To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities.

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 (Dodd-Frank Wall Street Reform and Consumer Protection Act)(Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion)); 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. 5777 ("Building Effective Strategies to Promote Responsibility Accountability Choice Transparency Innovation Consumer Expectations and Safeguards Act," or the "Best Practices Act"); 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); 2011 Financial Services Appropriations, Subcommittee on Financial Services and General Government (Amendment relating to SIPC coverage); 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 and liquidation authority; 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 (GSE) Reform; Regulatory Capital Requirements; Accounting standards for municipalities.

Client expense: $1,270,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

HR 1020, Arbitration Fairness Act of 2009 HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009 HR 1106, The Helping Families Save their Homes Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 3126, The Consumer Financial Protection Agency Act 2009 HR 3795, The Over the Counter Derivatives Markets Act of 2009 HR 3310, Financial Services Regulatory Reform HR 3300, Derivative Trading Accountability and Disclosure Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 S 272, The Derivatives Trading Integrity Act of 2009 HR 2382, The Credit Card Interchange Fees Act of 2009 HR 4173, The Wall Street Reform and Consumer Protection Act of 2009 HR 3890, The Accountability and Transparency in Rating Agencies Act HR 3817, Investor Protection Act of 2009 HR 3996, Financial Stability Improvement Act of 2009 Bank Tax

Client expense: $7,310,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Labor, Dept of (DOL), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2009, provisions related to regulation of short sales, including required Securities and Exchange Commission short sale study in S. 417; S. 3217, Restoring American Financial Stability Act of 2010, provisions related to regulation of short sales; Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time; Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173, provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules, sponsored access, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010 (S. 3217) re: equity market regulation.

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

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

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "To provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G. - "Restoring American Financial Stability Act", regarding all provisions.

Client expense: $1,150,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

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.

Client expense: $1,480,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. 3217, Restoring American Financial Stability Act of 2010, provisions realted to reguation of short sales; Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time. Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "Dodd-Frank Act", a/k/a, "To provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title II, V, IX and XVI. - "Restoring American Financial Stability Act", regarding all provisions.

Client expense: $1,270,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

Investment Company Act; Investment Advisers Act; H.R. 711, The Hedge Fund Registration Act; S 344, Hedge Fund Transparency Act; H.R. 302, Reinstating the Uptick Rule; S 1276, Private Fund Transparency Act; H.R. 3818, Private Fund Investment Advisers Registration Act of 2009; S 3217, Restoring American Financial Stability Act of 2010; H.R. 4173, Wall Street and Consumer Protection Act of 2009; International issues; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act

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

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

Legislation related to financial regulatory overhaul, including HR 4173 (Dodd-Frank Act), S. 3217 (Restoring American Financial Stability Act), with a particular focus on provisions related to investor protection, consumer protection, systemic risk, resolution authority, stable-value funds, and bank regulation. Legislation (including HR 302 and S 605) and regulation related to short-selling. Regulatory proposals related to money-market mutual fund reforms, target-date funds, market structure, and other securities issues.

Client expense: $622,000 · Firm income: Not reported

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

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules sponsored access, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010 (S. 3217) re: equity market regulation.

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

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

Financial regulatory restructuring; HR 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities; HR 3126, Consumer Financial Protection Agency Act of 2009; H.R. 4173, Restoring American Financial Stability Act of 2010; S. 3217 Restoring American Financial Stability Act of 2010

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Financial regulatory restructuring; HR 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities; HR 3126, Consumer Financial Protection Agency Act of 2009; H.R. 4173, Restoring American Financial Stability Act of 2010; S. 3217 Restoring American Financial Stability Act of 2010

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 1020, Arbitration Fairness Act of 2009 HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009 HR 1106, The Helping Families Save their Homes Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 3126, The Consumer Financial Protection Agency Act 2009 HR 3795, The Over the Counter Derivatives Markets Act of 2009 HR 3310, Financial Services Regulatory Reform HR 3300, Derivative Trading Accountability and Disclosure Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 S 272, The Derivatives Trading Integrity Act of 2009 HR 2382, The Credit Card Interchange Fees Act of 2009 HR 4173, The Wall Street Reform and Consumer Protection Act of 2009 HR 3890, The Accountability and Transparency in Rating Agencies Act HR 3817, Investor Protection Act of 2009 HR 3996, Financial Stability Improvement Act of 2009 Bank Tax

Client expense: $7,140,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Labor, Dept of (DOL), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

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.

