Whistleblower Improvement Act of 2011

H.R. 2483 - Whistleblower Improvement Act of 2011 - To amend the whistleblower incentive and protection provisions of the Securities Exchange Act of 1934 and the Commodity Exchange Act, issues regarding whistleblower protections; S. 1615 - Financial Regulatory Responsibility Act of 2011, issues regarding the implementation of regulation; H.R. 2308 - SEC Regulatory Accountability Act, issues regarding the implementation of regulation.H.R. 4078, Red Tape Reduction and Small Business Job Creation Act, issues regarding the implementation of regulation; H.R. 2827 / S. 3620, To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes, issues regarding the implementation of regulation.

Client expense: $380,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 3606, the JOBS Act H.R. 1315, the Consumer Financial Protection Safety and Soundness Improvement Act S.489, the Preserving Homes and Communities Act of 2011 S.824, the Foreclosure Fraud and Homeowner Abuse Prevention Act of 2011 H.R. 2483, Whistleblower Improvement Act of 2011 H.R. 2682, Business Mitigation and Price Stabilization Act of 2011 H.R. 2586, Swap Execution Facility Clarification Act H.R. 2779, To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act S. 3085, S. 3522, Responsible Homeowner Refinancing Act S. 3047, Expanding Refinancing Opportunities Act S. 2909, Rebuilding Equity Act H.R. 6020/S. 3301, Financial Services and General Government Appropriations Act, 2013 H.R. 1909, Federal Financial Services and Credit Companies Charter Act of 2011 S. 3246, the Stopping Abuse and Fraud in Electronic (SAFE) Lending Act H.R. 3313/S. 1787 Wall Street Trading and Speculators Tax Act H.R. 2827 To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal regulation of municipal advisors, and for other purposes H.R. 1838 Swaps Bailout Prevention Act H.R. 6684 Spending Reduction Act of 2012 S. 3468 Independent Agency Regulatory Analysis Act of 2012

Client expense: $248,376 · Firm income: Not reported

Government targets: Education, Dept of, Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), SENATE, Treasury, Dept of, Vice President of the U.S., White House Office

H.R. 363 (Housing Opportunity and Mortgage Equity Act of 2011); H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011); H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011); H.R. 653 (Financial Information Privacy Act of 2011); H.R. 757 (Equitable Treatment of Investors Act); H.R. 836 (Emergency Mortgage Relief Program Termination Act); H.R. 1053 (stock quote decimalization); H.R. 1062 (Burdensome Data Collection Relief Act); H.R. 1070 (Small Company Capital Formation Act of 2011); H.R. 1082 (Small Business Capital Access and Job Preservation Act); H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011); H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011); H.R. 1341 (A bill to provide a point of order against consideration of any measure that would increase the statutory limit on the public debt above $14.294 trillion unless that measure has been publicly available for a full 7 calendar days before consideration on the floor of the Senate); H.R. 1438 (Regulation Moratorium and Jobs Preservation Act of 2011); H.R. 1532 (A bill to amend the Budget Control Act of 2011 to require the joint select committee of Congress to report findings and propose legislation to restore the Nation's workforce to full employment over the period of fiscal years 2012 and 2013); H.R. 1535 (Personal Data Protection and Breach Accountability Act of 2011); H.R. 1539 (Asset-Backed Market Stabilization Act of 2011); H.R. 1544 (Small Company Capital Formation Act of 2011); H.R. 1550 (National Infrastructure Bank Act of 2011); H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011); H.R. 1838 (To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants); H.R. 1840 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.); H.R. 2167 (Private Company Flexibility Act); H.R. 2308 (SEC Regulatory Accountability Act); H.R. 2313 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); H.R. 2413 (Secondary Market Facility for Residential Mortgages Act of 2011); H.R. 2483 (Whistleblower Improvement Act); H.R. 2517 (Shareholder Protection Act of 2011); H.R. 2586 (Swap Execution Facility Clarification Act); H.R. 2603 (Maintaining Agency Direction on Financial Fraud Act); H.R. 2612 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal the authority of the Bureau of Consumer Financial Protection to prohibit certain acts or practices); H.R. 2651 (To require that the United States Government prioritize all obligations on the debt held by the public, Social Security benefits, and military pay in the event that the debt limit is reached, and for other purposes); H.R. 2682 (Business Risk Mitigation and Price Stabilization Act); H.R. 2779 (To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act); H.R. 2827 (To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes); H.R. 2855 (Emergency Jobs Now Act); H.R. 2930 (Entrepreneur Access to Capital Act); H.R. 2931 (Full Faith and Credit Act); H.R. 2940 (Access to Capital for Job Creators Act); H.R. 2964 (Unfunded Mandates Accountability Act); H.R. 3010 (Regulatory Accountability Act of 2011); H.R. 3078 (United States-Colombia Trade Promotion Agreement Implementation Act); H.R. 3079 (United States-Panama Trade Promotion Agreement Implementation Act); H.R. 3080 (United States-Korea Free Trade Agreement Implementation Act); H.R. 3084 (Mortgage Credit Availability Act of 2011); H.R. 3128 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of exempting smaller institutions from capital deductions); H.R. 3213 (Small Company Job Growth and Regulatory Relief Act of 2011); H.R. 3283 (Swap Jurisdiction Certainty Act); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 3318 (Growing Jobs Through Capital Act of 2011); H.R. 3336 (Small Business Credit Availability Act); H.R. 3527 (Protecting Main Street End-Users From Excessive Regulation); H.R. 3530 (Freddie Mac Debt Reduction Act of 2011); H.R. 3606 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); H.R. 3635 (Investing in America's Small Businesses Act of 2011); H.R. 3644 (Private Mortgage Market Investment Act); H.R. 3655 (Small Business Access to Capital Act of 2011); H.R. 3665 (Wall Street Accountability through Sustainable Funding Act); H.R. 3733 (Affordable Mortgage for Homeowners Act of 2011); H.R. 3871 (Proprietary Information Protection Act of 2012); H.R. 4088 (Capital Expansion Act); H.R. 4235 (To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts.); H.R. 4624 (Investment Advisor Oversight Act of 2012); H.R. 5973 (Commodity Futures Trading Commission (CFTC) appropriations bill); H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.); S. 23 (Patent Reform Act of 2011); S. 556 (A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1276 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); S. 1544 (Small Company Capital Formation Act of 2011); S. 1619 (The Currency Exchange Act); S. 1641 (A Bill to Implement the U.S.-Colombia Trade Promotion Agreement); S. 1642 (A Bill to Implement the U.S.-Korea Trade Promotion Agreement); S. 1643 (A Bill to Implement the U.S.-Panama Trade Promotion Agreement); S. 1650 (Dodd-Frank Improvement Act of 2011); S. 1787 (Wall Street Trading and Speculators Tax Act); S. 1791 (Democratizing Access to Capital Act of 2011); S. 1824 (Private Company Flexibility and Growth Act); S. 1831 (Access to Capital for Job Creators Act); S. 1835 (United States Covered Bond Act); S. 1907 (PCAOB Enforcement Transparency Act of 2011); S. 1933 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); S. 1941 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1962 (Startup Expansion and Investment Act); S. 1963 (Mortgage Finance Act of 2011); S. 1970 (CROWDFUND Act); S. 1975 (No More IMF Bailouts Act); S. 1997 (FHA Bailout Protection Act of 2011); S. 2033 (Closing the Derivatives Blended Rate Loophole Act); S. 2038 (STOCK Act); S. 2055 (A bill to amend the Federal Deposit Insurance Act with respect to the protection of certain information.); S. 2102 (Cybersecurity Information Sharing Act of 2012); S. 2105 (Cybersecurity Act of 2012); S. 3414 (A bill to enhance the security and resiliency of the cyber and communications infrastructure of the United States.); S. 3620 (A bill to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes.); S. Amdt. 1818 to S. 1813 (offshore tax havens); SR-NASDAQ-2012-005 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee); SR-NASDAQ-2012-042 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data); SR-NASDAQ-2012-044 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data); SR-NYSEArca-2011-96 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed); FINRA Rule 4560 (short interest reporting); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Recordkeeping under Exchange Act Rule 17a-4(b)(4); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Resolution Authority for Systemically Significant Financial Companies Act of 2009; China - strategic and economic dialogue; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Eminent domain; Russia Permanent Normal Trade Relations; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues, Response to Royal Bank of India discussion; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20; Amendments to the 2012 Indian Finance Bill; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds; Cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Tri-party repo; Computerized trading; Market Data Exchange Act Section 19 (and related rules); Legal entity identifier (LEI); Jumpstart our Business Startups (JOBS) Act implementation; Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO) consultation paper on margin requirements for uncleared derivatives.

