Wall Street Trading and Speculators Tax Act

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. 8 (Tax Relief Unemployment Insurance Reauthorization and Job Creation Act)(legislation to extend various tax provisions); H.R. 11 (Build America Bonds to Create Jobs Now Act of 2011); H.R. 747 (Build America Bonds Extension Act of 2011); H.R. 992 (Building American Jobs Act of 2011)(infrastructure tax legislation); H.R. 1439 (Business Activity Tax Simplification Act of 2011); H.R. 2495 (Tax Equity and Middle Class Fairness Act of 2011); H.R. 2669 (Stop Tax Haven Abuse Act); H.R. 2860 (Deficit Committee Transparency Act); H.R. 2892 (Invest in America Act of 2011); H.R. 2911 (American Jobs Act of 2011); H.R. 2945 (Capital Gains Inflation Relief Act of 2011); H.R. 2989 (Real Estate Jobs and Investment Act of 2011); H.R. 3091 (To make permanent the individual income tax rates for capital gains and dividends); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 4348 (Highway Investment, Job Creation, and Economic Growth Act of 2012); H.R. 6616 (To protect securities transactions in the United States from enforcement of certain excise taxes imposed by any foreign government, and for other purposes); S. 727 (Bipartisan Tax Fairness and Simplification Act of 2011); S. 1346 (Stop Tax Haven Abuse Act); S. 1375 (Ending Excessive Corporate Deductions for Stock Options Act); S. 1647 (To repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gain rates); S. 1787 (Wall Street Trading and Speculators Tax Act); S.Amdt. 1746 (to amend S. 1813); Regulations implementing Internal Revenue Code Section 871(m); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Fair Playing Field Act of 2010 (worker classification); Public Employee Pension Transparency Act of 2010; Expansion of Build America Bond Rules to Tax Credit Bonds; Tax rules relating to regulation of over-the-counter derivative contracts; Financial Transaction Tax Proposals; Tax issues related to standardization of credit default swaps; Extension of Active Financing Rules; Tax issues related to implementation of charge for failure to deliver Treasury securities; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Taxation of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Extension of the Alternative Minimum Tax, tax exemption for private activity bonds; Securities cost basis reporting regulations; Tax rules relating to Bearer Bonds; Taxation of Transportation and Regional Infrastructure Project (TRIP) Bonds; Tax rules relating to novation of swap contracts; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; French financial transaction tax; Tax extenders.

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)

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)

Legislation related to the "fiscal cliff," including HR 8, the American Taxpayer Relief Act, and its predecessor bills. Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculators Tax Act.

Client expense: $1,120,000 · Firm income: Not reported

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

Please see addendum. Issues related to the Credit Union Tax Status Issues related to the Presidents Economic Recovery Oversight Board Report H.R. 4, Comprehensive 1099 Taxpayer Protection and Replayment of Exchange Subsidy Overpayments Act, all provisions H.R. 8, the American Taxpayer Relief Act, provisions related to the exclusion from gross income of amounts attributable to the discharge of qualified principal residence indebtedness H.R. 25, Fair Tax Act, all provisions H.R. 1125, Tax Equity with Middle Class Fairness Act, all provisions H.R. 2568, a bill to prevent the Secretary of Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens, all provisions H.R. 3313, Wall Street Trading and Speculators Tax Act, all provisions H.R. 6474, the Implementation of the Simpson-Bowles Spending Reduction Act, provisions related to taxation of state and federally chartered credit unions. S. 1289, TAX GAP Act, all provisions S. 1506, a bill to prevent the Secretary of Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens, all provisions S. 1787, Wall Street Trading and Speculators Tax Act, all provisions Issues related to unrelated business income tax and the revised Form 990.

Client expense: $1,407,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Justice, Dept of (DOJ), Natl Credit Union Administration (NCUA), Office of Government Ethics (OGE), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

H.R. 1063, Strengthening Medicare and Repaying Taxpayers Act of 2011: provisions related to payments from Federal Health Insurance Trust Fund "Make Work Pay": in lieu of extending payroll tax holiday Taxes: middle class impact H.R. 8, Tax Rate Extension: Social Security, Medicare, Medicaid H.R. 6169, Pathway to Job Creation through a Simpler, Fairer Tax Code Act of 2012 S. 1787, Wall Street Trading and Speculators Tax Act: financial transaction tax H.R. 3313, Wall Street Trading and Speculators Tax Act: financial transaction tax Tax Reform

Client expense: $700,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Defense, Dept of (DOD), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Natl Economic Council (NEC), Natl Labor Relations Board (NLRB), Pension Benefit Guaranty Corporation (PBGC), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