Client expense: $1,390,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. _____ (unnumbered Dodd banking reform bill), Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Investment Company Act; Investment Advisers Act; H.R. 711, The Hedge Fund Registration Act; S 344, Hedge Fund Transparency Act; H.R. 302, Reinstating the Uptick Rule; S 1276, Private Fund Transparency Act; H.R. 3818, Private Fund Investment Advisers Registration Act of 2009; Unrelated Business Income Tax (UBIT); S 3217, "Restoring American Financial Stability Act of 2010"; H.R. 4173, Wall Street and Consumer Protection Act of 2009; International issues

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

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

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "To provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G. - "Restoring American Financial Stability Act", regarding all provisions.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

Legislation related to the financial regulatory overhaul, including HR 4173 (Wall Street Reform and Consumer Protection Act) and discussion drafts of the Restoring American Financial Stability Act. Legislation affecting the capital markets, including HR 302 and S 605, bills related to short selling; S 1074, the Shareholder's Bill of Rights; HR 2622, the Compliance Examinations and Inspections Act. Bills related to financial literacy, including S 638, S 1339, HR 1325 and HR 3037. Regulatory proposals related to cost-basis rules, money-market mutual fund reforms, and other securities issues.

Client expense: $621,000 · 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

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010.

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

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

Financial regulatory restructuring; HR 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities; HR 3126, Consumer Financial Protection Agency Act of 2009; H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009; Restoring American Financial Stability Act (not introduced)

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Financial regulatory restructuring; HR 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities; HR 3126, Consumer Financial Protection Agency Act of 2009; H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009; Restoring American Financial Stability Act (not introduced)

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 1020, Arbitration Fairness Act of 2009 HR 384, TARP Reform and Accountability Act HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009 HR 1106, The Helping Families Save their Homes Act of 2009 HR 1606, New Automobile Voucher Act of 2009 HR 627, Credit Cardholder's Bill of rights Act of 2009 S 414, Credit Cardholder's Bill of rights Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 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 HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act Financial Services Regulatory Reform HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 3126, The Consumer Financial Protection Agency Act 2009 HR 3795, The Over the Counter Derivatives Markets Act of 2009 HR 3639, The Expedited CARD Reform for Consumers Act of 2009 HR 3310, Financial Services Regulatory Reform HR 3300, Derivative Trading Accountability and Disclosure Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 S 272, The Derivatives Trading Integrity Act of 2009 HR 2382, The Credit Card Interchange Fees Act of 2009 HR 4173, The Wall Street Reform and Consumer Protection Act of 2009 HR 3890, The Accountability and Transparency in Rating Agencies Act HR 3817, Investor Protection Act of 2009 HR 3996, Financial Stability Improvement Act of 2009

Client expense: $7,350,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

HR 1020, Arbitration Fairness Act of 2009 HR 384, TARP Reform and Accountability Act HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009 HR 1106, The Helping Families Save their Homes Act of 2009 HR 1606, New Automobile Voucher Act of 2009 HR 627, Credit Cardholder's Bill of rights Act of 2009 S 414, Credit Cardholder's Bill of rights Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 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 HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act Financial Services Regulatory Reform HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 3126, The Consumer Financial Protection Agency Act 2009 HR 3795, The Over the Counter DErivatives Markets Act of 2009 HR 3639, The Expedited CARD Reform for Consumers Act of 2009 HR 3310, Financial Services Regulatory Reform HR 3300, Derivative Trading Accountability and Disclosure Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 S 272, The Derivatives Trading Integrity Act of 2009 HR 2382, The Credit Card Interchange Fees Act of 2009

