Limit Executive Compensation Abuse Act

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 4173, Wall Street Reform and Consumer Protection Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 4173, Wall Street Reform and Consumer Protection Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 3217, Restoring American Financial Stability Act of 2010; H.R. 851, Executive Compensation and Corporate Governance Act; H.R.1586, To impose an additional tax on bonuses received from certain TARP recipients; H.R.1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008; H.R.3269, Corporate and Financial Institution Compensation Fairness Act; H.R.857, Limit Executive Compensation Abuse Act; S. 360, Cap Executive Officer Pay Act; S. 638, Financial and Economic Literacy Improvement Act; S.1006, Excessive Pay Shareholder Approval Act; S1074, Shareholder Bill of Rights Act,; S. 2832 Lifetime Income Disclosure Act

Client expense: $608,081 · Firm income: Not reported

Limit Executive Compensation Abuse Act - H.R. 857 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 The Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Consumer Financial Protection Agency Act of 2009 H.R. 3126 Foreign Account Tax Compliance Act of 2009 H.R. 3933 Preserve Benefits and Jobs Act of 2009 H.R. 3936 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962/Public Law No: 111-192 Retirement Fairness Act H.R. 4126 Sensible Transparency for Retirement Plans Act H.R. 4146 Tax Technical Corrections Act of 2009 H.R. 4169 Wall Street Reform and Consumer Protection Act/Restoring American Financial Stability Act of 2010 H.R. 4173 American Workers, State, and Business Relief Act /American Jobs and Closing Tax Loopholes Act (tax extenders) H.R. 4213, & Substitute amendments Small Businesses Add Value for Employees Act of 2009 (SAVE Act) H.R. 4742 Employee Misclassification Prevention Act (EMPA) H.R. 5107 Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152 new compensation deduction limits on entities receiving health insurance premiums (162 (m)(6)) Pension Funding - additional funding relief for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, conversions to Roth 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses, lifetime income issues, nondiscrimination rules for retirement plans Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 Retirement Security for Life Act of 2009 S. 1297 The Pension Benefits Guaranty Corporation (PBGC) Governance Improvement Act S. 1544 Foreign Account Tax Compliance Act of 2009 S. 1934 Lifetime Income Disclosure Act S. 2832 Create Jobs and Save Benefits Act of 2010 S. 3157 Restoring American Financial Stability Act/Wall Street Transparency and Accountability Act S. 3217 Employee Misclassification Prevention Act (EMPA) S. 3254 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962, Public Law No: 111-192 American Workers, State, and Business Relief Act /American Jobs and Closing Tax Loopholes Act (tax extenders) H.R. 4213, & Substitute amendments Wall Street Transparency and Accountability Act of 2010/Restoring American Financial Stability Act of 2010 H.R. 4173 Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds Pension funding additional funding relief for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, automatic IRAs, conversions to Roth 401(k) plans, investment advice, investment selection (target date funds), the Savers Credit, lifetime income issues Regulatory communication with covered federal officials on legislative issues Proposed rule on application of ERISA to state/local health reform efforts, ERISA preemption Pension funding relief, adequacy off defined benefit vehicles, hybrids, retirement plan designs, tax treatment of expatriates, Investment advice, adequacy of defined contribution vehicles, investment selection (target date funds) and annuity issues, automatic/mandatory individual retirement accounts (IRAs) Nonqualified deferred compensation (NQDC), new compensation deduction limits on entities receiving health insurance premiums 162 (m) (6) Premium funding target methods (variable rate premiums) Foreign bank account reporting, Report of Foreign Bank and Financial Accounts (FBAR) Financial services regulatory reform

