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Hedge Fund Adviser Registration Act of 2009
Legislative Progress
Introduced
January 27, 2009
Latest Action
January 27, 2009
Primary Sponsor
Michael E. CapuanoDemocratic(MA)
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
0pct
0d open
vs 6,490 other HR bills in the 111th — cohort avg 44d
No CRS summary is available for this bill yet. The source title, actions, sponsors, and text versions below come from Congress.gov.
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Filing registrants (14)
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Sources: Congress.gov
2010 · second_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act H.R.711 Hedge Fund Adviser Registration Act H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act H.R. 3269 Corporate and Financial Institution Compensation Act H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act H.R. 3300 The Derivatives Trading Accountability and Disclosure Act H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act H.R. 3795 Over-the-Counter Derivatives Markets Act S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act
Client expense: $1,090,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · second_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act H.R.711 Hedge Fund Adviser Registration Act H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act H.R. 3269 Corporate and Financial Institution Compensation Act H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act H.R. 3300 The Derivatives Trading Accountability and Disclosure Act H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act H.R. 3795 Over-the-Counter Derivatives Markets Act S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act
Client expense: $1,090,000 · Firm income: Not reported
2010 · first_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 H.R.711 Hedge Fund Advisor Registration Act of 2009 H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act of 2009 S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009 S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act of 2010
Client expense: $1,070,000 · Firm income: Not reported
2010 · fourth_quarter · Financial Institutions/Investments/Securities
S.344 Hedge Fund Transparency Act - requires hedge funds to register with the SEC. NVCA wants language clarification. S1276 The Private Fund Transparency Act of 2009. NVCA wants language clarification to exclude the venture capital industry. HR 711 - The Hedge Fund Advisors Act of 2009; NVCA opposes any inclusion of venture capital industry in this bill. Title IV - Registration of Advisors to Private Fund: oppose administration language to require vc firms to register with the SEC.
Client expense: $583,383 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Energy, Dept of, Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office
2010 · fourth_quarter · Small Business
SBIC Program--HR 711, S 344 (Avoid Duplicative Regulation); HR 3740, HR 3854 (Reform) Small Business Investment--HR 4236 (Temporary tax exemption for qualified investments); HR 3738 (facilitate at early stage); --HR 5297 (Small Business Early-Stage Investment Program (Equity Program)) Small Business Taxation--HR 4211 (Supporting beneficial tax provisions) Financial Regulatory Reform--S 3217 (Regulation impacting SBICs and middle market funds); HR 4137 (Regulations impacting SBICs and middle market funds) Carried Interest--HR 4213, S 3793 (Protect treatment of carried interest) Capital Gains Exclusion for small business--HR 4853 and Senate Amendment #4753 thereto.
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · fourth_quarter · Taxation/Internal Revenue Code
Taxation of carried interest. S. 344, Hedge Fund Transparency Act, A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes; (continuation on next page) H.R. 1935, To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services. S. 3793, Job Creation and Tax Cuts Act of 2010 (tax extenders) H.R. 711, Hedge Fund Adviser Registration Act of 2009, To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients. S. 1276, Private Fund Transparency Act of 2009, A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission and for other purposes. H.R. 4853, Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010 (Became PL 111-312 on 12/17/10)
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
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
2010 · third_quarter · Small Business
SBIC Program--HR 711, S 344 (Avoid Duplicative Regulation); HR 3740, HR 3854 (Reform) Small Business Investment--HR 4236 (Temporary tax exemption for qualified investments); HR 3738 (facilitate at early stage); --HR 5297 (Small Business Early-Stage Investment Program (Equity Program)) Small Business Taxation--HR 4211 (Supporting beneficial tax provisions) Financial Regulatory Reform--S 3217 (Regulation impacting SBICs and middle market funds); HR 4137 (Regulations impacting SBICs and middle market funds) Carried Interest--HR 4213, S 3793 (Protect treatment of carried interest)
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)
2010 · third_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act H.R.711 Hedge Fund Adviser Registration Act H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act H.R. 3269 Corporate and Financial Institution Compensation Act H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act H.R. 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act H.R. 3300 The Derivatives Trading Accountability and Disclosure Act H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act H.R. 3795 Over-the-Counter Derivatives Markets Act S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act
Client expense: $890,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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
2010 · third_quarter · Financial Institutions/Investments/Securities
S.344 Hedge Fund Transparency Act - requires hedge funds to register with the SEC. NVCA wants language clarification. S1276-The Private Fund Transparency Act of 2009. NVCA wants language clarification to exclude the venture capital industry. HR 711 - The Hedge Fund Advisor Act of 2009: NVCA opposes any inclusion of venture capital industry in this bill. Title IV - Registration of Advisors to Private Fund; oppose administration language to require vc firms to register with the SEC.
