Federal Municipal Bond Marketing Support and Securitization Act of 2009

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549municipal bond legislation; H.R. 1669, municipal bond legislation. HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains H.R. 3126, Consumer Financial Protection Agency Regulation restructuring; H.R. 4173 and Restoring American Financial Stability Act of 2010 OTC derivatives trading H.R. 4173 and S. 3217 re: treatment of creditors (Title II), derivatives (Title 7) and CFPB (Title 10)

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

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

H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 (see attached addendum page) H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 2549 - Municipal Bond Fairness Act 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 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 (amendment #1019 re safe harbor provisions) S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 3217 - Restoring American Financial Stability Act of 2010 OTC derivatives trading Legislation and regulations affecting the mutual fund industry Proposals relating to money market funds Issues relating to market structure matters Issues relating to target date funds Issues relating to investment advice

Client expense: $310,000 · Firm income: Not reported

H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); H.R. 1731 (Credit Risk Retention Act); H.R. 1944 (Active Financing Rules); H.R. 2221 (Data Accountability and Trust Act); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2847 (Hiring Incentives to Restore Employment Act); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); H.R. 3005 (National Institute of Finance Act of 2010); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 3306 (to enhance Social Security account number privacy protections); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3817 (Investor Protection Act of 2009); H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009); H.R. 3890 (Accountability and Transparency in Rating Agencies Act); H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009)(Systemic risk regulation and liquidation authority); H.R. 4191 (Wall Street Fair Share Act); H.R. 4872 (The Reconciliation Act of 2010); H.R. 4884 (U.S. Covered Bond Act of 2010); H.R. 5927 (Small Business Lending Fund Act); S. 139 (Data Breach Notification Act); S. 386 (Fraud Enforcement and Recovery Act); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); S. 773 (Cyber Security Act of 2009); S. 931 (Arbitration Fairness Act of 2009); S. 961 (Authorizing the Regulation of Swaps Act); S. 1490 (Personal Data Privacy and Security Act of 2009); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); S. 1683 (Pay It Back Act); S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal); S. 2927 (Wall Street Fair Share Act); S. 3005 (National Institute of Finance Act of 2010); S. 3217 (Governmental Accounting Standards Board (GASB) Funding)(Regulatory Capital Requirements, systemic risk regulation and liquidation authority); S. Amdt. 3792 (Fiduciary Duty); S. Amdt. 4057 (Governmental Accounting Standards Board (GASB) Funding); Restoring American Financial Stability Act of 2010: Title I (Financial Stability); Title II (Resolution Authority); Title IX ( Asset-Backed Securitization); Title X (Broker-Dealer Standard of Care); Title IX (FED Lending and Fiscal Policy Functions); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); State Regulation of Credit Default Swaps as Insurance; PPIP Investor and Asset Manager Requirements; China - strategic and economic dialog; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues; Transpacific Partnership; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20 (Issues related to the November 15, 2008 "Washington Action Plan"); Government Sponsored Enterprises Reform; Regulatory Capital Requirements; Accounting standards for municipalities; Dodd/Frank Financial Regulation Reform.

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S 320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. HR 2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. HR 2589 - To establish the Office of Public Finance in the Department of Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions effecting municipal finance. HR 1669 - Federal Municipal Bond Marketing Support and Securization Act of 2009 - Provisions affecting municipal finance. HR 2021 - Savings Recovery Act - Provisions related to pension funding. HR 2989 - 401(K) Fair Disclosure and Pension Security Act of 2009 - Provisions related to pension funding. HR 4173 - Restoring America's Stability Act - Provisions pertaining to OTC Derivatives and swap dealer standards of conduct. HR 3126 - Consumer Financial Protection Agency Act of 2009 - Provisions related to OTC Derivatives. HR 3936 - Preserve Benefits and Jobs Act of 2009 - Provisions related to pension funding. HR 4213 - Tax Extenders Act of 2009 - Provisions related to energy tax incentives, pension funding, and infrastructure bonds. S 1090 - The Renewable Energy Parity and Investment Remedy Act - Provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S 2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants. HR 2847 - Hiring Incentives to Restore Employment Act - provisions related to CREBS. Issues pertaining to regulation of OTC Derivatives. HR 3962 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act - Provisions pertaining to pension funding. Issues related to Clean Renewable Energy Bonds. Issues related to Build America Bonds.