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 4173, Wall Street Reform and Consumer Protection Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 851, Executive Compensation and Corporate Governance Act; H.R.1586, To impose an additional tax on bonuses received from certain TARP recipients; H.R.1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008; H.R.3269, Corporate and Financial Institution Compensation Fairness Act; H.R.857, Limit Executive Compensation Abuse Act; S. 360, Cap Executive Officer Pay Act; S. 638, Financial and Economic Literacy Improvement Act; S.1006, Excessive Pay Shareholder Approval Act; S1074, Shareholder Bill of Rights Act,; H.R. 4213 American Workers, State, and Business Relief Act of 2010 H.R. 4849 Small Business and Infrastructure Jobs Tax Act of 2010 S. 2832 Lifetime Income Disclosure Act

Client expense: $610,000 · Firm income: Not reported

Limit Executive Compensation Abuse Act - H.R. 857 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 The Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Consumer Financial Protection Agency Act of 2009 H.R. 3126 Corporate and Financial Institution Compensation Fairness Act of 2009 H.R. 3269 Taxpayer Responsibility, Accountability and Consistency Act of 2009 H.R. 3408 Foreign Account Tax Compliance Act of 2009 H.R. 3933 Preserve Benefits and Jobs Act of 2009 H.R. 3936 Retirement Fairness Act H.R. 4126 Sensible Transparency for Retirement Plans Act H.R. 4146 Tax Technical Corrections Act of 2009 H.R. 4169 Wall Street Reform and Consumer Protection Act H.R. 4173 American Workers, State, and Business Relief Act H.R. 4213, & Substitute amendment Small Businesses Add Value for Employees Act of 2009 (SAVE Act) H.R. 4742 Pension Funding - additional funding relief for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, conversions to Roth 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses, lifetime income issues, nondiscrimination rules for retirement plans Supporting the goals and ideals of the fourth annual America Saves Week - H. RES. 1082 Fiscal Year 2011 Budget retirement plan proposals, worker classification Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 Retirement Security for Life Act of 2009 S. 1297 The Pension Benefits Guaranty Corporation (PBGC) Governance Improvement Act S. 1544 Foreign Account Tax Compliance Act of 2009 S. 1934 Lifetime Income Disclosure Act S. 2832 Create Jobs and Save Benefits Act of 2010 S. 3157 Restoring American Financial Stability Act S. 3217 American Workers, State, and Business Relief Act H.R. 4213, & Substitute amendment Hiring Incentives to Restore Employment Act (HIRE) pension funding relief provisions Wall Street Compensation Reform Act of 2010 draft proposal Pension funding additional funding relief for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, automatic IRAs, conversions to Roth 401 (k) plans, investment advice, investment selection (target date funds), the Savers Credit, lifetime income issues Health Care Reform Senate Finance Committee Version Americas Healthy Futures Act of 2009 S. 1796 - executive compensation provision Fiscal Year 2011 Budget retirement plan proposals Regulatory communication with covered federal officials on legislative issues DOL/Employee Benefits Security Administration (EBSA) lifetime income issues, pension funding, proposed investment advice regulations, 401 (k) fee disclosure, investment selection (target date funds) and annuity issues DOL/Employee Benefits Security Administration (EBSA)/Office of Management and Budget (OMB) - proposed rule on application of ERISA to state/local health reform efforts Treasury/IRS nonqualified deferred compensation (NQDC) Section 409A plan document corrections Treasury/IRS pension funding, hybrids, automatic/mandatory individual retirement accounts (IRAs), distribution notice issues, interest rate guidance, lifetime income issues, annuity issues, Required Minimum Distributions (RMD rules), retirement plan designs and benefits restrictions The Worker, Retiree, and Employer Recovery Act of 2008 (WRERA), Treasury/IRS Heroes Earnings Assistance and Relief Tax (HEART) Act of 2008 tax treatment of expatriates, tax and savings assistance for military veterans and families Treasury/IRS Foreign Bank Account Reporting/Report of Foreign Bank and Financial Accounts (FBAR) H.R. 3933 Pension Benefit Guaranty Corporation (PBGC) premium funding target methods White House/Executive Office of the President pension funding issues Office of the Vice President pension funding issues