Client expense: $570,843 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Energy, Dept of, Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office
2010 · third_quarter · Financial Institutions/Investments/Securities
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests H.R.4173-Dodd-Frank Wall Street Reform and Consumer Protection Act
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Taxation/Internal Revenue Code
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests H.R.4213-The American Jobs and Closing Tax Loopholes, provisions related to carried interest
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests High frequency trading Regulatory reform H.R.4173-Dodd-Frank Wall Street Reform and Consumer Protection Act
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Taxation/Internal Revenue Code
Taxation of carried interest. S. 344, Hedge Fund Transparency Act, A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes; H.R. 4213, Tax Extenders Act of 2009 (Became PL 111-205, 7-22-10); (continuation on next page) H.R. 1935, To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services. S. 3793, Job Creation and Tax Cuts Act of 2010 (tax extenders) H.R. 711, Hedge Fund Adviser Registration Act of 2009, To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients. S. 1276, Private Fund Transparency Act of 2009, A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission and for other purposes.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
H.R. 4173, S. 3217 - Financial regulatory reform; Money market mutual fund regulation; H.R. 1445, S. 1073 - Credit rating agencies; S.139, S. 1490, S.141, H.R. 2221, S. 773 - Data privacy; H.R. 3126 - Consumer financial protection agency; S. 569 - Anti money laundering H.R. 711, S. 1276, S. 344 - Registration of advisors to private pools of capital; H.R. 991, H.R. 1020, S. 931 - Arbitration of brokerage dispute; H.R. 1699, H.R. 977, S. 272, H.R. 2448, S. 447, H.R. 3153 Credit derivatives; Equity trading (flash, high-frequency, dark pools); Volcker rule; Systemic risk/banking and financial services industry oversight; Thrift and state trust charters; Extension of fiduciary duties for investment advisors and broker dealers; Resolution authority; Payment, clearing, settlement regulation Capital requirements
Client expense: $990,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2010 · second_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act H.R.711 Hedge Fund Adviser Registration Act H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act H.R. 3269 Corporate and Financial Institution Compensation Act H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act H.R. 3300 The Derivatives Trading Accountability and Disclosure Act H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act H.R. 3795 Over-the-Counter Derivatives Markets Act S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act
Client expense: $980,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · second_quarter · Small Business
SBIC Program--HR 711, S 344 (Avoid Duplicative Regulation); HR 3740, HR 3854 (Reform) Small Business Investment--HR 4236 (Temporary tax exemption for qualified investments); HR 3738 (facilitate at early stage); --HR 5297 (Small Business Early-Stage Investment Program (Equity Program)) Small Business Taxation--HR 4211 (Supporting beneficial tax provisions) Financial Regulatory Reform--S 3217 (Regulation impacting SBICs); HR 4137 (Regulations impacting SBICs) Carried Interest--HR 4213 (Protect treatment of carried interest)
Client expense: $70,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)
2010 · second_quarter · Financial Institutions/Investments/Securities
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
2010 · second_quarter · Taxation/Internal Revenue Code
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · second_quarter · Banking
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform High frequency trading Regulatory reform Executive compensation Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · second_quarter · Financial Institutions/Investments/Securities
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · second_quarter · Taxation/Internal Revenue Code
Taxation of carried interest. S. 344, Hedge Fund Transparency Act, A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes; H.R. 4213, Tax Extenders Act of 2009; (continuation on next page) H.R. 1935, To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services. H.R. 711, Hedge Fund Adviser Registration Act of 2009, To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investmet advisors with less than 15 clients. S. 1276, Private Fund Transparency Act of 2009, A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission and for other purposes.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · second_quarter · Financial Institutions/Investments/Securities
S.344 Hedge Fund Transparency Act - requires hedge funds to register with the SEC. NVCA wants language clarification. S.1276 - The Private Fund Transparency Act of 2009. NVCA wants language clarification to exclude the venture capital industry. HR 711 - The Hedge Fund Advisor Act of 2009; NVCA opposes any inclusion of venture capital industry in this bill. Title IV - Registration of Advisors to Private Fund, oppose administration language to require vc firms to register with the SEC.