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

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

HR 2483: Whistleblower Improvement Act -- Internal reporting requirements - Support

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

Government targets: Commerce, Dept of (DOC), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, State, Dept of (DOS)

H.R. 2483 - Whistleblower Improvement Act of 2011 - To amend the whistleblower incentive and protection provisions of the Securities Exchange Act of 1934 and the Commodity Exchange Act, issues regarding whistleblower protections; S. 1615 - Financial Regulatory Responsibility Act of 2011, issues regarding the implementation of regulation; H.R. 2308 - SEC Regulatory Accountability Act, issues regarding the implementation of regulation. H.R. 4078, Red Tape Reduction and Small Business Job Creation Act, issues regarding the implementation of regulation; H.R. 2827 / S. 3620, To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes, issues regarding the implementation of regulation.

Client expense: $1,410,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4624, INVESTMENT OVERSIGHT ACT OF 2012, OPPOSED LEGISLATION THAT WOULD DELEGATE GOVERNMENTAL AUTHORITY FOR OVERSIGHT OF INVESTMENT ADVISORS TO ONE OR MORE SELF-REGULATORY ORGANIZATION (SROs) H.R. 2483, WHISTLEBLOWER IMPROVEMENT ACT OF 2011, OPPOSEDREP. GRIMMS BILL THAT WOULD EVISCERATE THE SECS WHISTLEBLOWER PROGRAM (PASSED BY BY THE HOUSE FSCS SUBCOMMITTEE ON CAPITAL MARKETS 12/14/11) H.R. 6204, INVESTMENT ADVISER EXAMINATION IMPROVEMENT ACT OF 2012, OPPOSED EXPANDING SELF REGULATION OF INVESTMENT ADVISORS AND SUPPORTING OVERSIGHT BY THE SEC

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

Government targets: Defense, Dept of (DOD), Energy, Dept of, Executive Office of the President (EOP), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Natl Archives & Records Administration (NARA), Office of Government Ethics (OGE), Office of Management & Budget (OMB), SENATE

Issues pertaining to the False Claims Act, particularly H.R. 2483, Whistleblower Improvement Act of 2011, and the Wall Street Reform and Consumer Protection Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Public Law 111-203 - Dodd Frank Act (Rulemakings and Implementation) Public Law 112-106 - Jumpstart Our Business Startups Act (Rulemaking and Implementation) H.R. 2306 - SEC Regulatory Accountability Act H.R. 1838 - To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act that disadvantages U.S. financial institutions by forcing them to move their swap desks to a separately registered and capitalized entity. H.R. 3871 - Proprietary Information Protection Act of 2012 H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 5860 - Executive Compensation Clawback Full Enforcement Act Public Law 112-105 - Stop Trading on Congressional Knowledge Act (The Stock Act)

Client expense: $761,278 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203). H.R. 1315, Consumer Financial Protection Safety and Soundness Improvement Act of 2011(entire bill) H.R. 1539, The Asset-Backed Market Stabilization Act of 2011(entire bill) H.R. 1573, To Facilitate Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Promote Regulatory Coordination, and Avoid Market Disruption (entire bill) H.R. 1610, The Business Risk Mitigation and Price Stabilization Act of 2011(entire bill) H.R. 1667, Bureau of Consumer Financial Protection Transfer Clarification Act (entire bill) H.R. 1838, To Repeal a Provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act Prohibiting Any Federal Bailout of Swap Dealers or Participants (entire bill) H.R. 2191, The Home Inspection Act of 2011(entire bill) H.R. 2328, To Require the Chairman of the Commodity Futures Trading Commission to Impose Unilaterally Position Limits and Margin Requirements to Eliminate Excessive Oil Speculation (entire bill) H.AMDT.465 to H.R.2112, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2012 (entire bill) S.799, Commercial Privacy Bill of Rights Act of 2011(entire bill) H.R.2483, Whistleblower Improvement Act of 2011 (entire bill) H.R.3559, Insurance Data Protection Act (entire bill) Draft legislation to exclude insurance companies from the Federal Reserve System's Leverage Capital Requirements and Accounting Standards. Draft legislation to exclude insurance companies from FDIC's orderly liquidation authority.

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

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

Issues relating to the Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111-203). H.R. 2483, the Whistleblower Improvement Act of 2011.

Client expense: Not reported · Firm income: $75,000

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

S. 1615 - Financial Regulatory Responsibility Act S. 1650 - Dodd-Frank Improvement Act of 2011 S. 1834 - Residential Mortgage Market Privatization and Standardization Act of 2011 S. 1835 - United States Covered Bond Act S. 3468 - Independent Agency Regulatory Analysis Act of 2012 S. 3497 - Terminating the Expansion of Too-Big-To-Fail Act of 2012 S. 3620 - Regulation of Municipal Advisors S. 3637 - Temporarily Extend the Transaction Account Guarantee Program S. 3709 - GAO Study of Too Big to Fail H.R. 940 - United States Covered Bond Act of 2011 H.R. 1182 - GSE Bailout Elimination and Taxpayer Protection Act H.R. 1539 - Asset-Backed Market Stabilization Act of 2011 H.R. 1573 - Delay Implementation of Title VII of Dodd-Frank H.R. 1838 - Repeal DFA provision prohibiting assistance to swap dealers or participants H.R. 1840 - Consideration by the CFTC of the costs and benefits of its regulations H.R. 2308 - SEC Regulatory Accountability Act H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 2577 - Secure and Fortify Electronic Data Act H.R. 2586 - Swap Execution Facility Clarification Act H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011 H.R. 2779 - To exempt inter-affiliate swaps from Dodd-Frank Act H.R. 2827 - Regulation of Municipal Advisors H.R. 3606 - JOBS Act H.R. 3644 - Private Mortgage Market Investment Act H.R. 3862 - Sunshine for Regulatory Decrees and Settlements Act of 2012 H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act H.R. 4624 - Investment Adviser Oversight Act H.R. 5929 - Next Steps for Credit Availability Act H.R. 6127 - Liquidity Enhancement for Small Public Companies Act H.R. 6204 - Investment Adviser Examination Improvement Act of 2012 H.R. 6317 - Terminating the Expansion of Too-Big-to-Fail Act of 2012 Draft - SEC Modernization Act CFTC Rule 4.5 Money Market Mutual Funds SIFIs Volcker Rule Use of Commodities by Mutual Funds Exchange-Traded Funds Market Structure Mandatory Audit Firm Rotation Tri-Party Repo Market Mortgage Eminent Domain FX Forwards and FX Swaps Non-deliverable Forwards