Data Breach H.R.1242 To amend the Emergency Economic Stabilization Act of 2008 to provide for additional monitoring and accountability of the Troubled Asset Relief Program H.R.1650 To enhance the oversight authority of the Comptroller General of the United States with respect to expenditures under the Troubled Asset Relief Program. H.R.1106 To prevent mortgage foreclosures and enhance mortgage credit availability. H.R.1728 To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes. H.R.384 To reform the Troubled Assets Relief Program of the Secretary of the Treasury and ensure accountability under such Program. H.R.857 Limit Executive Compensation Abuse Act H.R.1406 Stock Market Recovery Act of 2009 H.R.1880 National Insurance Consumer Protection 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. H.R.3269 Corporate and Financial Institution Conpensation Fairness Act of 2009

Client expense: $980,000 · Firm income: Not reported

Limit Executive Compensation Abuse Act - H.R. 857 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 The Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Consumer Financial Protection Agency Act of 2009 H.R. 3126 Corporate and Financial Institution Compensation Fairness Act of 2009 H.R. 3269 Taxpayer Responsibility, Accountability and Consistency Act of 2009 H.R. 3408 Foreign Account Tax Compliance Act H.R. 3933 Preserve Benefits and Jobs Act of 2009 H.R. 3936 Retirement Fairness Act H.R. 4126 Sensible Transparency for Retirement Plans Act H.R. 4146 Tax Technical Corrections Act H.R. 4169 Pension Funding - additional funding relief for defined benefit pension plans, nonqualified deferred compensation conditions Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plans, 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses Senate Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 The Pension Benefits Guaranty Corporation (PBGC) Governance Improvement Act S. 1544 Lifetime Income Disclosure Act S. 2832 Pension funding additional funding relief for defined benefit pension plans, nonqualified deferred compensation conditions Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plans, 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses Health Care Reform Senate Finance Committee Version Americas Healthy Futures Act of 2009 S. 1796 - executive compensation provision Regulatory communication with covered federal officials on legislative issues Treasury/IRS pension funding, hybrids, automatic/mandatory individual retirement accounts (IRAs), interest rate guidance, 2010 inflation indexing, 2010 retirement plan limits, annuity issues, Required Minimum Distributions (RMD rules), retirement plan designs and benefits restrictions The Worker, Retiree, and Employer Recovery Act of 2008 (WRERA), Treasury/IRS Heroes Earnings Assistance and Relief Tax (HEART) Act of 2008 tax treatment of expatriates DOL/Employee Benefits Security Administration (EBSA) pension funding, investment advice, fee disclosure, investment selection (target date funds) and annuity issues IRS Foreign Bank Account Reporting (FBAR) H.R. 3933 White House/Executive Office of the President pension funding relief issues Office of the Vice President pension funding relief issues

H.R. 851, Executive Compensation and Corporate Governance Act; H.R.1586, To impose an additional tax on bonuses received from certain TARP recipients; H.R.1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008; H.R.3269, Corporate and Financial Institution Compensation Fairness Act; H.R.857, Limit Executive Compensation Abuse Act; S. 360, Cap Executive Officer Pay Act; S. 638, Financial and Economic Literacy Improvement Act; S.1006, Excessive Pay Shareholder Approval Act S1074, Shareholder Bill of Rights Act

Client expense: $600,000 · Firm income: Not reported

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 4173, Wall Street Reform and Consumer Protection Act

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Data Breach H.R.1242 To amend the Emergency Economic Stabilization Act of 2008 to provide for additional monitoring and accountability of the Troubled Asset Relief Program H.R.1650 To enhance the oversight authority of the Comptroller General of the United States with respect to expenditures under the Troubled Asset Relief Program. H.R.1106 To prevent mortgage foreclosures and enhance mortgage credit availability. H.R.1728 To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes. H.R.384 To reform the Troubled Assets Relief Program of the Secretary of the Treasury and ensure accountability under such Program. H.R.857 Limit Executive Compensation Abuse Act H.R.1406 Stock Market Recovery Act of 2009 H.R.1880 National Insurance Consumer Protection 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. H.R.3269 Corporate and Financial Institution Conpensation Fairness Act of 2009