S. 139 Data Breach Notification Act S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1490 Personal Data Privacy and Security Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 3217 Restoring American Financial Stability Act of 2010 (regulatory reform) S. 3258 Modernizing and Strengthening Investor Protection Act of 2010 H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2194 Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3269 Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay) H.R. 3272 Corporate Governance Reform Act of 2009 H.R. 3351 Proxy Voting Transparency Act of 2009 H.R. 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 4790 Shareholder Protection Act of 2010 (political activity) Money Market Mutual Fund Regulation

Client expense: $1,253,107 · Firm income: Not reported

H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act S. 3217 - Restoring American Financial Stability Act of 2009 H.R. 1669 - Federal Municipal Bond Marketing Support & Securitization Act of 2009 (see attached addendum page) H.R. 1754 - Financial System Stabilization and Reform Act of 2009 H.R. 1349 - Federal Accounting Oversight Board Act of 2009 H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 - Amendment #1019 re Safe Harbor Provisions S. 664 - Financial system Stabilization and Reform Act of 2009 OTC derivatives trading Legislation and regulations affecting the mutual fund industry Proposals relating to money market mutual funds Issues relating to market structure matters Issues relating to target date funds Issues relating to investment advice

Client expense: $320,000 · Firm income: Not reported

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions effecting municipal finance. H.R.1669 - Federal Municipal Bond Marketing Support and Securization Act of 2009 - Provisions affecting municipal finance. H.R.2021 - Savings Recovery Act - Provisions related to pension funding. H.R.2989 - 401(K) Fair Disclosure and Pension Security Act of 2009 - Provisions related to pension funding. H.R.4173 - Wall Street Reform and Consumer Protections Act - Provisions related to OTC Derivates regulation. H.R.3126 - Consumer Financial Protection Agency Act of 2009 - Provisions related OTC Derivates. H.R.3936 - Preserve Benefits and Jobs Act of 2009 - Provisions related to pension funding. H.R.4169 - Tax Technical Corrections Act of 2009 - Provisions related to section 1603 grants. H.R.4213 - Tax extenders Act of 2009 - Provisions related to energy tax incentives and pension funding S.1090 - The Renewable Energy Parity and Investment Remedy (REPAIR Act) - Provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S.2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants.

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

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549municipal bond legislation; H.R. 1669, municipal bond legislation. HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains H.R. 3126, Consumer Financial Protection Agency Regulation restructuring; H.R. 4173 and Restoring American Financial Stability Act of 2010 OTC derivatives trading H.R. 4173 and S. 3217 re: treatment of creditors (Title II), derivatives (Title 7) and CFPB (Title 10)

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

S. 139 Data Breach Notification Act S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1490 Personal Data Privacy and Security Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 2799 Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2009 S. xxxx Restoring American Financial Stability Act of 2010 (regulatory reform) H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1181 NRSRO Ratings for Asset Backed Securities H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3269 Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay) H.R. 4173 Wall Street Reform and Consumer Protection Act of 2009 H.R. 4790 Shareholder Protection Act of 2010 (political activity) Money Market Mutual Fund Regulation Municipal Bonds (Frank)

Client expense: $1,117,910 · Firm income: Not reported

H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); H.R. 1731 (Credit Risk Retention Act); H.R. 1944 (Active Financing Rules); H.R. 2221 (Data Accountability and Trust Act); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2847 (Hiring Incentives to Restore Employment Act); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); H.R. 3005 (National Institute of Finance Act of 2010); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 3306 (to enhance Social Security account number privacy protections); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3817 (Investor Protection Act of 2009); H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009); H.R. 3890 (Accountability and Transparency in Rating Agencies Act); H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009); H.R. 4191 (Wall Street Fair Share Act); H.R. 4872 (THe Reconciliation Act of 2010); H.R. 4884 (U.S. Covered Bond Act of 2010); S. 139 (Data Breach Notification Act); S. 386 (Fraud Enforcement and Recovery Act); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); S. 773 (Cyber Security Act of 2009); S. 931 (Arbitration Fairness Act of 2009); S. 961 (Authorizing the Regulation of Swaps Act); S. 1490 (Personal Data Privacy and Security Act of 2009); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal); S. 2927 (Wall Street Fair Share Act); Restoring American Financial Stability Act of 2010: Title I (Financial Stability); Title II (Resolution Authority); Title IX ( Asset-Backed Securitization); Title X (Broker-Dealer Standard of Care); Title IX (FED Lending and Fiscal Policy Functions); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); State Regulation of Credit Default Swaps as Insurance; PPIP Investor and Asset Manager Requirements; China - strategic and economic dialog; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues; Transpacific Partnership; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); G-20 (Issues related to the November 15, 2008 "Washington Action Plan"); Government Sponsored Enterprises Reform; Regulatory Capital Requirements.

