Transparent Markets Act of 2009

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

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

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

AML/Regulator Relief; Financial Services and General Government appropriations; Credit Card/Interchange Fees; Retirement Security/Annuities; Carried interest income; GSE Reform; Automobile, Arbitration fairness; Nursing home arbitration; Regulatory Restructuring; Executive Compensation; Proxy Access; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; H.R. 2378, Currency Reform for Fair Trade Act H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3153, Transparent Markets Act of 2009 H.R. 3763, Amend Fair Credit Reporting Act; S. Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 3214, Rating Accountability and Transparency Enhancement Act of 2009; H.R. 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; Federal Housing Finance Reform; Terrorism Insurance Reauthorization; Farm Credit ; H.R. 5924, SEC Freedom of Information Restoration Act; H.R. 6038, Financial Industry Transparency Act

Client expense: $1,400,000 · Firm income: Not reported

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

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

H.R. 977, "Derivatives Markets Transparency and Accountability Act of 2009" S. 477, "Prevent Excessive Speculation Act" H.R. 1666, "Safe Markets Development Act of 2009" S. 3217, Restoring American Financial Stability Act of 2010" S. 961, "The Authorizing the Regulation of Swaps Act" S. 1225, "Energy Market Manipulation Prevention Act" H.R. 2869, "Energy Market Manipulation Prevention Act" S. 664, "Financial System Stabilization and Reform Act of 2009" H.R. 1754, "Financial System Stabilization and Reform Act of 2009" S. 272, "Derivatives Trading Integrity Act of 2009" H.R. 2448, "Prevent Unfair Manipulation of Prices Act of 2009" S. 1399, "Carbon Market Oversight Act of 2009" H.R. 3300, "Derivatives Trading Accountability and Disclosure Act of 2009" S. 1682, "Derivatives Market Manipulation Prevention Act of 2009" S. 1691, "Comprehensive Derivatives Regulation Act of 2009" HR 3795, "Over-the-Counter Derivatives Act of 2009" U.S. Treasury Department's "Over-the-Counter Derivatives Markets Act of 2009" H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009" Sen. Chris Dodd's discussion draft of the "Restoring American Financial Stability Act of 2009" HR 3153, "Transparent Markets Act of 2009" HR 1068, "Let Wall Street Pay for Wall Street's Bailout Act of 2009" HR 3996, "Financial Stability Improvement Act" "Energy Market Transparency Act of 2009" discussion draft Wall Street Transparency and Accountability Act of 2010, Dodd-Lincoln Substitute Amendment to S. 3217 "Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 Conference Report"

Client expense: $245,000 · Firm income: Not reported

AML/Regulator Relief; Financial Services and General Government appropriations; Credit Card/Interchange Fees; Retirement Security /Annuities; Carried interest income; GSE Reform; Automobile, Arbitration fairness; Nursing home arbitration; Regulatory Restructuring; Executive Compensation; Proxy Access; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3153, Transparent Markets Act of 2009 H.R. 3763, Amend Fair Credit Reporting Act; S. Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 3214, Rating Accountability and Transparency Enhancement Act of 2009; H.R. 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; Federal Housing Finance Reform; Terrorism Insurance Reauthorization; Farm Credit;

Client expense: $1,620,000 · Firm income: Not reported

H.R. 977, "Derivatives Markets Transparency and Accountability Act of 2009" S. 477, "Prevent Excessive Speculation Act" H.R. 1666, "Safe Markets Development Act of 2009" Restoring American Financial Stability Act of 2010" S. 961, "The Authorizing the Regulation of Swaps Act" S. 1225, "Energy Market Manipulation Prevention Act" H.R. 2869, "Energy Market Manipulation Prevention Act" S. 664, "Financial System Stabilization and Reform Act of 2009" H.R. 1754, "Financial System Stabilization and Reform Act of 2009" S. 272, "Derivatives Trading Integrity Act of 2009" H.R. 2448, "Prevent Unfair Manipulation of Prices Act of 2009" S. 1399, "Carbon Market Oversight Act of 2009" H.R. 3300, "Derivatives Trading Accountability and Disclosure Act of 2009" S. 1682, "Derivatives Market Manipulation Prevention Act of 2009" S. 1691, "Comprehensive Derivatives Regulation Act of 2009" HR 3795, "Over-the-Counter Derivatives Act of 2009" U.S. Treasury Department's "Over-the-Counter Derivatives Markets Act of 2009" H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009" Sen. Chris Dodd's discussion draft of the "Restoring American Financial Stability Act of 2009" HR 3153, "Transparent Markets Act of 2009" HR 1068, "Let Wall Street Pay for Wall Street's Bailout Act of 2009" HR 3996, "Financial Stability Improvement Act" "Energy Market Transparency Act of 2009" discussion draft