Client expense: $1,300,000 · Firm income: Not reported

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 1, American Recovery and Reinvestment Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Limit Executive Compensation Abuse Act - H.R. 857 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 The Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Consumer Financial Protection Agency Act of 2009 H.R. 3126 Corporate and Financial Institution Compensation Fairness Act of 2009 H.R. 3269 Taxpayer Responsibility, Accountability and Consistency Act of 2009 H.R. 3408 Pension Funding - additional funding relief for defined benefit pension plans Discussion Draft of defined benefit pension funding relief legislation for single and multiemployer plans. (Rep. Pomeroy, 8/27) Retirement Security defined contribution plans, 401 (k) plans, automatic IRAs, investment advice, the Savers Credit, retirement savings plans for small businesses Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 The Pension Benefits Guaranty Corporation (PBGC) Governance Improvement Act S. 1544 Pension funding additional funding relief for defined benefit pension plans Retirement Security defined contribution plans, 401 (k) plans, automatic IRAs, investment advice, the Savers Credit, retirement savings plans for small businesses Health Care Reform Senate Finance Committee Version Americas Healthy Futures Act of 2009 executive compensation provision Regulatory communication with covered federal officials on legislative issues Treasury/IRS pension funding, hybrids, automatic/mandatory individual retirement accounts (IRAs), interest rate guidance, 2010 inflation indexing, annuity issues, Required Minimum Distributions (RMD rules) The Worker, Retiree, and Employer Recovery Act of 2008 (WRERA), Consumer Financial Protection Agency Act DOL/Employee Benefits Security Administration (EBSA) pension funding, investment advice, fee disclosure and annuity issues Treasury/SEC Investor Protection Act of 2009 Title IX Additional Improvements to Financial Markets Regulation White House/Executive Office of the President pension funding relief issues

Data Breach HR 1242 Provides for additional monitoring and accountability of the Troubled Assets Relief Program HR 1650 Troubled Assets Relief Program Enhancement Act HR1106 Helping Families Save Their Homes Act of 2009 HR1728 Expand and Preserve Homeownership Through Counseling HR384 Reform the Troubled Assets Relief Program of the Secretary of the Treasury and Ensure Accountability Under Such Program HR857 Limit Executive Compensation Abuse Act HR1406 Stock Market Recovery Act of 2009 HR1880 National Insurance Consumer Protection Act Reform of the over the counter Derivative Market System/Prudential Risk Regulation HR3269 Corporate and Financial Institution Compensation Fariness Act of 2009

Client expense: $980,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), SENATE, Treasury, Dept of