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions effecting municipal finance. H.R.1669 - Federal Municipal Bond Marketing Support and Securization Act of 2009 - Provisions affecting municipal finance. H.R.2021 - Savings Recovery Act - Provisions related to pension funding. H.R.2989 - 401(K) Fair Disclosure and Pension Security Act of 2009 - Provisions related to pension funding. H.R.4173 - Wall Street Reform and Consumer Protections Act - Provisions related to OTC Derivates regulation. H.R.3126 - Consumer Financial Protection Agency Act of 2009 - Provisions related OTC Derivates. H.R.3936 - Preserve Benefits and Jobs Act of 2009 - Provisions related to pension funding. H.R.4169 - Tax Technical Corrections Act of 2009 - Provisions related to section 1603 grants. H.R.4213 - Tax extenders Act of 2009 - Provisions related to energy tax incentives and pension funding S.1090 - The Renewable Energy Parity and Investment Remedy (REPAIR Act) - Provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S.2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants.

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

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549municipal bond legislation; H.R. 1669, municipal bond legislation HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains H.R. 3126, Consumer Financial Protection Agency Regulation restructuring; H.R. 4173 and Restoring American Financial Stability Act of 2010 OTC derivatives trading

Client expense: Not reported · Firm income: $50,000

S. 3217, Restoring American Financial Stability Act of 2009 H.R. 3126, Consumer Financial Protection Agency H.R. 4173, the Wall Street Reform and Consumer Protection Act (See attached addendum page) H.R. 2589, Municipal Bond Insurance Enhancement Act of 2009 H.R. 2551, Municipal Market Liquidity Enhancement Act of 2009 H.R. 2549, Municipal Bond Fairness Act H.R. 1669, Municipal Bond Marketing Support and Securitization Act of 2009 HR. 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 HR 1106, Helping Families Save Their Homes Act of 2009 S. 895, Helping Families Save their Homes Act of 2009 S. 896, Helping Families Save Their Homes Act of 2009 - Amendment #1019 re Safe Harbor provisions S. 664, Financial System Stabilization and Reform Act of 2009 S 1964, Mutual Fund Transparency Act of 2009 S. 722, Taxpayer Certainty and Relief Act of 2009 OTC derivatives trading Regulations impacting the mutual fund industry Proposals relating to money market mutual funds - changes to SEC Rule 2a-7

Client expense: $280,000 · Firm income: Not reported

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions effecting municipal finance. H.R.1669 - Federal Municipal Bond Marketing Support and Securization Act of 2009 - Provisions affecting municipal finance. H.R.2021 - Savings Recovery Act - Provisions related to pension funding. H.R.2989 - 401(K) Fair Disclosure and Pension Security Act of 2009 - Provisions related to pension funding. H.R.4173 - Wall Street Reform and Consumer Protections Act - Provisions related to OTC Derivates regulation. H.R.3126 - Consumer Financial Protection Agency Act of 2009 - Provisions related OTC Derivates. H.R.3936 - Preserve Benefits and Jobs Act of 2009 - Provisions related to pension funding. H.R.4169 - Tax Technical Corrections Act of 2009 - Provisions related to section 1603 grants. H.R.4213 - Tax extenders Act of 2009 - Provisions related to energy tax incentives and pension funding S.1090 - The Renewable Energy Parity and Investment Remedy (REPAIR Act) - Provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S.2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants. H.R. 2847 - Hiring Incentives to Restore Employment Act - provisions related to CREBS issues pertaining to regulation of OTC Derivatives Proposed legislation: Restoring America's Financial Stability Act