Client expense: $7,060,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

HR 1020, Arbitration Fairness Act of 2009 HJ Res 3, Relating to the disapproval of obligation under the Emergency Economic Stabilization Act of 2008 SJ Res 2, Relating to the disapproval of obligation under the Emergency Economic Stabilization Act of 2008 HR 384, TARP Reform and Accountability Act HR 1106, The Helping Families Save their Homes Act of 2009 HR 1606, New Automobile Voucher Act of 2009 HR 627, Credit Cardholder's Bill of rights Act of 2009 S 414, Credit Cardholder's Bill of rights Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 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 HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act Financial Services Regulatory Reform HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009

Client expense: $7,450,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "To provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G.

Client expense: $1,210,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

S.344 Hedge Fund Transparency Act S.360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. S. 2886, the Banking Integrity Act of 2009 (all provisions) Draft Senate legislation to restructure financial services regulation (all provisions) H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) H.R. 3795, the Over-the-Counter Derivatives Markets Act of 2009 (all provisions) H.R. 3890, the Accountability and Transparency in Rating Agencies Act (all provisions) H.R. 3996, the Financial Stability Improvement Act of 2009 (all provisions) H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 (all provisions) H.R. 4375, the Glass-Steagall Restoration Act (all provisions) Letter to express support for ABA letter regarding recommendations to help well-managed, viable banks address their capital needs. Auction Announcement, New Small banks capital program, ABA recommendations.

Client expense: $2,300,000 · Firm income: Not reported

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

S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) Administration Proposal to Restructure Financial Services Regulation (all provisions) Administration Proposal on Systemic Risk Regulation (all provisions) The Over-the Counter Derivatives Markets Act of 2009, Draft Legislation

Client expense: $2,280,000 · Firm income: Not reported

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

S. 272 Derivatives Trading Integrity Act S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 383, the Special Inspector General for the Troubled Asset Relief Program Act of 2009 S. 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S.1074 Shareholder Bill of Rights H.R. 2861 Shareholder Empowerment Act H.R. 302 To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711 Hedge Fund Adviser Registration Act of 2009 H.R. 977 Derivatives Markets Transparency Accountability Act H.R. 1406 To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. Administration Proposal to Restructure Financial Services Regulation (all provisions)

Client expense: $2,010,000 · Firm income: Not reported

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

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").

Client expense: $1,290,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 1020, Arbitration Fairness Act of 2009 HR 384, TARP Reform and Accountability Act HR 1754, The Financial System Stabilization and Reform Act of 2009 S 664, The Financial System Stabilization and Reform Act of 2009 HR 1106, The Helping Families Save their Homes Act of 2009 HR 1606, New Automobile Voucher Act of 2009 HR 627, Credit Cardholder's Bill of rights Act of 2009 S 414, Credit Cardholder's Bill of rights Act of 2009 HR 302, A Bill to require the SEC to reinstate the uptick rule on short sales of securities HR 786, To make permanent the temporary increase in deposit insurance coverage HR 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 HR 1214, The Payday Loan Reform Act of 2009 HR 1728, The Mortgage Reform and Anti-Predatory Lending Act of 2009 HR 1327, Iran Sanctions Enabling Act Financial Services Regulatory Reform HR 3068, TARP for Main Street Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 HR 3126, The Consumer Financial Protection Agency Act 2009 HR 3795, The Over the Counter Derivatives Markets Act of 2009 HR 3639, The Expedited CARD Reform for Consumers Act of 2009 HR 3310, Financial Services Regulatory Reform HR 3300, Derivative Trading Accountability and Disclosure Act of 2009 HR 977, The Derivatives Markets Transparency and Accountability Act of 2009 S 272, The Derivatives Trading Integrity Act of 2009 HR 2382, The Credit Card Interchange Fees Act of 2009 HR 4173, The Wall Street Reform and Consumer Protection Act of 2009 HR 3890, The Accountability and Transparency in Rating Agencies Act HR 3817, Investor Protection Act of 2009 HR 3996, Financial Stability Improvement Act of 2009

Client expense: $6,840,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Aviation Administration (FAA), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), Veterans Affairs, Dept of (VA)

Financial regulatory reform, restoration of uptick rule, HR 302 and S 605. Investor Protection Act of 2009 (no bill number as of yet). H.R. 3126-Consumer Financial Protection Agency Act.

