; Money market mutual fund regulation, H.R. 1445, S. 1073 - Credit rating agencies; H.R. 1728, H.R. 703 - Mortgage foreclosure H.R. 139, S.141, H.R. 2221 - Data privacy; H.R. 3126 - Consumer financial protection S. 569, H.R. 221 - Anti money laundering H.R. 711 - Registration of advisors to private pools of capital; H.R. 991, H.R. 1020, S. 931 - Arbitration of brokerage dispute; H.R. 627, H.R. 2695, H.R. 2382 - Credit card reforms; H.R. 1699, H.R. 977, S. 272, H.R. 2448, S. 447, H.R. 3153 Credit derivatives; Systemic risk/banking and financial services industry oversight; Thrift and state trust charters

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

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

H.R. 1445, Credit Rating Agency Transparency and Disclosure Act, All Provisions H.R. 2221, Data Accountability and Trust Act, All Provisions H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009, All Provisions H.R. 1705, Financial Product Safety Commission Act, All Provisions H.R. 1106, Helping Families Save Their Homes Act of 2009, All Provisions H.R. 2554, National Association of Registered Agents and Brokers Reform Act, All Provisions H.R. 3126, Consumer Financial Protection Agency Act of 2009, All Provisions TG-18, Financial Stability Plan, All Provisions TG-163, Say on Pay Proposal, All Provisions [No Bill Number], Investor Protection Act of 2009 [No Bill Number], Regulation of Derivatives [No Bill Number], Securitization Reform [No Bill Number], Residential Mortgage Backed Securities [No Bill Number], Commercial Mortgage Backed Securities

Client expense: $1,880,000 · Firm income: Not reported

H.R. 2549 - Municipal Bond Fairness Act H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 (please see addendum page) H.R. 1445 - Credit Rating Agency Transparency and Disclosure Act H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 H.R. 2448 - Prevent Unfair Manipulation of Prices Act of 2009 H.R. 2454 - The American Clean Energy and Security Act of 2009 H.R. 2998 - American Clean Energy and Security Act of 2009 H.R. 3145 - Credit Default Swap Prohibition Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act H.R. 977 - Derivatives Markets Transparency and Accountability Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 Amendment #1019 to make changes to the safe harbor S. 896 - Helping Families Save Their Homes Act of 2009 S. 961 - Authorizing the Regulation of Swaps Act S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 1691 - Comprehensive Derivatives Regulation Act of 2009 S. 1073 - Rating Accountability and Transparency Enhancement Act of 2009 Comment letter filed with the Securities and Exchange Commission regarding money market reform; Release No. IC-28807 - File No. S7-11-09 -- to amend Rule 2a-7 governing money market funds Comment letter filed with the Treasury Department regarding 529 college savings plans

Client expense: $300,000 · Firm income: Not reported

Issues related to the regulation of Credit Rating Agencies; H.R. 1181, all provisions. H.R. 1445, Credit Rating Agency Transparency and Disclosure Act, all provisions. H.R. 74, Financial Oversight Commission Act of 2009, all provisions. H.R. 2549 Municipal Bond Fairness Act, all provision. S. 927 Credit Rating Agency Responsibility Act of 2009 all provisions. S 1073 Credit Rating Agencies Reform Act of 2009, all provisions.

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

Government targets: Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

S. 664, H.R. 1754 - Financial regulatory reform; Money market mutual fund regulation, and guarantee and liquidity programs; H.R. 1445, S. 1073 - Credit rating agencies; H.R.1728, H.R.1106, S.61, H.R.200, H.R.225, H.R.703 - Mortgage foreclosure S. 235 - To amend the Truth in Lending Act; S. 376 - To provide rules for the modification or disposition of certain assets by real estate mortgage investment conduits pursuant to division A of the Emergency Economic Stabilization Act of 2008, H.R. 139, S. 141 - Data Privacy; S. 569, H.R. 221 - Anti Money Laundering; H.R. 711 - To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R. 991, H.R. 1020, S. 931 Arbitration of brokerage dispute H.R. 627, S. 414. H.R. 2695 Credit card H.R. 977, S. 272, S. 447 Credit derivatives

Client expense: $800,000 · Firm income: Not reported

H.R. 2448, Prevent Unfair Manipulation of Prices Act, All Provisions H.R. 1445, Credit Rating Agency Transparency and Disclosure Act, All Provisions H.R. 2221, Data Accountability and Trust Act, All Provisions H.R. 997, Derivatives Markets Transparency and Accountability Act of 2009 H.R. 1106, Helping Families Save Their Homes Act of 2009, All Provisions H.R. 2554, National Association of Registered Agents and Brokers Reform Act, All Provisions H.R. 1664, To Amend the Excutive Compensation Provisions of the Economic Stabilization Act of 2008, All Provisions TG-18, Financial Stability Plan, All Provisions TG-7, Proposed Resolution Authority, All Provisions TG-70, Resolution Authority for Systemically Significant Financial Companies Act of 2009, All Provisions TG-163, Say on Pay Proposal, All Provisions [No Bill Number], Financial Services Regulatory Reform, All Provisions [No Bill Number], Credit Default Swaps, All Provisions [No Bill Number], Financial Professional Standard of Care, All Provisions [No Bill Number], Regulation of Derivatives

Client expense: $1,730,000 · Firm income: Not reported

Issues related to the regulation of Credit Rating Agencies; H.R. 1181, To direct the Securities and Exchange Commission to establish both a process by which asset-backed instruments can be deemed eligible for NRSRO ratings and an initial list of such eligible asset-backed instruments, all provisions. H.R. 1445, Credit Rating Agency Transparency and Disclosure Act, all Provisions. H.R. 74, Financial Oversight Commission Act of 2009, all provisions.

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

Government targets: Executive Office of the President (EOP), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

S. 664, H.R. 1754 - Financial regulatory reform; Money market mutual fund regulation, and guarantee and liquidity programs; H.R. 1445 - Credit rating agencies; H.R.1728, H.R.1106, S.61, H.R.200, H.R.225, H.R.703 - Mortgage foreclosure S. 235 - To amend the Truth in Lending Act; S. 376 - To provide rules for the modification or disposition of certain assets by real estate mortgage investment conduits pursuant to division A of the Emergency Economic Stabilization Act of 2008, H.R. 139, S. 141 - Data Privacy; S. 569 - Anti Money Laundering; H.R. 711 - To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients

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

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office