H.R. 8, Job Protection and Recession Prevention Act of 2012 H.R. 9, Small Business Tax Cut Act H.R. 62 / S. 1373, International Tax Competitiveness Act of 2011 H.R. 436, Health Care Cost Reduction Act of 2012 H.R. 749, To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income H.R. 942, American Research and Competitiveness Act of 2011 H.R. 1834, Freedom to Invest Act of 2011 H.R. 1860 / S. 971, Digital Goods and Services Tax Fairness Act of 2011 H.R. 2568 / S. 1506, A bill to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens H.R. 2669 / S. 1346, Stop Tax Haven Abuse Act H.R. 2911, America Jobs Act of 2011 H.R. 3091, To make permanent the individual rate for capital gains and dividends H.R. 3313, Wall Street Trading and Speculators Tax Act H.R. 3606, Jumpstart Our Business Startups Act H.R. 4088, Capital Expansion Act H.R. 5333, Middle Class Tax Fairness Act of 2012 H.R. 5542 / S. 2884, Bring Jobs Home Act H.R. 6152 / S. 3364, Bring Jobs Home Act H.R. 6262, Middle Class and Small Business Tax Relief Act of 2012 H.R. 6474, Implementation of Simpson-Bowles Spending Reductions Act of 2012 H.R. 6616, To protect securities transactions in the United States from enforcement of certain excise taxes imposed by any foreign government, and for other purposes H.R. 6684, Spending Reduction Act of 2012 S. 1647, A bill to repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gain rates. S. 1671, Foreign Earning Investment Act S. 1787, Wall Street Trading and Speculators Tax Act S. 1832, Marketplace Fairness Act S. 1866, AGREE Act S. 2075, CUT Loopholes Act H.RES. 841, Providing for consideration of the Senate amendment to the joint resolution (H.J. Res. 66) approving the renewal of import restrictions contained in the Burmese Freedom and Democracy Act of 2003, and providing for consideration of the bill (H.R. 6684) to provide for spending reduction H.J. RES. 66, Approving the renewal of import restrictions contained in the Burmese Freedom and Democracy Act of 2003 Various issues relating to the fiscal cliff, tax reform, entitlement reform, and sequestration; the implementation of the Middle Class Tax Relief and Job Creation Act of 2012 (P.L. 112-96); Chairman Paul Ryans FY13 budget proposal; R&D tax credit; tax extenders; S-Corp tax provisions; deferral tax provisions; estate tax reform; cap-gains and dividends taxation; extension of the 2001/2003 tax cuts; state taxation of internet transactions; excise tax on medical devices; general tax reform; financial crisis responsibility fee (proposal to impose a bank tax) Stephen McAllister - Official Covered Positions: June 2002 - March 2009 - Constituent/Community Liaison, Manchester Office - Office of Senator John Sununu

Client expense: $29,510,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Highway Administration (FHA), Federal Reserve System, Federal Trade Commission (FTC), Federal Transit Administration (FTA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Labor, Dept of (DOL), Maritime Administration (MARAD), Natl Economic Council (NEC), Natl Institute of Standards & Technology (NIST), Natl Labor Relations Board (NLRB), Natl Security Council (NSC), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Transportation Security Administration (TSA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), White House Office

H.R. 8 - The American Taxpayer Relief Act of 2012; provisions relating to savings: capital gains and qualified dividends parity, qualified charitable IRA distributions and Coverdell extension, while preserving existing rules for qualified plans/IRA, muni interest, and stretch IRAs H.R. 1864 - Mobile Workforce State Income Tax Simplification Act of 2012; entire bill H.R. 3091 To make permanent the individual income tax rates for capital gains and dividends; entire bill H.R. 3313 Wall Street Trading and Speculators Tax Act; entire bill H.R. 4123 Fair Playing Field Act of 2012; entire bill H.R. 4336 - To amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness; entire bill H.R. 5746 to amend the Internal Revenue Code of 1986 to modify certain rules applicable to real estate investment trusts, and for other purposes; entire bill H.R. 6206 - Build America Bonds Act of 2012; entire bill H.R. 6411 - Inclusive Prosperity Act; entire bill H.R.6616 To protect securities transactions in the United States from enforcement of certain excise taxes imposed by any foreign government; entire bill H.R.6653 - Independent Contractor Tax Fairness and Simplification Act of 2012; entire bill S. 1549 American Jobs Act; provisions relating to 28% limitations on itemized deductions and exclusion for tax-exempt interest income S. 1647 To make permanent the individual income tax rates for capital gains and dividends; entire bill S. 1787 Wall Street Trading and Speculators Tax Act; entire bill S. 2075 The Cut Unjustified Tax Loopholes Act; entire bill S. 2145 Fair Playing Field Act of 2012; entire bill S. 2230 - Paying a Fair Share Act of 2012; entire bill S. 3485 - Mobile Workforce State Income Tax Simplification Act of 2012; entire bill S. 3521 - Family and Business Tax Cut Certainty Act of 2012; provisions relating to IRA charitable rollovers Tax Extenders/Tax Reform/Deficit Reduction; provisions relating to the importance and value of existing tax incentives designed to promote long-term savings and investment (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications; financial transaction tax; taxation of U.S. corporations both domestically and internationally FATCA; provisions relating to the implications for in-bound U.S. investments, U.S.-owned asset managers compliance burdens, and global competitiveness of U.S. funds Congressman Dave Camps draft legislation to reform the international tax system Administration FY 2013 budget: provisions relating to life insurers DRD, COLI, independent contractors, financial responsibility taxes, carve-back on high-income taxpayers exclusions (including muni interest and employee contributions to qualified plans) Other draft legislative proposals to provide greater clarity on worker classification/independent contractor criteria