Financial services regulatory reform Money market mutual fund reform - changes to SEC Rule 2a-7 HR 1728 Mortgage Reform and Anti-Predatory Lending Act (servicing) HR 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 HR 2549 Municipal Bond Fairness Act S. 895: Helping Families Save Their Homes Act S. 896: Helping Families Save Their Homes Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); H.R. 1731 (Credit Risk Retention Act); H.R. 1944 (Active Financing Rules); H.R. 2221 (Data Accountability and Trust Act); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 3306 (to enhance Social Security account number privacy protections); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3817 (Investor Protection Act of 2009); H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009); H.R. 3890 (Accountability and Transparency in Rating Agencies Act); H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009); S. 139 (Data Breach Notification Act); S. 386 (Fraud Enforcement and Recovery Act); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); S. 773 (Cyber Security Act of 2009); S. 931 (Arbitration Fairness Act of 2009); S. 961 (Authorizing the Regulation of Swaps Act); S. 1490 (Personal Data Privacy and Security Act of 2009); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal); S. 2927 (Wall Street Fair Share Act); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); State Regulation of Credit Default Swaps as Insurance; Sen. Dodd's Financial Reform Legislation; PPIP Investor and Asset Manager Requirements; China - strategic and economic dialog; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues; Transpacific Partnership; Covered bonds; Broker-Dealer Duty of Care; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); G-20 (Issues related to the November 15, 2008 "Washington Action Plan").

H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1020 (Arbitration Fairness Act of 2009); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); H.R. 1731 (Credit Risk Retention Act); H.R. 1944 (Active Financing Rules); H.R. 2221 (Data Accountability and Trust Act); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 3306 (to enhance Social Security account number privacy protections); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3817 (Investor Protection Act of 2009); H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009); H.R. 3890 (Accountability and Transparency in Rating Agencies Act); H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009); S. 139 (Data Breach Notification Act); S. 386 (Fraud Enforcement and Recovery Act); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); S. 773 (Cyber Security Act of 2009); S. 931 (Arbitration Fairness Act of 2009); S. 961 (Authorizing the Regulation of Swaps Act); S. 1490 (Personal Data Privacy and Security Act of 2009); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal); S. 2927 (Wall Street Fair Share Act); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); State Regulation of Credit Default Swaps as Insurance; Sen. Dodd's Financial Reform Legislation; PPIP Investor and Asset Manager Requirements; China - strategic and economic dialog; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues; Transpacific Partnership; Covered bonds; Broker-Dealer Duty of Care; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); G-20 (Issues related to the November 15, 2008 "Washington Action Plan").

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 provisions related to loans for renewable energy projects H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds. - provisions affecting municipal finance H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance H.R. 2021 - Savings Recovery Act - provisions related to pension funding H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 provisions related to pension funding. H.R.4173 - Wall Street Reform and Consumer Protections Act - provisions related to OTC Derivates regulation. H.R.3126 - Consumer Financial Protection Agency Act of 2009 - provisions related OTC Derivates. H.R.3936 - Preserve Benefits and Jobs Act of 2009 - provisions related to pension funding. H.R.4169 - Tax Technical Corrections Act of 2009 - provisions related to section 1603 grants. H.R.4213 - Tax extenders Act of 2009 - provisions related to energy tax incentives. S.1090 - The Renewable Energy Parity and Investment Remedy (REPAIR Act) - provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S.2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants.

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

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions effecting municipal finance. H.R.1669 - Federal Municipal Bond Marketing Support and Securization Act of 2009 - Provisions affecting municipal finance. H.R.2021 - Savings Recovery Act - Provisions related to pension funding. H.R.2989 - 401(K) Fair Disclosure and Pension Security Act of 2009 - Provisions related to pension funding. H.R.4173 - Wall Street Reform and Consumer Protections Act - Provisions related to OTC Derivates regulation. H.R.3126 - Consumer Financial Protection Agency Act of 2009 - Provisions related OTC Derivates. H.R.3936 - Preserve Benefits and Jobs Act of 2009 - Provisions related to pension funding. H.R.4169 - Tax Technical Corrections Act of 2009 - Provisions related to section 1603 grants. H.R.4213 - Tax extenders Act of 2009 - Provisions related to energy tax incentives. S.1090 - The Renewable Energy Parity and Investment Remedy (REPAIR Act) - Provisions related to section 1603 grants. Treasury issues pertaining to the section 1603 grant program. S.2899 - The Renewable Energy Incentive Act - Provisions pertaining to section 1603 grants.

