TARP Recipient Ownership Trust Act of 2009

Financial regulatory reform issue and proposals including the Department of Treasury White Paper on Financial Services Regulation Reform proposals to reform credit rating agencies, regulate systemic risk, combine the Office of Thrift Supervision and the Office of the Comptroller of the Currency to create a national Bank Supervisor, establish a resolution authority for non-banks, SEC and CFTC regulation of derivatives, creation of a Consumer Financial Protection Agency, and the creation of a Federal Insurance Office. S.664 / H.R.1754 Financial System Stabilization and Reform Act of 2009 S.386 Fraud Enforcement and Recovery Act of 2009 provisions regarding senior designations and a bipartisan financial crisis inquiry commission S.664 / H.R.1754 Financial System Stabilization and Reform Act H.R.627 Truth in Lending Act S.A.1077, Menendez amendment regarding credit to S.A.1058, Dodd amendment H.R.3126 Consumer Financial Protection Agency Act of 2009 clarification of business of insurance reference H.R.3817 The Investor Protection Act of 2009 harmonization of standard of care S.1691 - Comprehensive Derivatives Regulation Act of 2009 derivative end user issues H.R.3135 - Over-the-Counter Derivatives Markets Act of 2009 derivative end user issues H.R.2609 Insurance Information Act of 2009 / Federal Insurance Office Act of 2009 all provisions Restoring American Financial Stability Act of 2009 (discussion draft) all provisions H.R.3996 Financial Stability Improvement Act of 2009 all provisions H.R.4173 - Financial Stability Improvement Act all provisions Troubled Assets Relief Program issues including the inclusion of Life Insurers, corporate governance H.R.384 TARP Reform and Accountability Act of 2009 H.R.3594 / S.1723 TARP Recipient Ownership Trust Act of 2009 clarification of treatment of warrants

Client expense: $520,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), 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)

Financial regulatory reform issue and proposals including the Department of Treasury White Paper on Financial Services Regulation Reform proposals to reform credit rating agencies, regulate systemic risk, combine the Office of Thrift Supervision and the Office of the Comptroller of the Currency to create a national Bank Supervisor, establish a resolution authority for non-banks, SEC and CFTC regulation of derivatives, creation of a Consumer Financial Protection Agency, and the creation of a Federal Insurance Office. S.664 / H.R.1754 Financial System Stabilization and Reform Act of 2009 S.386 Fraud Enforcement and Recovery Act of 2009 provisions regarding senior designations and a bipartisan financial crisis inquiry commission S.664 / H.R.1754 Financial System Stabilization and Reform Act H.R.627 Truth in Lending Act S.A.1077, Menendez amendment regarding credit to S.A.1058, Dodd amendment H.R.3126 Consumer Financial Protection Agency Act of 2009 clarification of business of insurance reference H.R.3817 The Investor Protection Act of 2009 harmonization of standard of care S.1691 - Comprehensive Derivatives Regulation Act of 2009 derivative end user issues H.R.3135 - Over-the-Counter Derivatives Markets Act of 2009 derivative end user issues H.R.2609 Insurance Information Act of 2009 / Federal Insurance Office Act of 2009 all provisions Troubled Assets Relief Program issues including the inclusion of Life Insurers, corporate governance H.R.384 TARP Reform and Accountability Act of 2009 H.R.3594 / S.1723 TARP Recipient Ownership Trust Act of 2009 clarification of treatment of warrants

Client expense: $540,000 · Firm income: Not reported

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

H.R.2382 Credit Card Interchange Fees Act of 2009 - All provisions H.R.2695 Credit Card Fair Fee Act of 2009 - All provisions S.1212 Credit Card Fair Fee Act of 2009 - All provisions H.R.3126 Consumer Finance Protection Agency Act of 2009 - All provisions H.R.977 Derivatives Markets Transparency and Accountability Act of 2009 - All provisions H.R.2454 American Clean Energy and Security Act of 2009 - Provisions related to the Commodity Exchange Act and derivatives trading only H.R.3594 TARP Recipient Ownership Trust Act of 2009 - All provisions H.R.3639 Expedited Card Reform for Consumers Act of 2009 - All provisions H.R.2221 Data Accountability and Trust Act - All provisions S.272 Derivatives Trading Integrity Act of 2009 - All provisions S.1691 Comprehensive Derivatives Regulation Act of 2009 - All provisions General discussions with House and Senate regarding the Adminstration's proposed legislative text on Regulatory Reform regarding the proposal for a systemic risk regulator and a resolution authority for systemically significant institutions. Met with House and Senate on credit card issues, including implementation of the Credit Card Act of 2009. Met with House and Senate on issues related to credit derivatives and credit default swaps.

Client expense: $1,330,000 · Firm income: Not reported

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) H.R. 3795, The Over-the Counter Derivatives Markets Act of 2009