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

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

H.R. 302, Issues concerning SEC regulation on "short sales" Issues related to leveraged exchange traded funds (ETFs) H.R. 4173, Issues concerning the regulation of derivatives

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

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").

Client expense: $1,230,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Legislation related to the financial regulatory overhaul, including HR 3817 (Investor Protection Act), HR 3996 (Financial Stability Improvement Act), HR 4173 (Wall Street Reform and Consumer Protection Act), HR 3818 (Private Fund Investment Advisers Registration Act), HR 3126 (Consumer Financial Protection Agency Act), and the discussion draft of the Senate bill, the Restoring American Financial Stability Act; other bills affecting the capital markets, including HR 302 and S 605, bills related to the short sales of securities; S. 1074, the Shareholder's Bill of Rights; HR 2622, the Compliance, Examinations and Inspections Act; and bills related to financial literacy, including S. 638, S 1339, HR 1325, HR 1645, HR 2012 and HR 3037.

Client expense: $588,000 · Firm income: Not reported

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

S.344 Hedge Fund Transparency Act S.360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. S. 2886, the Banking Integrity Act of 2009 (all provisions) Draft Senate legislation to restructure financial services regulation (all provisions) H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) H.R. 3795, the Over-the-Counter Derivatives Markets Act of 2009 (all provisions) H.R. 3890, the Accountability and Transparency in Rating Agencies Act (all provisions) H.R. 3996, the Financial Stability Improvement Act of 2009 (all provisions) H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 (all provisions) H.R. 4375, the Glass-Steagall Restoration Act (all provisions) Letter to express support for ABA letter regarding recommendations to help well-managed, viable banks address their capital needs. Auction Announcement, New Small banks capital program, ABA recommendations.

Client expense: $2,250,000 · Firm income: Not reported

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

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; Securities trading regulation, including S. 605 and H.R. 302 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Investment Company Act; Investment Advisers Act; H.R. 711, The Hedge Fund Registration Act; S 344, Hedge Fund Transparency Act; H.R. 302, Reinstating the Uptick Rule; S 1276, Private Fund Transparency Act; H.R. 3818, Private Fund Investment Advisers Registration Act of 2009; HR 1935, HR 3497 (Unrelated Business Income Tax); "Restoring American Financial Stability Act of 2009"; H.R. 4173, Wall Street and Consumer Protection Act of 2009

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

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

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring

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

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

S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. S. 2886, the Banking Integrity Act of 2009 (all provisions) Draft Senate legislation to restructure financial services regulation (all provisions) H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) H.R. 3795, the Over-the-Counter Derivatives Markets Act of 2009 (all provisions) H.R. 3890, the Accountability and Transparency in Rating Agencies Act (all provisions) H.R. 3996, the Financial Stability Improvement Act of 2009 (all provisions) H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 (all provisions) H.R. 4375, the Glass-Steagall Restoration Act (all provisions)

Client expense: $70,000 · Firm income: Not reported

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

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "To provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G.

Client expense: $1,210,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

Financial regulatory Restructing H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R. 3126, Consumer Financial Protection Agency Act of 2009 H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Financial regulatory Restructing H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R. 3126, Consumer Financial Protection Agency Act of 2009 H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 272 Derivatives Trading Integrity Act; S. 344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 383, the Special Inspector General for the TroubledAssett Relief Program Act of 2009 S. 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S.1074 Shareholder Bill of Rights H.R. 2861 Shareholder Empowerment Act H.R. 302 To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711 Hedge Fund Adviser Registration Act of 2009 H.R. 977 Derivatives Markets Transparency Accountability Act H.R. 1406 To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) 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. Administration Proposal to Restructure Financial Services Regulation (all provisions)

Client expense: $21,000 · Firm income: Not reported

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