Client expense: $1,001,729 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

H.R. 1873 - Arbitration Fairness Act S. 987 - Arbitration Fairness Act S. 1186 - Arbitration Fairness Act Asbestos Related Legislation Bankruptcy Transparency Issues S. 223 - FAA Air Transportation Modernization and Safety Improvement Act H.R. 658 - FAA Reauthorization Act Low Income Tax Recapture Bonds Climate Change/Global Warming Natural Catastrophe legislation Coast Wind Zone Proposal Credit Scoring and the Use of Credit as Underwriting Tool H.R. 769 - Fair Access to Credit Scores Act of 2011 H.R. 1062 - The Burdensome Data Collection Relief Act Insurance issues relating to the authority of the Financial Stability Oversight Council Insurance issues relating to the Office of Financial Research Issues relating to Financial Services Systemic Risk Proposals Insurance issues relating to Federal Resolution Authority Issues relating to the Federal Insurance Office Insurance issues relating to liquidation authority for systemically important financial institutions and the plans for US and global regulators for higher capital requirements for financial institutions. SEC issues related to the implementation of the Dodd-Frank Act H.R. 1039 - Flood Insurance Reform Act of 2011 H.R. 435 - National Flood Insurance Program Termination Act of 2010 H.R. 1026 - Flood Insurance Reform Priorities Act of 2011 (Waters) S. 1940 - Flood Insurance Reform and Modernization Act of 2011 Medical Liability Reform Medicare Secondary Payer and Workers' Compensation Settlement Agreements S. 533 - Lawsuit Abuse Reduction Act H.R. 966 - Lawsuit Abuse Reduction Act McCarran-Ferguson Reform and Modernization H.R. 5 - Health Act, H.R. 1150 - Competitive Health Insurance Reform Act of 2011 S. 528 - Safe Teen and Novice Driver Uniform Protection Act Oil Spill Liability Issues H.R. 2483 - The Whistleblower Improvement Act S. 669 - Longshore and Harbor Workers' Compensation Act Amendments of 2011 H.R. 1249 - America Invents Act S. 23 - America Invents Act H.R. 1965 - To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. S. 556 - A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. H.R. 940 - United States Covered Bond Act of 2011 State bankruptcy issues S. 251 - A bill to prohibit the provision of Federal funds to State and local governments for the payment of obligations, to prohibit the Federal Reserve System from financially assisting state and local governments, and for other purposes. Bank Tax Issues H.R. 623 - National Commission on State Workers' Compensation Laws Act of 2011 H.R. 1063 - SMART Act

Client expense: $690,000 · Firm income: Not reported

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

Dodd Frank Act implementation (Sections 913, 914, 922, 929Y, 929Z, 982); HR 2146/S 1222 - Data Act of 2011 - provisions dealing with data standards; HR 2943 - Short Term TANF Extension Act; HR 3339 Standard DATA Act - provisions dealing with data standards. HR 3213 - Small Company Job Growth Regulatory Relief Act of 2011. HR 2483 - Whistleblower Improvement Act of 2011. HR 3630 - Middle Class Tax Relief and Job Creation Act of 2011 - provisions dealing with social security data standards. S 3600 - Data Act. HR 4631 - GSA Act of 2012, HR 3659 - Welfare Integrity and Data Improvement Act - provisions dealing with social security data standards. HR 3433 - GRANT Act - website reporting sections and single audit sections. HR 2056 - Provisions relating to accounting treatment (c)(2)(c) and section 3(a)(2). S 1962 and HR 2941 - Start-up Expansion and Investment Act. HR 1723 - Common Sense Economic Recovery Act - provisions relating to non-accrual loans. HR 1697 - Communities First Act. HR 1070 - Small Company Capital Formation - provisions on yearly audits. S 1866 and HR 3476 - AGREE Act - provisions on audits. HR 3655 - Small Business Access to Capital Act of 2011 - provisions dealing with government conferences. HR 4631 - provisions dealing with government conferences. S 1907/HR 3505 - dealing with PCAOB disciplinary hearings.

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

Government targets: Agriculture, Dept of (USDA), Financial Crimes Enforcement Network (FinCEN), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of

Dodd Frank Act implentation (Section 913, 914, 922, 929Y, 929Z, 982); HR 2146/S 1222 - Data Act of 2011 - provisions dealing with data standards; HR 2483 - Whistleblower Improvement Act of 2011; HR 2827/S 3620 - provisions dealing with exemption for municipal advisors; S 1483 - Incorporation Transparency and Law Enforcement Assistance Act - provisions dealing with public disclosure of beneficial owners of private companies; HR 2056 - To instruct the Inspector General of FDIC to study the impact of insured depository institutions failures - regulatory captal provisions

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

Government targets: Agriculture, Dept of (USDA), Financial Crimes Enforcement Network (FinCEN), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of

Monitor Dodd Frank Act implementation. H.R. 2483, Whistleblower Improvement Act of 2011.

Client expense: Not reported · Firm income: $80,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Fiduciary Duty S. 1615 - Financial Regulatory Responsibility Act S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act S. 3416 - A bill to enhance civil penalties under the Federal securities laws, and for other purposes. S. 3620 - A bill to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes. H.R. 2483 - Whistleblower Improvement Act H. R. 2308 - SEC Regulatory Accountability Act H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes H.R. 4624 - Investment Adviser Oversight Act of 2012 H.R. 5050 - Social Networking Online Protection Act H.R. 757 - Equitable Treatment of Investors Act H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act H.R. 6204 - Investment Adviser Examination Improvement Act of 2012

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

Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)

OTC Derivatives and Financial Regulatory Reform and CFTC SEC Proposed Regulations (H.R.1573, H.R.2682, H.R.1610, H.R.1062, H.R.2483, H.R.3527).

Client expense: $200,000 · Firm income: Not reported

Government targets: Environmental Protection Agency (EPA), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, SENATE

Dodd Frank Act implementation. HR 2483 - Whistleblower Improvement Act of 2011. HR 2827, S.3620 - provisions dealing with exemption from defination of municipal advisors.

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

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

HR 2483: Whistleblower Improvement Act -- Internal reporting requirements - Support

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

Government targets: Commerce, Dept of (DOC), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, State, Dept of (DOS)

Public Law 111-203 - Dodd Frank Act (Rulemakings and Implementation) H.R. 31 - Fannie Mae and Fredie Mac Accountability and Transparency for Taxpayers Act H.R. - The Security in Bonding Act Public Law 112-106 - Jumpstart Our Business Startups Act (Rulemaking and Implementation) H.R. 2306 - SEC Regulatory Accountability Act H.R. 1838 - To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act that disadvantages U.S. financial institutions by forcing them to move their swap desks to a separately registrered and capitalized entity. H.R. 3871 - Proprietary Information Protection Act of 2012 H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 5860 - Executive Compensation Clawback Full Enforcement Act Public Law 112-105 - Stop Trading on Congressional Knowledge Act (The STOCK Act)

Client expense: $768,022 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

H.R. 4624, INVESTMENT OVERSIGHT ACT OF 2012, OPPOSED LEGISLATION THAT WOULD DELEGATE GOVERNMENTAL AUTHORITY FOR OVERSIGHT OF INVESTMENT ADVISORS TO ONE OR MORE SELF-REGULATORY ORGANIZATION (SROs) H.R. 2483, WHISTLEBLOWER IMPROVEMENT ACT OF 2011, OPPOSEDREP. GRIMMS BILL THAT WOULD EVISCERATE THE SECS WHISTLEBLOWER PROGRAM (PASSED BY BY THE HOUSE FSCS SUBCOMMITTEE ON CAPITAL MARKETS 12/14/11) H.R. 6204, INVESTMENT ADVISER EXAMINATION IMPROVEMENT ACT OF 2012, OPPOSED EXPANDING SELF REGULATION OF INVESTMENT ADVISORS AND SUPPORTING OVERSIGHT BY THE SEC

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

Government targets: Centers For Disease Control & Prevention (CDC), Defense, Dept of (DOD), Energy, Dept of, Executive Office of the President (EOP), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Natl Aeronautics & Space Administration (NASA), Natl Archives & Records Administration (NARA), Office of Government Ethics (OGE), Office of Management & Budget (OMB), SENATE