Client expense: $230,000 · Firm income: Not reported

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549municipal bond legislation; H.R. 1669, municipal bond legislation HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains H.R. 3126, Consumer Financial Protection Agency H.R. 4173, regulation restructuring OTC derivatives trading

Client expense: Not reported · Firm income: $50,000

S. 1964 - Mutual Fund Transparency Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009 - Amendment # 1019 re Safe Harbor provisions (please see addendum page) S. 664 - Financial System Stabilization and Reform Act of 2009 S. 722 - Taxpayer Certainty and Relief Act of 2009 H.R. 3126 - Consumer Financial Protection Agency Act of 2009 H.R. 4173 - The Wall Street Reform and Consumer Protection Act of 2009 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. 3795 - To enact the Over-the-Counter Derivatives Markets Act of 2009 H.R. 3817 - Investor Protection Act of 2009 H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 H.R. 4191 - Let Wall Street Pay For The Restoration of Main Street Act of 2009 H.R. 4337 - Regulated Investment Company Modernization Act of 2009 H.R. 3890 - To amend the Securities Exchange Act of 1934 to enhance oversight of nationally recognized statistical rating organizations "Restoring American Financial Stability Act of 2009" (draft legislation) Money market mutual fund reform - changes to Rule 2a-7

Client expense: $320,000 · Firm income: Not reported

H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; G-20 (Issues related to the November 15, 2008 "Washington Action Plan"); H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009); H.R. 2549 (The Municipal Bond Fairness Act); H.R. 2550 (The Municipal Advisers Regulation Act); H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009); Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); H.R. 2221 (Data Accountability and Trust Act); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); State Regulation of Credit Default Swaps as Insurance; S. 386 (Fraud Enforcement and Recovery Act); PPIP Investor and Asset Manager Requirements; S. 961 (Authorizing the Regulation of Swaps Act); H.R. 1944 (Active Financing Rules); China - strategic and economic dialog; H.R. 3306 (to enhance Social Security account number privacy protections); S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009); S. 1682 (to provide the CFTC with antimarket manipulation authority); Market Structure Issues (dark pools, flash quotes, high frequency trading); H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009); H.R. 1020 (Arbitration Fairness Act of 2009); S. 931 (Arbitration Fairness Act of 2009); Transatlantic Economic Council (Trade Issues); H.R. 3310 (To reform the financial regulatory system of the United States); H.R. 3145 (Credit Default Swap Prohibition Act of 2009); H.R. 3126 (Consumer Financial Protection Agency Act of 2009); S. 773 (Cyber Security Act of 2009); S. 1490 (Personal Data Privacy and Security Act of 2009); Preservation of independent contractor status for financial services sector; Bilateral Investment Treaties, India; Asian Pacific Economic Council Privacy Issues.

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549municipal bond legislation; H.R. 1669, municipal bond legislation HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains H.R. 3126, Consumer Financial Protection Agency

Client expense: Not reported · Firm income: $50,000

H.R. 384 TARP Reform and Accountability Act of 2009 H.R. 786 Make Permanent the Increase in Deposit Insurance Coverage H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 H.R. 3300 Derivative Trading Accountability and Disclosure Act S. 272 Derivatives Trading Integrity Act of 2009 S. 1691 Comprehensive Derivates Regulation Act of 2009 H.R. 1068 Let Wall Street Pay for Wall Street's Bailout Act of 2009 (tax on securities transactions) H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1479 Community Reinvestment Modernization Act of 2009 H.R. 1664 Pay for Performance Act of 2009 (Executive Compensation for TARP Recipients) H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 1181 NRSRO Ratings for Asset Backed Securities S. 1073 Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies) Accountability and Transparency in Rating Agencies Act (Kanjorski) S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3269 Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay) H.R. 2932 Stop VULTURE Funds Act S. 1276 Private Fund Transparency Act of 2009 (investment adviser registration) H.R. 3126 Consumer Financial Protection Agency Act of 2009 Investor Protection Act (SEC Enforcement, Fiduciary Duty) Systemic Risk Regulation Municipal Bonds (Frank)

Client expense: $1,646,075 · Firm income: Not reported

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 - provisions related to loans for renewable energy projects. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make avialable Federal reinsurance for insurers of tax-exempt municipal bonds. - provisions effecting municipal finance. H.R.1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance. H.R.2021 - Savings Recovery Act - provisions related to pension funding. H.R.2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 - provisions related to pension funding. Issues and proposed legislation pertaining to regulations of over-the-counter derivatives transactions. Treasury issues pertaining to the section 1603 grant program.