Regulatory reform HR 1 Making supplemental appropriations for job preservation and creation, infrastructure investment, energy efficiency and science, assistance to the unemployed, and State and local fiscal stabilization, for fiscal year ending September 30, 2009, and for other purposes HR 384 To reform the Troubled Assets Relief Program of the Secretary of the Treasury and ensure accountability under such Program HR 703 To promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements. HR 710 To secure additional Tier I capital for the U.S. banking system from parties other than the federal government by providing authority to the secretary of the treasury to guaranty certain new preferred stock investments made by public pensions acting in a collective fashion, and for other purposes HR 713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry HR 846 To require institutions receiving assistance under the Emergency Economic Stabilization Act of 2008 to report certain corporate data HR 857 To limit compensation to officers and directors of entities receiving emergency economic assistance from the government, and for other purposes HR 977 To amend the Commodity Exchange Act to bring greater transparency and accountability to commodity markets, and for other purposes. HR 1754 To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the federal government, and for other purposes H.R. 1893 to prohibit any person which sells to or otherwise disposes of any asset through a public-private investment program, including the Public-Private Investment Program for Legacy Assets, from purchasing or otherwise acquiring any other asset from or through such programs, and for other purposes H.R. 1897 to amend the Internal Revenue Code of 1986 to provide a tax credit to employers for the costs of implementing wellness programs, and for other purposes S 195 A bill to extend oversight, accountability, and transparency provisions of the Emergency Economic Assistance Act of 2008 to all Federal emergency economic assistance to private entities, to impose tough conditions for all recipients of such emergency economic assistance, to set up a Federal task force to investigate and prosecute criminal activities that contributed to our economic crisis, and to establish a bipartisan financial market investigation and reform commission, and for other purposes. S 272 A bill to amend the Commodity Exchange Act to ensure that all agreements, contracts, and transactions with respect to commodities are carried out on a regulated exchange, and for other purposes. S 344 A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes S 356 A bill to amend the Bank Holding Company Act of 1956 and the Revised Statutes of the United States to prohibit financial holding companies and national banks from engaging, directly or indirectly, in real estate brokerage or real estate management activities, and for other purposes. S 360 A bill to limit compensation to officers and directors of entities receiving emergency economic assistance from the Government. S 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities. S. 961 to authorize the regulation of credit default swaps and other swap agreements, and for other purposes S. 1006 to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company S. 1074 to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives

Limit Executive Compensation Abuse Act - H.R. 857 Teaching and Research Assistant Collective Bargaining Rights Act H.R. 1461 Troubled Asset Relief Program (TARP) Bonus Tax Legislation - H.R. 1586 To Amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibiting unreasonable and excessive compensation and compensation not based on performance standards H.R. 1664/House Report No. 111-64 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 The Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Pension Funding - additional funding relief for defined benefit pension plans Discussion Draft of Pension Plan Funding Proposals (Rep. Pomeroy, 6/23) Retirement Security defined contribution plans, 401 (k) plans, automatic IRAs, investment advice, the Savers Credit, retirement savings plans for small businesses Fiscal Year 2010 budget resolution/S. Con Res 13 - Savers Credit, tax relief Cap Executive Officer Pay Act of 2009 - S. 360 Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 Fiscal Year 2010 budget resolution/S. Con Res 13, Savers Credit, tax relief Miscellaneous retirement issues target date funds, PBGC modeling Regulatory communication with covered federal officials on legislative issues Treasury/IRS pension funding issues Treasury/IRS pension withholding issues Treasury/IRS mandatory individual retirement accounts (IRAs) White House/Executive Office of the President pension funding issues

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 1, American Recovery and Reinvestment Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Data Breach HR1242 Provides for additional monitoring and accountability of the Troubled Assets Relief Program HR1650 Troubled Assets Relief Program Enhancement Act HR1106 Helping Families Save Their Homes Act of 2009 HR1728 Expand and Preserve Homeownership Through Counseling HR384 Reform the Troubled Assets Relief Program of the Secretary of the Treasury and Ensure Accountability Under Such Program HR857 Limit Executive Compensation Abuse Act HR1406 Stock Market Recovery Act of 2009

Client expense: $740,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), SENATE, Treasury, Dept of

S. 360/H.R. 857, Cap Executive Officer Pay Act of 2009 H.R. 1, American Recovery and Reinvestment Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Data Breach HR7333 - To amend the Emergency Economic Stabilization Act of 2008 (PL110-343) HR1242 - To provide Emergency Economic Stabilization Act of 2008, to provide for additional monitoring and accountability of the Troubled Assets Relief Program HR1650 - Troubled Assests Relief Program Enhancement Act HR1728 - Expand and Preserve Homeownership Through Counseling Act HR1106 - Helping Families Save Their Homes Act of 2009 HR 703 - To Promote Bank Liquidity and Lending Through Deposit Insurance, the HOPE for Homeowners Program, and other enhancements HR384 - To Reform the Troubled Assets Relief Program of the Secretary of the Treasury and ensure accountability under such program HR1 - American Recovery and Reinvestment Act of 2009 HR 857 - Limit Executive Compensation Abuse Act HR 1406 - Stock Market Recoveery Act of 2009