H.R. 3606, the JOBS Act H.R. 1315, the Consumer Financial Protection Safety and Soundness Improvement Act S.489, the Preserving Homes and Communities Act of 2011 S.824, the Foreclosure Fraud and Homeowner Abuse Prevention Act of 2011 H.R. 2483, Whistleblower Improvement Act of 2011 H.R. 2682, Business Mitigation and Price Stabilization Act of 2011 H.R. 2586, Swap Execution Facility Clarification Act H.R. 2779, To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act S. 3085, S. 3522, Responsible Homeowner Refinancing Act S. 3047, Expanding Refinancing Opportunities Act S. 2909, Rebuilding Equity Act H.R. 6020/S. 3301, Financial Services and General Government Appropriations Act, 2013 H.R. 1909, Federal Financial Services and Credit Companies Charter Act of 2011 S. 3246, the Stopping Abuse and Fraud in Electronic (SAFE) Lending Act

Client expense: $174,866 · Firm income: Not reported

Government targets: Education, Dept of, Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), SENATE, Transportation, Dept of (DOT), Treasury, Dept of, Vice President of the U.S., White House Office

Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203). H.R. 1315, Consumer Financial Protection Safety and Soundness Improvement Act of 2011(entire bill) H.R. 1539, The Asset-Backed Market Stabilization Act of 2011(entire bill) H.R. 1573, To Facilitate Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Promote Regulatory Coordination, and Avoid Market Disruption (entire bill) H.R. 1610, The Business Risk Mitigation and Price Stabilization Act of 2011(entire bill) H.R. 1667, Bureau of Consumer Financial Protection Transfer Clarification Act (entire bill) H.R. 1838, To Repeal a Provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act Prohibiting Any Federal Bailout of Swap Dealers or Participants (entire bill) H.R. 2191, The Home Inspection Act of 2011(entire bill) H.R. 2328, To Require the Chairman of the Commodity Futures Trading Commission to Impose Unilaterally Position Limits and Margin Requirements to Eliminate Excessive Oil Speculation (entire bill) H.AMDT.465 to H.R.2112, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2012 (entire bill) S.799, Commercial Privacy Bill of Rights Act of 2011(entire bill) H.R.2483, Whistleblower Improvement Act of 2011 (entire bill) H.R.3559, Insurance Data Protection Act (entire bill) Draft legislation to exclude insurance companies from the Federal Reserve System's Leverage Capital Requirements and Accounting Standards. Draft legislation to exclude insurance companies from FDIC's orderly liquidation authority.

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

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

H.R. 363 (Housing Opportunity and Mortgage Equity Act of 2011); H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011); H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011); H.R. 653 (Financial Information Privacy Act of 2011); H.R. 757 (Equitable Treatment of Investors Act); H.R. 836 (Emergency Mortgage Relief Program Termination Act); H.R. 1053 (stock quote decimalization); H.R. 1062 (Burdensome Data Collection Relief Act); H.R. 1070 (Small Company Capital Formation Act of 2011); H.R. 1082 (Small Business Capital Access and Job Preservation Act); H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011); H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011); H.R. 1341 (A bill to provide a point of order against consideration of any measure that would increase the statutory limit on the public debt above $14.294 trillion unless that measure has been publicly available for a full 7 calendar days before consideration on the floor of the Senate); H.R. 1438 (Regulation Moratorium and Jobs Preservation Act of 2011); H.R. 1532 (A bill to amend the Budget Control Act of 2011 to require the joint select committee of Congress to report findings and propose legislation to restore the Nation's workforce to full employment over the period of fiscal years 2012 and 2013); H.R. 1535 (Personal Data Protection and Breach Accountability Act of 2011); H.R. 1539 (Asset-Backed Market Stabilization Act of 2011); H.R. 1544 (Small Company Capital Formation Act of 2011); H.R. 1550 (National Infrastructure Bank Act of 2011); H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011); H.R. 1838 (To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants); H.R. 1840 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.); H.R. 2167 (Private Company Flexibility Act); H.R. 2308 (SEC Regulatory Accountability Act); H.R. 2313 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); H.R. 2413 (Secondary Market Facility for Residential Mortgages Act of 2011); H.R. 2483 (Whistleblower Improvement Act); H.R. 2517 (Shareholder Protection Act of 2011); H.R. 2586 (Swap Execution Facility Clarification Act); H.R. 2603 (Maintaining Agency Direction on Financial Fraud Act); H.R. 2612 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal the authority of the Bureau of Consumer Financial Protection to prohibit certain acts or practices); H.R. 2651 (To require that the United States Government prioritize all obligations on the debt held by the public, Social Security benefits, and military pay in the event that the debt limit is reached, and for other purposes); H.R. 2682 (Business Risk Mitigation and Price Stabilization Act); H.R. 2779 (To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act); H.R. 2827 (To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes); H.R. 2855 (Emergency Jobs Now Act); H.R. 2930 (Entrepreneur Access to Capital Act); H.R. 2931 (Full Faith and Credit Act); H.R. 2940 (Access to Capital for Job Creators Act); H.R. 2964 (Unfunded Mandates Accountability Act); H.R. 3010 (Regulatory Accountability Act of 2011); H.R. 3078 (United States-Colombia Trade Promotion Agreement Implementation Act); H.R. 3079 (United States-Panama Trade Promotion Agreement Implementation Act); H.R. 3080 (United States-Korea Free Trade Agreement Implementation Act); H.R. 3084 (Mortgage Credit Availability Act of 2011); H.R. 3128 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of exempting smaller institutions from capital deductions); H.R. 3213 (Small Company Job Growth and Regulatory Relief Act of 2011); H.R. 3283 (Swap Jurisdiction Certainty Act); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 3318 (Growing Jobs Through Capital Act of 2011); H.R. 3336 (Small Business Credit Availability Act); H.R. 3527 (Protecting Main Street End-Users From Excessive Regulation); H.R. 3530 (Freddie Mac Debt Reduction Act of 2011); H.R. 3606 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); H.R. 3635 (Investing in America's Small Businesses Act of 2011); H.R. 3644 (Private Mortgage Market Investment Act); H.R. 3655 (Small Business Access to Capital Act of 2011); H.R. 3665 (Wall Street Accountability through Sustainable Funding Act); H.R. 3733 (Affordable Mortgage for Homeowners Act of 2011); H.R. 3871 (Proprietary Information Protection Act of 2012); H.R. 4088 (Capital Expansion Act); H.R. 4235 (To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts.); H.R. 4624 (Investment Advisor Oversight Act of 2012); H.R. 6397 (Defending American Taxpayers from Abusive Government Takings Act of 2012); H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.); S. 23 (Patent Reform Act of 2011); S. 556 (A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1276 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); S. 1544 (Small Company Capital Formation Act of 2011); S. 1619 (The Currency Exchange Act); S. 1641 (A Bill to Implement the U.S.-Colombia Trade Promotion Agreement); S. 1642 (A Bill to Implement the U.S.-Korea Trade Promotion Agreement); S. 1643 (A Bill to Implement the U.S.-Panama Trade Promotion Agreement); S. 1650 (Dodd-Frank Improvement Act of 2011); S. 1787 (Wall Street Trading and Speculators Tax Act); S. 1791 (Democratizing Access to Capital Act of 2011); S. 1824 (Private Company Flexibility and Growth Act); S. 1831 (Access to Capital for Job Creators Act); S. 1835 (United States Covered Bond Act); S. 1907 (PCAOB Enforcement Transparency Act of 2011); S. 1933 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); S. 1941 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1962 (Startup Expansion and Investment Act); S. 1963 (Mortgage Finance Act of 2011); S. 1970 (CROWDFUND Act); S. 1975 (No More IMF Bailouts Act); S. 1997 (FHA Bailout Protection Act of 2011); S. 2033 (Closing the Derivatives Blended Rate Loophole Act); S. 2038 (STOCK Act); S. 2055 (A bill to amend the Federal Deposit Insurance Act with respect to the protection of certain information.); S. 2102 (Cybersecurity Information Sharing Act of 2012); S. 2105 (Cybersecurity Act of 2012); S. 3414 (A bill to enhance the security and resiliency of the cyber and communications infrastructure of the United States.); S. 3620 (A bill to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes.); S. Amdt. 1818 to S. 1813 (offshore tax havens); SR-NASDAQ-2012-005 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee); SR-NASDAQ-2012-042 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data); SR-NASDAQ-2012-044 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data); SR-NYSEArca-2011-96 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed); FINRA Rule 4560 (short interest reporting); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Recordkeeping under Exchange Act Rule 17a-4(b)(4); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Resolution Authority for Systemically Significant Financial Companies Act of 2009; China - strategic and economic dialogue; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Eminent domain; Russia Permanent Normal Trade Relations; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues, Response to Royal Bank of India discussion; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20; Amendments to the 2012 Indian Finance Bill; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds; Cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Tri-party repo; Computerized trading; Market Data Exchange Act Section 19 (and related rules).