Client expense: $270,000 · Firm income: Not reported

municipal finance, financial services reform, HR 1669, HR 384 and related bills.

Client expense: Not reported · Firm income: Not reported

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

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

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 provisions related to loans for renewable energy projects H.R.1 - The American Recovery and Reinvestment Act - provisions concerning energy tax incentives and municipal finance. H.R. 1698 - to establish the Green Bank to assist in the financing of qualified clean energy projects and qualified energy efficient projects. H.R. 435 - to amend the Internal Revenue Code of 1986 to provide a 5-year extension of the credit for electricity produced from certain renewable resources 2009. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds. - provisions affecting municipal finance H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance H.R. 2021 - Savings Recovery Act - provisions related to pension funding H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 provisions related to pension funding.

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

H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Financial Services Regulatory Reform and Restructuring; G-20 (Issues related to the November 15, 2008 "Washington Action Plan"); Municipal Securities; Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B); H.R. 2221 (Data Accountability and Trust Act); H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009); S. 961 (Regulation of Credit Default Swaps and Other Swap Agreements); State Regulation of Credit Default Swaps as Insurance; S. 386 (Fraud Enforcement and Recovery Act); PPIP Investor and Asset Manager Requirements; S. 961 (Authorizing the Regulation of Swaps Act); H.R. 1944 (Active Financing Rules); State regulation of credit default swaps as insurance; China - strategic and economic dialog; Worker classification of broker dealers as independent contractors; Preservation of independent contractor status for financial services sector; Securitization reform.

Financial services regulatory reform Money market mutual fund reform - changes to SEC Rule 2a-7 HR 1728 Mortgage Reform and Anti-Predatory Lending Act (servicing) HR 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 HR 2549 Municipal Bond Fairness Act S. 895: Helping Families Save Their Homes Act S. 896: Helping Families Save Their Homes Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 386 Fraud Enforcement and Recovery Act (creates Financial Crisis Inquiry Commission) H.R. 1106 Helping Families Save Their Homes Act of 2009 (cramdown) S. 896 Helping Families Save Their Homes Act of 2009 (PPIP) S. 566 Financial Product Safety Commission Act of 2009 H.R. 1705 Financial Product Safety Commission Act of 2009 H.R. 384 TARP Reform and Accountability Act of 2009 H.R. 786 Make Permanent the Increase in Deposit Insurance Coverage H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 S. 272 Derivatives Trading Integrity Act of 2009 H.R. 1068 Let Wall Street Pay for Wall Street's Bailout Act of 2009 (tax on securities transactions) H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1181 NRSRO Ratings for Asset Backed Securities H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1349 Establish the Federal Accounting Oversight Board H.R. 1479 Community Reinvestment Modernization Act of 2009 H.R. 1664 Pay for Performance Act of 2009 (Executive Compensation for TARP Recipients) H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 927 Credit Rating Agency Responsibility Act of 2009 S. 1073 Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies) S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 2932 Stop VULTURE Funds Act S. 1276 Private Fund Transparency Act of 2009 (investment adviser registration) Financial Regulatory Restructuring Money Market Mutual Fund Regulation Municipal Bonds (Frank)

Client expense: $1,234,965 · Firm income: Not reported

H.R. 1669, "Federal Municipal Bond Marketing Support and Securitization Act of 2009," issues related to financial guaranty insurors.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

mutual fund issues; securities issues; financial services issues; H.R. 2589, H.R. 2551, H.R. 2549- municipal bond legislation; H.R. 1669, municipal bond legislation HR. 1754, systemic risk regulation H.R. 1349, accounting principles and standards H.R. 1728, mortgage reform HR 1106, bankruptcy cram down S. 895, servicer safe harbor S. 896, amendment #1019 to make changes in the safe harbor S. 664, systemic risk regulation S. 722, dividends, capital gains

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

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 provisions related to loans for renewable energy projects H.R.1 - The American Recovery and Reinvestment Act - provisions concerning energy tax incentives and municipal finance. H.R. 1698 - to establish the Green Bank to assist in the financing of qualified clean energy projects and qualified energy efficient projects. H.R. 435 - to amend the Internal Revenue Code of 1986 to provide a 5-year extension of the credit for electricity produced from certain renewable resources 2009. H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds. - provisions affecting municipal finance H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance H.R. 2021 - Savings Recovery Act - provisions related to pension funding H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 provisions related to pension funding.