Client expense: $405,000 · Firm income: Not reported

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

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

AML/Regulator Relief; Financial Services and General Government appropriations; Credit Card/Interchange Fees; Retirement Security /Annuities; Carried interest income; GSE Reform; Automobile, Arbitration fairness; Nursing home arbitration; Regulatory Restructuring; Executive Compensation; Proxy Access; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3153, Transparent Markets Act of 2009 H.R. 3763, Amend Fair Credit Reporting Act; S. Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 3214, Rating Accountability and Transparency Enhancement Act of 2009; H.R. 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

Client expense: $2,660,000 · Firm income: Not reported

Financial market reform - over the counter trading of derivatives; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; S. 447, Prevent Excessive Speculation Act; S. 433 and H.R. 1683, Clean Environment and Stable Energy Market Act of 2009; H.R. 1666, Safe Markets Development Act of 2009; S. 1225, Energy Market Manipulation Prevention Act; H.R. 2869, Energy Market Manipulation Prevention Act; S. 664, Financial System Stabilization and Reform Act of 2009; Energy Market Transparency Act of 2009 discussion draft S. 961, The Authorizing the Regulation of Swaps Act H.R. 1754, Financial System Stabilization and Reform Act of 2009 S. 272, Derivatives Trading Integrity Act of 2009 H.R. 2448, Prevent Unfair Manipulation of Prices Act of 2009 S. 1399, Carbon Market Oversight Act of 2009 H.R. 3300, Derivatives Trading Accountability and Disclosure Act of 2009 S. 1682, Derivatives Market Manipulation Prevention Act of 2009 S. 1691, Comprehensive Derivatives Regulation Act of 2009 HR 3795, Over-the-Counter Derivatives Act of 2009 U.S. Treasury Department's Over-the-Counter Derivatives Markets Act of 2009 H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 Sen. Chris Dodd's discussion draft of the Restoring American Financial Stability Act of 2009 HR 3153, Transparent Markets Act of 2009 HR 1068, Let Wall Street Pay for Wall Street's Bailout Act of 2009 HR 3996, Financial Stability Improvement Act"

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

AML/Regulator Relief; Financial Services and General Government appropriations; Credit Card/Interchange Fees; Retirement Security /Annuities; Carried interest income; GSE Reform; Automobile, Arbitration fairness; Nursing home arbitration; Regulatory Restructuring; Executive Compensation; Proxy Access; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3153, Transparent Markets Act of 2009 H.R. 3763, Amend Fair Credit Reporting Act; S. Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 3214, Rating Accountability and Transparency Enhancement Act of 2009; H.R. 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

Client expense: $1,800,000 · Firm income: Not reported

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

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

H.R. 977, "Derivatives Markets Transparency and Accountability Act of 2009" S. 477, "Prevent Excessive Speculation Act" H.R. 1666, "Safe Markets Development Act of 2009" "Energy Market Transparency Act of 2009" discussion draft S. 961, "The Authorizing the Regulation of Swaps Act" S. 1225, "Energy Market Manipulation Prevention Act" H.R. 2869, "Energy Market Manipulation Prevention Act" S. 664, "Financial System Stabilization and Reform Act of 2009" H.R. 1754, "Financial System Stabilization and Reform Act of 2009" S. 272, "Derivatives Trading Integrity Act of 2009" H.R. 2448, "Prevent Unfair Manipulation of Prices Act of 2009" S. 1399, "Carbon Market Oversight Act of 2009" H.R. 3300, "Derivatives Trading Accountability and Disclosure Act of 2009" S. 1682, "Derivatives Market Manipulation Prevention Act of 2009" S. 1691, "Comprehensive Derivatives Regulation Act of 2009" HR 3795, "Over-the-Counter Derivatives Act of 2009" U.S. Treasury Department's "Over-the-Counter Derivatives Markets Act of 2009" H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009" Sen. Chris Dodd's discussion draft of the "Restoring American Financial Stability Act of 2009" HR 3153, "Transparent Markets Act of 2009" HR 1068, "Let Wall Street Pay for Wall Street's Bailout Act of 2009" HR 3996, "Financial Stability Improvement Act"

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

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

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

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

AML/Regulator Relief; Financial Services and General Government appropriations; Credit Card/Interchange Fees; Retirement Security /Annuities; Carried interest income; GSE Reform; Automobile, Arbitration fairness; Nursing home arbitration; Regulatory Restructuring; Executive Compensation; Proxy Access; H.R. 977, Derivatives Markets Transparency and Accountability Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3153, Transparent Markets Act of 2009 H.R. 3763, Amend Fair Credit Reporting Act; S. Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 3214, Rating Accountability and Transparency Enhancement Act of 2009;

Client expense: $1,420,000 · Firm income: Not reported

H.R. 3153 - Transparent Markets Act of 2009 - All provisions S. 1583 - New Makrets Tax Credit Extension Act of 2009 - All provisions S. 1491 - Ending Excessive Corporate Deductions for Stock Options Act of 2009 - All provisions

Client expense: $770,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), SENATE, Treasury, Dept of, U.S. Copyright Office, White House Office