Client expense: $1,530,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Ginnie Mae, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

General issues related to accounting, auditing, investor protection and corporate governance; Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 implementation (Sections 922 and Title IX); HR 1070, Small Company Capital Formation Act of 2011 (Sec 2 and issues related to expansion of exemptions for certain securities) ; HR 1439, Business Activity Tax Simplification Act of 2011 (issues related to tax on services); HR 1697, Communities First Act (Sec. 102, 104 and 105 dealing with exemptions from compliance with provisions of the Sarbanes Oxley Act and accounting principles); HR 1864 / S. 3485, the Mobile Workforce State Income Tax Simplification Act of 2011 (issues related to taxation of partners and staff by states); HR 2483, Whistleblower Improvement Act of 2011 (issues related to internal reporting process and requirements for whistleblowers); HR 2941/S 1962, Startup Expansion and Investment Act (issues related to preserving investor protections contained in the Sarbanes Oxley Act); HR 2167/S 1824, Private Company Flexibility & Growth Act (issues related to company registration with SEC); HR 2930/S. 1791, Entrepreneur Access to Capital Act (issues related to auditing and accounting); HR 3213, To amend the Sarbanes-Oxley Act of 2002 to provide additional exemptions from the internal control auditing requirements for smaller and newer public companies (issues related to auditing and accounting, auditor independence, objectivity and skepticism); HR 3476 /S. 1866, AGREE Act (issues related to preserving investor protections contained in the Sarbanes Oxley Act); HR 3606 / S. 1993, Reopening American Capital Markets to Emerging Growth companies Act of 2011 (issues related to auditing and accounting); HR 3503/S. 1907, PCAOB Enforcement Act of 2011 (issues related to PCAOB disciplinary proceedings); HR 3655, Small Business Access to Capital Act of 2011 (issues related to preserving investor protections contained in the Sarbanes Oxley Act); HR 6161, Fostering Innovation Act (issues related to preserving investor protections contained in the Sarbanes Oxley Act); S. 1965, Startup Act of 2011 (issues related to cost/benefit analysis of federal or independent agency rules); lease accounting revisions by Financial Accounting Standards Board; and general issues related to Sarbanes-Oxley Act of 2002.

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

Government targets: Commerce, Dept of (DOC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Issues pertaining to the False Claims Act, particularly H.R. 2483, Whistleblower Improvement Act of 2011, and the Wall Street Reform and Consumer Protection Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 363 (Housing Opportunity and Mortgage Equity Act of 2011); H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011); H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011); H.R. 653 (Financial Information Privacy Act of 2011); H.R. 757 (Equitable Treatment of Investors Act); H.R. 836 (Emergency Mortgage Relief Program Termination Act); H.R. 1062 (Burdensome Data Collection Relief Act); H.R. 1070 (Small Company Capital Formation Act of 2011); H.R. 1082 (Small Business Capital Access and Job Preservation Act); H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011); H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011); H.R. 1341 (A bill to provide a point of order against consideration of any measure that would increase the statutory limit on the public debt above $14.294 trillion unless that measure has been publicly available for a full 7 calendar days before consideration on the floor of the Senate); H.R. 1438 (Regulation Moratorium and Jobs Preservation Act of 2011); H.R. 1532 (A bill to amend the Budget Control Act of 2011 to require the joint select committee of Congress to report findings and propose legislation to restore the Nation's workforce to full employment over the period of fiscal years 2012 and 2013); H.R. 1535 (Personal Data Protection and Breach Accountability Act of 2011); H.R. 1539 (Asset-Backed Market Stabilization Act of 2011); H.R. 1544 (Small Company Capital Formation Act of 2011); H.R. 1550 (National Infrastructure Bank Act of 2011); H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011); H.R. 1838 (To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants); H.R. 1840 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.); H.R. 2167 (Private Company Flexibility Act); H.R. 2308 (SEC Regulatory Accountability Act); H.R. 2313 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); H.R. 2413 (Secondary Market Facility for Residential Mortgages Act of 2011); H.R. 2483 (Whistleblower Improvement Act); H.R. 2517 (Shareholder Protection Act of 2011); H.R. 2586 (Swap Execution Facility Clarification Act); H.R. 2603 (Maintaining Agency Direction on Financial Fraud Act); H.R. 2612 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal the authority of the Bureau of Consumer Financial Protection to prohibit certain acts or practices); H.R. 2651 (To require that the United States Government prioritize all obligations on the debt held by the public, Social Security benefits, and military pay in the event that the debt limit is reached, and for other purposes); H.R. 2682 (Business Risk Mitigation and Price Stabilization Act); H.R. 2779 (To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act); H.R. 2827 (To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes); H.R. 2855 (Emergency Jobs Now Act); H.R. 2930 (Entrepreneur Access to Capital Act); H.R. 2931 (Full Faith and Credit Act); H.R. 2940 (Access to Capital for Job Creators Act); H.R. 2964 (Unfunded Mandates Accountability Act); H.R. 3010 (Regulatory Accountability Act of 2011); H.R. 3078 (United States-Colombia Trade Promotion Agreement Implementation Act); H.R. 3079 (United States-Panama Trade Promotion Agreement Implementation Act); H.R. 3080 (United States-Korea Free Trade Agreement Implementation Act); H.R. 3084 (Mortgage Credit Availability Act of 2011); H.R. 3128 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of exempting smaller institutions from capital deductions); H.R. 3213 (Small Company Job Growth and Regulatory Relief Act of 2011); H.R. 3283 (Swap Jurisdiction Certainty Act); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 3318 (Growing Jobs Through Capital Act of 2011); H.R. 3336 (Small Business Credit Availability Act); H.R. 3527 (Protecting Main Street End-Users From Excessive Regulation); H.R. 3530 (Freddie Mac Debt Reduction Act of 2011); H.R. 3606 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); H.R. 3635 (Investing in America's Small Businesses Act of 2011); H.R. 3644 (Private Mortgage Market Investment Act); H.R. 3655 (Small Business Access to Capital Act of 2011); H.R. 3665 (Wall Street Accountability through Sustainable Funding Act); H.R. 3733 (Affordable Mortgage for Homeowners Act of 2011); H.R. 3871 (Proprietary Information Protection Act of 2012); H.R. 4088 (Capital Expansion Act); H.R. 4235 (To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts.); H.R. 4624 (Investment Advisor Oversight Act of 2012); H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.); S. 23 (Patent Reform Act of 2011); S. 556 (A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1276 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); S. 1544 (Small Company Capital Formation Act of 2011); S. 1619 (The Currency Exchange Act); S. 1641 (A Bill to Implement the U.S.-Colombia Trade Promotion Agreement); S. 1642 (A Bill to Implement the U.S.-Korea Trade Promotion Agreement); S. 1643 (A Bill to Implement the U.S.-Panama Trade Promotion Agreement); S. 1650 (Dodd-Frank Improvement Act of 2011); S. 1787 (Wall Street Trading and Speculators Tax Act); S. 1791 (Democratizing Access to Capital Act of 2011); S. 1824 (Private Company Flexibility and Growth Act); S. 1831 (Access to Capital for Job Creators Act); S. 1835 (United States Covered Bond Act); S. 1907 (PCAOB Enforcement Transparency Act of 2011); S. 1933 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); S. 1941 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1962 (Startup Expansion and Investment Act); S. 1963 (Mortgage Finance Act of 2011); S. 1970 (CROWDFUND Act); S. 1975 (No More IMF Bailouts Act); S. 1997 (FHA Bailout Protection Act of 2011); S. 2033 (Closing the Derivatives Blended Rate Loophole Act); S. 2038 (STOCK Act); S. 2055 (A bill to amend the Federal Deposit Insurance Act with respect to the protection of certain information.); S. Amdt. 1818 to S. 1813 (offshore tax havens); SR-NASDAQ-2012-005 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee); SR-NASDAQ-2012-042 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data); SR-NASDAQ-2012-044 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data); SR-NYSEArca-2011-96 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed); FINRA Rule 4560 (short interest reporting); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Recordkeeping under Exchange Act Rule 17a-4(b)(4); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Resolution Authority for Systemically Significant Financial Companies Act of 2009; China - strategic and economic dialogue; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Eminent domain; Russia Permanent Normal Trade Relations; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues, Response to Royal Bank of India discussion; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20; Amendments to the 2012 Indian Finance Bill; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds.