Client expense: $826,067 · Firm income: Not reported
Government targets: Energy, Dept of, Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office
2010 · first_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 Prevent Excessive Speculation Act S. 344 Hedge Fund Transparency Act S.298 Financial Markets Commission Act S. 272 Derivatives Trading Integrity Act H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 H.R.711 Hedge Fund Advisor Registration Act of 2009 H.R.713 Hedge Fund Study Act S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act H.R.4173 The Wall Street Reform and Consumer Protection Act of 2009 S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 H.R. 3996 Financial Stability Improvement Act S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009 S. 2927 Wall Street Fair Share Act S. 3217 Restoring American Financial Stability Act of 2010
Client expense: $1,370,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · first_quarter · Taxation/Internal Revenue Code
Federal tax issues affecting private equity firms, including: H.R. 4213, the Tax Extenders Act of 2009; Administration Budget Proposals; H.R. 2762 Taxation of Certain Publicly Traded Partnerships, all provisions; H.R. 711 Â... The Hedge Fund Advisor Registration Act, all provisions; H.R. 1935 introduced on April 2, 2009 Â... To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services; Former S1624 Â... provisions related to tax treatment of private equity funds that become publicly-traded partnerships (not yet reintroduced in current Congress); Legislation affecting the regulation of financial services; H.R. 2847, the Hiring Incentives to Restore Employment Act of 2010; H.R. 3933, S. 1934, the Foreign Account Tax Compliance Act of 2009.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · first_quarter · Financial Institutions/Investments/Securities
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
2010 · first_quarter · Financial Institutions/Investments/Securities
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Banking
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform High frequency trading Regulatory reform Executive compensation Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Taxation/Internal Revenue Code
H.R.711-Hedge Fund Adviser Act; S.344-Hedge Fund Transparency Act H.R.977-Markets Transparency and Accountability Act S.477-Prevent Excessive Speculation Act HR1935-To amend the IRS Code of 1986 to provide for treatment of partnership interests; regulatory reform
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Financial Institutions/Investments/Securities
S.344 Hedge Fund Transparency Act - requires hedge funds to register with the SEC. NVCA wants language clarification. S.1276-The Private Fund Transparency Act of 2009. NVCA wants clarification language to exclude the venture capital industry. HR 711-The Hedge Fund Advisor Registration Act of 2009; NVCA opposes any inclusion of venture capital industry in this bill. Title IV - Registration of Advisors to Private Funds, oppose administration language to require vc firms to register with the SEC as investment advisors.
Client expense: $587,222 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office
2010 · first_quarter · Small Business
SBIC Program--HR 711, S 344 (Avoid Duplicative Regulation); HR 3740, HR 3854 (Reform) Small Business Investment--HR 4236 (Temporary tax exemption for qualified investments); HR 3738 (facilitate at early stage) Small Business Taxation--HR 4211 (Supporting beneficial tax provisions) Financial Regulatory Reform--S 3217 (Regulation impacting SBICs) Carried Interest--HR 4213 (Protect treatment of carried interest)
Client expense: $60,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)
2010 · first_quarter · Banking
Administration White Paper on Financial Regulatory Reform, particularly with respect to regulation of private equity firms S.1276-Private Fund Transparency Act of 2009, all provisions S.344-The Hedge Fund Transparency Act of 2009, all provisions H.R.711-The Hedge Fund Advisory Registration Act, all provisions H.R.3126-Consumer Financial Protection Act, all provisions H.R.3818-Private Fund Investment Advisers Registration Act of 2009 H.R.4173-Wall Street Reform and Consumer Protection Act of 2009-Financial Stability Improvement Act of 2009
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Taxation/Internal Revenue Code
S.1679-The Affordable Health Choices Act, provisions related to tax treatment of private equity H.R.3962-Affordable Health Care for America Act, provisions related to tax treatment of private equity H.R.2762-Taxation of Certain Publically Traded Partnerships, all provisions H.R.711-Hedge Fund Advisor Registration Act, all provisions H.R.1935-To Amend the Internal Revenue Code of 1986, provisions related to tax treatment of carried interest for certain partnerships
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Financial Institutions/Investments/Securities
Administration White Paper on Financial Regulatory Reform, particularly with respect to regulation of private equity firms S.1276-Private Fund Transparency Act of 2009, all provisions S.344-The Hedge Fund Transparency Act of 2009, all provisions H.R.711-The Hedge Fund Advisory Registration Act, all provisions H.R.3269-Corporate & Financial Institution Compensation Fairness Act, all provisions H.R.3126-Consumer Financial Protection Act, all provisions H.R.3818-Private Fund Investment Advisers Registration Act of 2009 H.R.4173-Wall Street Reform and Consumer Protection Act of 2009-Financial Stability Improvement Act of 2009 H.R.1935-To Amend the Internal Revenue Code of 1986