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

Government targets: HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), SENATE, Treasury, Dept of

HR 1 Making supplemental appropriations for job preservation and creation, infrastructure investment, energy efficiency and science, assistance to the unemployed, and State and local fiscal stabilization, for fiscal year ending September 30, 2009, and for other purposes HR 384 To reform the Troubled Assets Relief Program of the Secretary of the Treasury and ensure accountability under such Program HR 703 To promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements. HR 710 To secure additional Tier I capital for the U.S. banking system from parties other than the federal government by providing authority to the secretary of the treasury to guaranty certain new preferred stock investments made by public pensions acting in a collective fashion, and for other purposes HR 713 To require the President's Working Group on Financial Markets to conduct a study on the hedge fund industry HR 846 To require institutions receiving assistance under the Emergency Economic Stabilization Act of 2008 to report certain corporate data HR 857 To limit compensation to officers and directors of entities receiving emergency economic assistance from the government, and for other purposes HR 977 To amend the Commodity Exchange Act to bring greater transparency and accountability to commodity markets, and for other purposes. HR 1754 To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the federal government, and for other purposes S 195 A bill to extend oversight, accountability, and transparency provisions of the Emergency Economic Assistance Act of 2008 to all Federal emergency economic assistance to private entities, to impose tough conditions for all recipients of such emergency economic assistance, to set up a Federal task force to investigate and prosecute criminal activities that contributed to our economic crisis, and to establish a bipartisan financial market investigation and reform commission, and for other purposes. S 272 A bill to amend the Commodity Exchange Act to ensure that all agreements, contracts, and transactions with respect to commodities are carried out on a regulated exchange, and for other purposes. S 344 A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes S 356 A bill to amend the Bank Holding Company Act of 1956 and the Revised Statutes of the United States to prohibit financial holding companies and national banks from engaging, directly or indirectly, in real estate brokerage or real estate management activities, and for other purposes. S 360 A bill to limit compensation to officers and directors of entities receiving emergency economic assistance from the Government. S 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.

House The American Recovery and Reinvestment Act of 2009 ("Stimulus Bill") - H.R. 1 Lilly Ledbetter Fair Pay Act of 2009 - H.R. 11 American Recovery and Reinvestment Tax Act of 2009 - H.R. 598 Limit Executive Compensation Abuse Act - H.R. 857 Troubled Asset Relief Program (TARP) Bonus Tax Legislation - H.R. 1586 The Worker, Retiree, and Employer Recovery Act - H.R. 7327 Pension Funding - additional funding relief for defined benefit pension plans meetings with Congressional staff Retirement Security defined contribution plans, 401 (k) plans, automatic IRAs, investment advice and the Savers Credit staff of Ways & Means and Education and Labor Committees Fiscal Year 2010 budget resolution (Automatic IRA Act of 2007 H.R. 2167) Senate The American Recovery and Reinvestment Act of 2009 S. 1 Lilly Ledbetter Fair Pay Act of 2009 S. 181 Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Plan Fee Disclosure Act S. 2473 Fiscal Year 2010 budget resolution Regulatory communication with covered federal officials on legislative issues Treasury/IRS - the Worker, Retiree, and Employer Recovery Act of 2008 (WRERA) 2009 Minimum Required Distribution provisions (MRD) Treasury/IRS executive compensation Emergency Economic Stabilization Act of 2008 (EESA) Treasury/IRS Guidance Requested regarding use of the yield curve to determine pension liabilities and other funding issues. Treasury/IRS the American Recovery and Reinvestment Act of 2009 application of withholding tables to retirees

Client expense: $192,662 · Firm income: Not reported