Client expense: $1,380,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Fiduciary Duty S. 1615 - Financial Regulatory Responsibility Act S. 1787 & H.R. 3313 - Wall Street Trading and Speculators Tax Act H.R. 2483 - Whistleblower Improvement Act H. R. 2308 - SEC Regulatory Accountability Act H.R.2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes H.R. 4624 - Investment Adviser Oversight Act of 2012 H.R. 5050 - Social Networking Online Protection Act H.R. 757 - Equitable Treatment of Investors Act H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act H.R. 6204 - Investment Adviser Examination Improvement Act of 2012

Client expense: $110,000 · Firm income: Not reported

Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)

Issues relating to the Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111-203). H.R. 2483, the Whistleblower Improvement Act of 2011.

Client expense: Not reported · Firm income: $75,000

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

H.R. 2483 - Whistleblower Improvement Act of 2011 - To amend the whistleblower incentive and protection provisions of the Securities Exchange Act of 1934 and the Commodity Exchange Act, issues regarding whistleblower protections; S. 1615 - Financial Regulatory Responsibility Act of 2011, issues regarding the implementation of regulation; H.R. 2308 - SEC Regulatory Accountability Act, issues regarding the implementation of regulation. H.R. 4078, Red Tape Reduction and Small Business Job Creation Act, issues regarding the implementation of regulation; H.R. 2827 / S. 3620, To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes, issues regarding the implementation of regulation.

Client expense: $470,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Dodd Frank Act implentation (Section 913, 914, 922, 929Y, 929Z, 982); HR 2146/S 1222 - Data Act of 2011 - provisions dealing with data standards; HR 2483 - Whistleblower Improvement Act of 2011; HR 2827/S 3620 - provisions dealing with exemption for municiple advisors; S 1483 - Incorporation Transparancy and Law Enforcement Assistance Act - provisions dealing with public disclosure of beneficial owners of private companies; HR 2056 - To instruct the Inspector general of FDIC to study the impact of insured depository institutions failures - regulatory capital provisions

Client expense: $1,010,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Financial Crimes Enforcement Network (FinCEN), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of

Dodd Frank Act implementation (Sections 913, 914, 922, 929Y, 929Z, 982); HR 2146/S 1222-Data Act of 2011 - provisions dealing with data standards; HR 2943 - Short Term TANF Extension Act; HR 3339 Standard DATA Act - provisions dealing with data standards. HR 3213 - Small Company Job Growth Regulatory Relief Act of 2011. HR 2483 - Whistleblower Improvement Act of 2011. HR 3630 - Middle Class Tax Relief and Job Creation Act of 2011 - provisions dealing with social security data standards. S. 3600 - Data Act. HR 4631 - GSA Act of 2012. HR 3659 - Welfare Integrity and Data Improvement Act - provisions dealing with social security data standards. HR 3433 - GRANT Act - website reporting sections and single audit sections. HR 2056 - Provisions relating to accounting treatment (c)(2)(c) and section 3(a)(2). S 1962 and HR 2941 - Start-up Expansion and Investment Act. HR 1723 - Common Sense Economic Recovery Act - provisions relating to non-accrual loans. HR 1697 - Communities First Act. HR 1070 - Small Company Capital Formation - provisions on yearly audits. S 1866 and HR 3476 - AGREE Act - provisions on audits. HR 3655 - Small Business Access to Capital Act of 2011 - provisions on audits. SA 936 to HR 2354 - provisions on audits. S 1965 - Startup Act of 2011 - GAO study on audit costs. S 1962 - Startup Expansion and Investment Act - provisions on audits. Data Act, HR 2146 - provisions dealing with government conferences. HR 4631 - provisions dealing with government conferences. S 1907/HR 3505 - dealing with PCAOB disciplinary hearings.

Client expense: $1,010,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Financial Crimes Enforcement Network (FinCEN), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Treasury, Dept of

S. 1650 Dodd-Frank Improvement Act of 2011 S. 1835 United States Covered Bond Act S. 2223 Delay Implementation Date of Volcker Rule Provisions S. 3468 Independent Agency Regulatory Analysis Act of 2012 S. 1615 - Financial Regulatory Responsiblity Act S. 1834 - Residential Mortgage Market Privatization and Standardization Act of 2011 S. 3497 - Terminating the Expansion of Too-Big-To-Fail Act of 2012 S. 3620 - Regulation of Municipal Advisors H.R. 940 - United States Covered Bond Act of 2011 H.R. 1182 - GSE Bailout Elimination and Taxpayer Protection Act H.R. 1539 - Asset-Backed Market Stabilization Act of 2011 H.R. 1573 - Delay Implemenation of Title VII of Dodd-Frank Act H.R. 1838 - Repeal DFA provision prohibitng assistance to swap dealers or participants H.R. 1840 - Consideration by the CFTC of the costs and benefits of its regulations H.R. 1859 - Housing Finance Reform Act of 2011 H.R. 2308 - SEC Regulatory Accountability Act H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 2586 - Swap Execution Facility Clarification Act H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011 H.R. 2779 - To Exempt inter-affiliate swaps from Dodd-Frank Act H.R. 2827 - Regulation of Municipal Advisors H.R. 3606 - JOBS Act H.R. 3644 - Private Mortgage Market Investment Act H.R. 3862 - Sunshine for Regulatory Decrees and Settlements Act of 2012 H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act H.R. 4624 - Investment Adviser Oversight Act H.R. 5929 - Next Steps for Credit Availability Act H.R. 6127 - Liquidity Enhancement for Small Public Companies Act H.R. 6317 - Terminating the Expansion of Too-Big-To-Fail Act of 2012 CFTC Rule 4.5 Money Market Mutual Funds SIFIs Volcker Rule Use of Commodities by Mutual Funds Exchange-Traded Funds Market Structure Extension of unlimited deposit insurance for noninterest-bearing transaction accounts Mandatory Audit Firm Rotation Tri-Party Repo Market Mortgage Eminent Domain Non-Deliverable Forwards Transaction Account Gaurantee (TAG) Extension