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Financial Institutions/Investments/Securities
Monitoring of miscellaneous regulatory interests to financial institutions S.344-The Hedge Fund Transparency Act of 2009, all provisions H.R.711-The Hedge Fund Advisor Registration Act, all provisions Restoring American Financial Stability Act of 2010 H.R.4173-Wall Street Reform and Consumer Protection Act of 2009 - Financial Stability Improvement Act of 2009
Client expense: Not reported · Firm income: $80,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Financial Institutions/Investments/Securities
Potential legislation on possible new financial regulatory structure; Administration White Paper on Financial Regulatory Reform, particularly with respect to regulation of private equity firms; S. 1276 Private Fund Transparency Act of 2009, all provisions; S. 344 The Hedge Fund Transparency Act of 2009, all provisions; Legislation affecting the regulation of financial services; H.R. 711 The Hedge Fund Adviser Registration Act, all provisions; H.R. 3818 Private Fund Investment Advisers Registration Act of 2009, provisions that affect the regulation of private equity firms; H.R. 4173 Wall Street Reform and Consumer Protection Act of 2009, provisions that affect the regulation of private equity firms; H.R. 3996 Financial Stability Improvement Act of 2009, provisions that affect the regulation of private equity firms; S. ___ Restoring American Financial Stability Act of 2010 (Dodd bill), provisions that affect private equity firms.
Client expense: $620,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office
2010 · first_quarter · Banking
Administration White Paper on Financial Regulatory Reform, particularly with respect to regulation of private equity firms; S. 1276 Private Fund Transparency Act of 2009, all provisions; S. 344 The Hedge Fund Transparency Act of 2009, all provisions; H.R. 711 The Hedge Fund Adviser Registration Act, all provisions; Legislation affecting the regulation of financial services; H.R. 3818 Private Fund Investment Advisers Registration Act of 2009, provisions that affect the regulation of private equity firms; H.R. 4173 Wall Street Reform and Consumer Protection Act of 2009, provision that affect the regulation of private equity firms; H.R. 3996 Financial Stability Improvement Act of 2009, provision that affect the regulations of private equity firms; S.___ Restoring American Financial Stability Act of 2010 (Dodd bill), provisions that affect private equity firms.
Client expense: $620,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office
2010 · first_quarter · Taxation/Internal Revenue Code
Taxation of carried interest S. 344, Hedge Fund Transparency Act, A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes; H.R. 4213, Tax Extenders Act of 2009; H.R. 1935, To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services. H.R. 711, Hedge Fund Adviser Registration Act of 2009, To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients. S. 1276, Private Fund Transparency Act of 2009, A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission and for other purposes.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2009 · fourth_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 To amend the Commodity Exchange Act to prevent excessive price speculation with respect to energy and agricultural commodities, and for other purposes S. 344 To require hedge funds to register with the SEC S.298 To establish a Financial Markets Commission, and for other purposes S. 272 Derivatives Trading Integrity Act of 2009 To amend the Commodity Exchange Act to Require On-Exchange Derivatives Trading H.R. 977 Derivatives Markets Transparency and Accountability Act of 2008 H.R.711 To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R.713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act 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 S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009
Client expense: $1,180,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · third_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 To amend the Commodity Exchange Act to prevent excessive price speculation with respect to energy and agricultural commodities, and for other purposes S. 344 To require hedge funds to register with the SEC S.298 To establish a Financial Markets Commission, and for other purposes S. 272 Derivatives Trading Integrity Act of 2009 To amend the Commodity Exchange Act to Require On-Exchange Derivatives Trading H.R. 977 Derivatives Markets Transparency and Accountability Act of 2008 H.R.711 To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R.713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009
Client expense: $940,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · second_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 To amend the Commodity Exchange Act to prevent excessive price speculation with respect to energy and agricultural commodities, and for other purposes S. 344 To require hedge funds to register with the SEC S.298 To establish a Financial Markets Commission, and for other purposes S. 272 Derivatives Trading Integrity Act of 2009 To amend the Commodity Exchange Act to Require On-Exchange Derivatives Trading H.R. 977 Derivatives Markets Transparency and Accountability Act of 2008 H.R.711 To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R.713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry S. 1276 To require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission, and for other purposes H.R 74 To establish the Financial Oversight Commission, and for other purposes H.R. 3145 To amend the securities laws to prohibit credit default swaps and to provide the Securities and Exchange Commission with authority to regulate swap agreements