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

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 (please see addendum page) H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 1106 - Helping Families Save Their Homes Act of 2009 H.R. 2549 - Municipal Bond Fairness Act H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009 S. 664 - Financial System Stabilization and Reform Act of 2009 S. 895 - Helping Families Save Their Homes Act of 2009 S. 896 - Helping Families Save Their Homes Act of 2009' Comment letter filed with the Securities and Exchange Commission regarding proposed amendments to Regulation SHO

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Liquidity support for not-for-profit bonds. H.R. 1669.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1669.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1669.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 915, FAA Reauthorization Act of 2009 -- Airport Improvement Program funding, Passenger Facility Charge, and Aircraft Rescure and Fire Fighting provisions; financial and credit crisis -- possible legislative and regulatory relief for municipal bond market, including Municipal Bond Liquidity Enhancement Act (House Financial Services draft bill), and H.R. 1669, Federal Municipal Bond Marketing Support and Securitization Act of 2009

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

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 provisions related to loans for renewable energy projects H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds - provisions affecting municipal finance H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance H.R. 2021 - Savings Recovery Act - provisions related to pension funding H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 provisions related to pension funding.

Client expense: $270,000 · Firm income: Not reported

Government targets: Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), SENATE

Tax matters pertaining to nuclear incentives for electric utilities Tax matters pertaining to renewable electricity incentives Pension matters pertaining to funding requirements S.320 - Clean Energy Stimulus and Investment Assurance Act of 2009 provisions related to loans for renewable energy projects H.R.2549 - To ensure uniform and accurate credit rating of municipal bonds and provide for a review of the municipal bond insurance industry. H.R.2589 - To establish the Office of Public Finance in the Department of the Treasury to make available Federal reinsurance for insurers of tax-exempt municipal bonds. - provisions affecting municipal finance H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization Act of 2009 - provisions affecting municipal finance H.R. 2021 - Savings Recovery Act - provisions related to pension funding H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009 provisions related to pension funding.

Client expense: $180,000 · Firm income: Not reported

Government targets: Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), SENATE

H.R. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B); H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities); H.R. 1260 (Patent Reform Act); H.R. 1424 (Emergency Economic Stabilization Act); H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act); H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation); H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes); S. 515 (Patent Reform Act); S. 651 (Compensation Fairness Act of 2009); European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Financial Services Regulatory Reform and Restructuring; G-20 (Issues related to the November 15, 2008 "Washington Action Plan"); Municipal Securities; Resolution Authority for Systemically Significant Financial Companies Act of 2009; Systemic Risk Regulation; Troubled Asset Backed Securities Loan Facility (H-1B).

Client expense: $1,350,000 · Firm income: Not reported

H.R. 1669, "Federal Municipal Bond Marketing Support and Securitization Act of 2009," issues related to financial guaranty insurers.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 61Helping Families Save Their Homes in Bankruptcy Act of 2009 (cramdown) H.R. 1106 Helping Families Save Their Homes Act of 2009 (cramdown) S. 566 Financial Product Safety Commission Act of 2009 H.R. 1705 Financial Product Safety Commission Act of 2009 H.R. 384 TARP Reform and Accountability Act of 2009 H.R. 786 Make Permanent the Increase in Deposit Insurance Coverage H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 S. 272 Derivatives Trading Integrity Act of 2009 H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1181 NRSRO Ratings for Asset Backed Securities H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1349 Establish the Federal Accounting Oversight Board H.R. 1479 Community Reinvestment Modernization Act of 2009 H.R. 1664 Pay for Performance Act of 2009 (Executive Compensation for TARP Recipients) H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 Municipal Bonds (Frank) Regulatory Reform Money Market Mutual Fund Regulation Credit Rating Agencies Proxy Access

Client expense: $1,359,917 · Firm income: Not reported

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

S. 664 - A bill to create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the Federal Government, and for other purposes. H.R. 1754 - To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the Federal Government, and for other purposes. H.R. 1349 - To establish the Federal Accounting Oversight Board to approve and oversee accounting principles and standards for the purposes of the Federal financial regulatory agencies, and for other purposes. H.R. 1728 - To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes. H.R. 1669 - To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes. Money market mutual fund reform - Changes to SEC Rule 2a-7.

Client expense: $340,000 · Firm income: Not reported