Client expense: $1,556,769 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

H.R. 1873 - Arbitration Fairness Act S. 987 - Arbitration Fairness Act S. 1186 - Arbitration Fairness Act Asbestos Related Legislation Bankruptcy Transparency Issues S. 223 - FAA Air Transportation Modernization and Safety Improvement Act H.R. 658 - FAA Reauthorization Act Low Income Tax Recapture Bonds Climate Change/Global Warming Natural Catastrophe legislation Coast Wind Zone Proposal Credit Scoring and the Use of Credit as Underwriting Tool H.R. 769 - Fair Access to Credit Scores Act of 2011 H.R. 1062 - The Burdensome Data Collection Relief Act Insurance issues relating to the authority of the Financial Stability Oversight Council Insurance issues relating to the Office of Financial Research Issues relating to Financial Services Systemic Risk Proposals Insurance issues relating to Federal Resolution Authority Issues relating to the Federal Insurance Office Insurance issues relating to liquidation authority for systemically important financial institutions and the plans for US and global regulators for higher capital requirements for financial institutions. SEC issues related to the implementation of the Dodd-Frank Act H.R. 1039 - Flood Insurance Reform Act of 2011 H.R. 435 - National Flood Insurance Program Termination Act of 2010 H.R. 1026 - Flood Insurance Reform Priorities Act of 2011 (Waters) S. 1940 - Flood Insurance Reform and Modernization Act of 2011 Medical Liability Reform Medicare Secondary Payer and Workers' Compensation Settlement Agreements S. 533 - Lawsuit Abuse Reduction Act H.R. 966 - Lawsuit Abuse Reduction Act McCarran-Ferguson Reform and Modernization H.R. 5 - Health Act, H.R. 1150 - Competitive Health Insurance Reform Act of 2011 S. 528 - Safe Teen and Novice Driver Uniform Protection Act Oil Spill Liability Issues H.R. 2483 - The Whistleblower Improvement Act S. 669 - Longshore and Harbor Workers' Compensation Act Amendments of 2011 H.R. 1249 - America Invents Act S. 23 - America Invents Act H.R. 1965 - To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. S. 556 - A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. H.R. 940 - United States Covered Bond Act of 2011 State bankruptcy issues S. 251 - A bill to prohibit the provision of Federal funds to State and local governments for the payment of obligations, to prohibit the Federal Reserve System from financially assisting state and local governments, and for other purposes. Bank Tax Issues H.R. 623 - National Commission on State Workers' Compensation Laws Act of 2011 H.R. 1063 - SMART Act

Client expense: $860,000 · Firm income: Not reported

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

Monitor Dodd Frank Act implementation. H.R. 2483, Whistleblower Improvement Act of 2011.

Client expense: Not reported · Firm income: $80,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

OTC Derivatives and Financial Regulatory Reform and CFTC SEC Proposed Regulations (H.R.1573, H.R.2682, H.R.1610, H.R.1062, H.R.2483, H.R.3527).

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

Government targets: Environmental Protection Agency (EPA), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, SENATE

Dodd Frank Act implementation. HR 2483 - Whistleblower Improvement Act of 2011. HR 2827, S.3620 - provisions dealing with exemption from defination of municipal advisors.

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

Government targets: Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC)

H.R. 4624, INVESTMENT OVERSIGHT ACT OF 2012, OPPOSING LEGISLATION THAT WOULD DELEGATE GOVERNMENTAL AUTHORITY FOR OVERSIGHT OF INVESTMENT ADVISORS TO ONE OR MORE SELF-REGULATORY ORGANIZATION (SROs) H.R. 2483, WHISTLEBLOWER IMPROVEMENT ACT OF 2011, OPPOSING REP. GRIMMS BILL THAT WOULD EVISCERATE THE SECS WHISTLEBLOWER PROGRAM

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

Government targets: Centers For Disease Control & Prevention (CDC), Executive Office of the President (EOP), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Natl Aeronautics & Space Administration (NASA), Natl Archives & Records Administration (NARA), Office of Government Ethics (OGE), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), Office of Special Counsel, SENATE

Public Law 111-203 - Dodd Frank Act (Rulemakings and Implementation) H.R. 31 - Fannie Mae and Freddie Mac Accountability and Transparency for Taxpayers Act H.R. 3534 - The Security in Bonding Act H.R. 3606 - Jumpstart Our Business Startups Act H.R. 2306 - SEC Regulatory Accountability Act H.R. 1838 - To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act that disadvantages U.S. financial institutions by forcing them to move their swap desks to a separately registered and capitalized entity. H.R. 3871 - Proprietary Information Protection Act of 2012 H.R. 2483 - Whistleblower Improvement Act of 2011 H.R. 5860 - Executive Compensation Clawback Full Enforcement Act Public Law 112-105 - Stop Trading on Congressional Knowledge Act (The STOCK Act)

Client expense: $491,523 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 3606, the JOBS Act H.R. 1315, the Consumer Financial Protection Safety and Soundness Improvement Act S.489, the Preserving Homes and Communities Act of 2011 S.824, the Foreclosure Fraud and Homeowner Abuse Prevention Act of 2011 H.R. 2483, Whistleblower Improvement Act of 2011 H.R. 2682, Business Mitigation and Price Stabilization Act of 2011 H.R. 2586, Swap Execution Facility Clarification Act H.R. 2779, To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act S. 3085, Responsible Homeowner Refinancing Act S. 3047, Expanding Refinancing Opportunities Act S. 2909, Rebuilding Equity Act H.R. 6020/S. 3301, Financial Services and General Government Appropriations Act, 2013 H.R. 1909, Federal Financial Services and Credit Companies Charter Act of 2011

Client expense: $269,357 · Firm income: Not reported

Government targets: Education, Dept of, Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Justice, Dept of (DOJ), SENATE, Transportation, Dept of (DOT), Treasury, Dept of, Vice President of the U.S., White House Office

Issues relating to the Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111-203). H.R. 2483, the Whistleblower Improvement Act of 2011. H.R. 3606, Jumpstart Our Business Startups (JOBS) Act.

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

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

Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203). H.R. 1315, Consumer Financial Protection Safety and Soundness Improvement Act of 2011(entire bill) H.R. 1539, The Asset-Backed Market Stabilization Act of 2011(entire bill) H.R. 1573, To Facilitate Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Promote Regulatory Coordination, and Avoid Market Disruption (entire bill) H.R. 1610, The Business Risk Mitigation and Price Stabilization Act of 2011(entire bill) H.R. 1667, Bureau of Consumer Financial Protection Transfer Clarification Act (entire bill) H.R. 1838, To Repeal a Provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act Prohibiting Any Federal Bailout of Swap Dealers or Participants (entire bill) H.R. 2191, The Home Inspection Act of 2011(entire bill) H.R. 2328, To Require the Chairman of the Commodity Futures Trading Commission to Impose Unilaterally Position Limits and Margin Requirements to Eliminate Excessive Oil Speculation (entire bill) H.AMDT.465 to H.R.2112, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2012 (entire bill) S.799, Commercial Privacy Bill of Rights Act of 2011(entire bill) H.R.2483, Whistleblower Improvement Act of 2011 (entire bill) H.R.3559, Insurance Data Protection Act (entire bill) Draft legislation to exclude insurance companies from the Federal Reserve System's Leverage Capital Requirements and Accounting Standards. Draft legislation to exclude insurance companies from FDIC's orderly liquidation authority.

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

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

Monitor Dodd Frank Act implementation. H.R. 2483, Whistleblower Improvement Act of 2011.