Client expense: $920,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · fourth_quarter · Financial Institutions/Investments/Securities
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
2009 · third_quarter · Financial Institutions/Investments/Securities
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
2009 · second_quarter · Financial Institutions/Investments/Securities
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
2009 · third_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 To amend the Commodity Exchange Act to prevent excessive price speculation with respect to energy and agricultural commodities, and for other purposes S. 344 To require hedge funds to register with the SEC S.298 To establish a Financial Markets Commission, and for other purposes S. 272 Derivatives Trading Integrity Act of 2009 To amend the Commodity Exchange Act to Require On-Exchange Derivatives Trading H.R. 977 Derivatives Markets Transparency and Accountability Act of 2008 H.R.711 To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R.713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009
Client expense: $960,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · fourth_quarter · Banking
Administration White Paper on financial regulatory reform, particularly with respect to regulation of private equity firms. S.344: The Hedge Fund Transparency Act of 2009 - all provisions. H.R.711: Hedge Fund Adviser Registration Act of 2009 - all provisions. S. 1276: Legislation to require registration of certain private equity firms - all provisions. Legislation affecting the regulation of financial services. H.R. 3126: Consumer Financial Protection Act - all provisions. H.R.3818: Private Fund Investment Advisers Registration Act of 2009. H.R.4173: Wall Street Reform and Consumer Protection Act of 2009. Discussion draft, "Restoring American Financial Stability Act," introduced by Senator Dodd.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2009 · fourth_quarter · Financial Institutions/Investments/Securities
Potential legislation on possible new financial regulatory structure. Administration White Paper on Financial Regulatory Reform, particularly with respect to regulation of private equity firms. S. 344: The Hedge Fund Transparency Act of 2009 all provisions. H.R. 711: The Hedge Fund Advisor Registration Act all provisions. Legislation affecting the regulation of financial services. S. 1276: Legislation to require registration of certain private equity firms - all provisions. H.R. 3269: Corporate & Financial Institution Compensation Fairness Act - all provisions. H.R. 3126: Consumer Financial Protection Act - all provisions. H.R. 3818: Private Fund Investment Advisers Registration Act of 2009. H.R.4173: Wall Street Reform and Consumer Protection Act of 2009. Discussion draft, "Restoring American Financial Stability Act," introduced by Senator Dodd.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2009 · fourth_quarter · Financial Institutions/Investments/Securities
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments. S. 447 To amend the Commodity Exchange Act to prevent excessive price speculation with respect to energy and agricultural commodities, and for other purposes S. 344 To require hedge funds to register with the SEC S.298 To establish a Financial Markets Commission, and for other purposes S. 272 Derivatives Trading Integrity Act of 2009 To amend the Commodity Exchange Act to Require On-Exchange Derivatives Trading H.R. 977 Derivatives Markets Transparency and Accountability Act of 2008 H.R.711 To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients H.R.713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry S. 1276 Private Fund Transparency Act of 2009 H.R. 3269 Corporate and Financial Institution Compensation Act of 2009 H.R. 3126 Consumer Financial Protection Agency H.R. 3817 Investor Protection Act H.R. 3818 Private Fund Investment Advisers Registration Act 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 S. 961 Authorizing the Regulation of Swaps Act H.R. 3145 Credit Default Swap Prohibition Act of 2009 H.R. 3300 The Derivatives Trading Accountability and Disclosure Act of 2009 S. 1961 Comprehensive Derivatives Regulation Act of 2009 H.R. 3795 Over-the-Counter Derivatives Markets Act of 2009
Client expense: $1,080,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2009 · fourth_quarter · Financial Institutions/Investments/Securities
S.344 Hedge Fund Transparency Act - requires hedge funds to register with the SEC. NVCA wants language clarification. S.1276 The Private Fund Transparency Act of 2009, NVCA wants clarification language to exclude the venture capital industry. HR 711- The Hedge Fund Advisor Registration Act of 2009; NVCA opposes any inclusion of venture capital industry in this bill. Title IV - Registration of Advisors to Private Funds, oppose administration language to require vc firms to register with the SEC as investment advisors.
Client expense: $557,942 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Environmental Protection Agency (EPA), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, White House Office