Client expense: Not reported · Firm income: $80,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

General issues related to accounting, auditing, investor protection and corporate governance; Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 implementation (Sections 922 and 929Z); HR 1070, Small Company Capital Formation Act of 2011; HR 1439, Business Activity Tax Simplification Act of 2011; HR 1697, Communities First Act; HR 1864, the Mobile Workforce State Income Tax Simplification Act of 2011; HR 2483, Whistleblower Improvement Act of 2011; HR 2941/S 1962, Startup Expansion and Investment Act; HR 2167/S 1824, Private Company Flexibility & Growth Act; HR 2930/S. 1791, Entreprenuer Access to Capital Act; HR 3213, To amend the Sarbanes-Oxley Act of 2002 to provide additional exemptions from the internal control auditing requirements for smaller and newer public companies; HR 3476 /S. 1866, AGREE Act; HR 3606 / S. 1993, Reopening American Capital Markets to Emerging Growth companies Act of 2011; HR 3503/S. 1907, PCAOB Enforcement Act of 2011; HR 3655,Small Business Access to Capital Act of 2011; S. 1965, Startup Act of 2011; lease accounting revisions by Financial Accounting Standards Board; and general issues related to Sarbanes-Oxley Act of 2002.

Client expense: $580,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

H.R. 363 (Housing Opportunity and Mortgage Equity Act of 2011); H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011); H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011); H.R. 653 (Financial Information Privacy Act of 2011); H.R. 757 (Equitable Treatment of Investors Act); H.R. 836 (Emergency Mortgage Relief Program Termination Act); H.R. 1062 (Burdensome Data Collection Relief Act); H.R. 1070 (Small Company Capital Formation Act of 2011); H.R. 1082 (Small Business Capital Access and Job Preservation Act); H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011); H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011); H.R. 1341 (A bill to provide a point of order against consideration of any measure that would increase the statutory limit on the public debt above $14.294 trillion unless that measure has been publicly available for a full 7 calendar days before consideration on the floor of the Senate); H.R. 1438 (Regulation Moratorium and Jobs Preservation Act of 2011); H.R. 1532 (A bill to amend the Budget Control Act of 2011 to require the joint select committee of Congress to report findings and propose legislation to restore the Nation's workforce to full employment over the period of fiscal years 2012 and 2013); H.R. 1535 (Personal Data Protection and Breach Accountability Act of 2011); H.R. 1539 (Asset-Backed Market Stabilization Act of 2011); H.R. 1544 (Small Company Capital Formation Act of 2011); H.R. 1550 (National Infrastructure Bank Act of 2011); H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption); H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011); H.R. 1838 (To repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants); H.R. 1840 (To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders); H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.); H.R. 2167 (Private Company Flexibility Act); H.R. 2308 (SEC Regulatory Accountability Act); H.R. 2313 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); H.R. 2413 (Secondary Market Facility for Residential Mortgages Act of 2011); H.R. 2483 (Whistleblower Improvement Act); H.R. 2517 (Shareholder Protection Act of 2011); H.R. 2586 (Swap Execution Facility Clarification Act); H.R. 2603 (Maintaining Agency Direction on Financial Fraud Act); H.R. 2612 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to repeal the authority of the Bureau of Consumer Financial Protection to prohibit certain acts or practices); H.R. 2651 (To require that the United States Government prioritize all obligations on the debt held by the public, Social Security benefits, and military pay in the event that the debt limit is reached, and for other purposes); H.R. 2682 (Business Risk Mitigation and Price Stabilization Act); H.R. 2779 (To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act); H.R. 2827 (To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes); H.R. 2855 (Emergency Jobs Now Act); H.R. 2930 (Entrepreneur Access to Capital Act); H.R. 2931 (Full Faith and Credit Act); H.R. 2940 (Access to Capital for Job Creators Act); H.R. 2964 (Unfunded Mandates Accountability Act); H.R. 3010 (Regulatory Accountability Act of 2011); H.R. 3078 (United States-Colombia Trade Promotion Agreement Implementation Act); H.R. 3079 (United States-Panama Trade Promotion Agreement Implementation Act); H.R. 3080 (United States-Korea Free Trade Agreement Implementation Act); H.R. 3084 (Mortgage Credit Availability Act of 2011); H.R. 3128 (To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of exempting smaller institutions from capital deductions); H.R. 3213 (Small Company Job Growth and Regulatory Relief Act of 2011); H.R. 3283 (Swap Jurisdiction Certainty Act); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 3318 (Growing Jobs Through Capital Act of 2011); H.R. 3336 (Small Business Credit Availability Act); H.R. 3527 (Protecting Main Street End-Users From Excessive Regulation); H.R. 3530 (Freddie Mac Debt Reduction Act of 2011); H.R. 3606 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); H.R. 3635 (Investing in America's Small Businesses Act of 2011); H.R. 3644 (Private Mortgage Market Investment Act); H.R. 3655 (Small Business Access to Capital Act of 2011); H.R. 3665 (Wall Street Accountability through Sustainable Funding Act); H.R. 3733 (Affordable Mortgage for Homeowners Act of 2011); H.R. 3871 (Proprietary Information Protection Act of 2012); H.R. 4088 (Capital Expansion Act); H.R. 4235 (To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts.); H.R. 4624 (Investment Advisor Oversight Act of 2012); H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.); S. 23 (Patent Reform Act of 2011); S. 556 (A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1276 (To repeal the authority to provide certain loans to the International Monetary Fund, the increase in the United States quota to the Fund, and certain other related authorities, to rescind related appropriated amounts, and for other purposes); S. 1544 (Small Company Capital Formation Act of 2011); S. 1619 (The Currency Exchange Act); S. 1641 (A Bill to Implement the U.S.-Colombia Trade Promotion Agreement); S. 1642 (A Bill to Implement the U.S.-Korea Trade Promotion Agreement); S. 1643 (A Bill to Implement the U.S.-Panama Trade Promotion Agreement); S. 1650 (Dodd-Frank Improvement Act of 2011); S. 1787 (Wall Street Trading and Speculators Tax Act); S. 1791 (Democratizing Access to Capital Act of 2011); S. 1824 (Private Company Flexibility and Growth Act); S. 1831 (Access to Capital for Job Creators Act); S. 1835 (United States Covered Bond Act); S. 1907 (PCAOB Enforcement Transparency Act of 2011); S. 1933 (Reopening American Capital Markets to Emerging Growth Companies Act of 2011); S. 1941 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes); S. 1962 (Startup Expansion and Investment Act); S. 1963 (Mortgage Finance Act of 2011); S. 1970 (CROWDFUND Act); S. 1975 (No More IMF Bailouts Act); S. 1997 (FHA Bailout Protection Act of 2011); S. 2033 (Closing the Derivatives Blended Rate Loophole Act); S. 2038 (STOCK Act); S. 2055 (A bill to amend the Federal Deposit Insurance Act with respect to the protection of certain information.); S. Amdt. 1818 to S. 1813 (offshore tax havens); SR-NASDAQ-2012-005 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee); SR-NASDAQ-2012-042 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data); SR-NASDAQ-2012-044 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data); SR-NYSEArca-2011-96 (Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE Arca Integrated Data Feed); FINRA Rule 4560 (short interest reporting); EU data protection rules; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Recordkeeping under Exchange Act Rule 17a-4(b)(4); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941); Systemic Risk Regulation and liquidation authority; Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority); Resolution Authority for Systemically Significant Financial Companies Act of 2009; China - strategic and economic dialogue; Market Structure Issues (dark pools, flash quotes, high frequency trading); Transatlantic Economic Council (Trade Issues); Preservation of independent contractor status for financial services sector; Asian Pacific Economic Council Privacy Issues; Bilateral Investment Treaties, India; Eminent domain; Russia Permanent Normal Trade Relations; Transpacific Partnership; U.S./EU cross-border regulatory issues; India Market Access Issues, Response to Royal Bank of India discussion; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; EU Alternative Investment Fund Managers Proposal (AIFM); Basel Capital Rules; G-20; Amendments to the 2012 Indian Finance Bill; Regulatory Capital Requirements; Single Platform/Government Sponsored Enterprises; SEC Regulation AB2; Trust Indenture Act; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Financial Stability Board Outreach; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cyber security issues; Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; Tax-exemption for municipal bonds.

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

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)