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S1647 Repeal the Sunset S1787/HR3313 Wall Street Trading and Speculators Tax Act S2252/HR5727 Rebuild America Act S.3414/HR3523 the Cybersecurity Act HR 3665 Wall Street Accountability Act HR 87 A bill to Repeal the Dodd-Frank Act HR 1062 Burdensome Data Collection Relief Act HR 1125 Debt Free America Act HR 2308 SEC Regulatory Accountability Act HR 2827 Amend the Securities Act of 1934 HR 3091 Permanent Individual Tax Rates

Client expense: Not reported · Firm income: $50,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Section 420 rules on retiree plans Health Care employer tax exclusion HR 2604 - repeal of Reverse Morris Trust Tax loophole HR 3313/S. 1787 - Wall Street Trading and Speculation Tax Act

Client expense: $175,000 · Firm income: Not reported

Government targets: Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE

Data Privacy and Security- S.1151, S.1207, H.R.2577; S.1787 Financial Transaction Tax; H.R.1610 Business Risk Mitigation and Price Stablization Act; H.R.3045 Retirement Income Protection Act; H.R.3313 Financial Transaction Tax

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 3313/S 1787-Wall Street Trading & Speculator's tax act, Financial Transactions Tax, S. 3468-Independent Agency Regulatory Analysis Act of 2012, break up banks, derivatives, Money Market mutual fund reform, Dodd-Frank Legislation Title VII, Volcker rule, SEC, Treasury Nomination, Dodd-Frank Section 952-Independence of Board Compensation committees, BASEL Rules-International rules on Bank Investment.

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

Government targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), White House Office

Transaction tax. (H.R. 3313, S. 1787, H.R. 6616)

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

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

Securities Transaction tax (H.R. 6411; H.R. 3313; S. 1787)

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

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

HR 1151: EMERGENCY MORTGAGE RELIEF AND NEIGHBORHOOD STABILIZATION PROGRAMS COST RECOUPMENT ACT OF 2011; PROVISIONS RELATED TO THE TAXATION OF LIFE INSURANCE COMPANIES H.R. 3313 & S.1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. HR 8, the Affordable Taxpayers Relief Act of 2012 provisions related to Roth conversion. H.R.2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. S.2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S.AMDT.1825 to S.1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: withholding from multi state employees. FY 2013 PRESIDENTIAL BUDGET PROPOSAL AND TREASURY GREENBOOK; MODIFICATION OF DIVIDENDS-RECEIVED DEDUCTION FOR LIFE INSURANCE COMPANY SEPARATE ACCOUNTS - PROVISIONS RELATED TO TAXATION OF LIFE INSURANCE COMPANIES; EXPANSION OF PRO RATA INTEREST EXPENSE DISALLOWANCE FOR INTEREST UNRELATED CORPORATE-OWNED LIFE INSURANCE - PROVISIONS RELATED TO TAXATION OF THE BUSINESS USE OF LIFE INSURANCE; MODIFICATION OF RULES THAT APPLY TO SALES OF LIFE INSURANCE CONTRACTS - PROVISIONS RELATED TO COMPLIANCE BURDEN AND ACCURACY FOR LIFE INSURANCE COMPANIES H.R. 3313 and S. 1787: Wall Street Trading and Speculators Act. ISSUE: Taxation of Life Insurance Companies.

Client expense: $570,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Lobbying Congress on proposals related to both corporate and product taxation. Specifically, proposals regarding: life/non-life consolidated returns; Capital loss rule temporary relief; STOLI; Benefits of current tax treatment for life insurance and retirement products. Obama Administration's proposals on COLI and SA DRD (not yet in legislative form) HR 130 "Life Insurance Employee Notification Act" - Requires an employer to notify an employee in writing upon the purchase of Corporate-owned life insurance H Con Res 34 Establishing the budget of the United States Government - Sets forth the congressional budget for FY2012, including FY2013-FY2021 for - tax treatment of life insurance products S. 727 "Bipartisan Tax Fairness & Simplification Act of 2011" - Will amend the Internal revenue Code of 1986 for the tax treatment of life insurance products HR 12/ S. 1549/ S. 1660 -American Jobs Act of 2011 - harmful COLI, DRD, and tax provisions HR 2693/ S. 365/ S. 627- Budget Control Act of 2011 - raises debt ceiling, cuts deficit S. 166 "/HR 3729 -"The Good Samaritan Hunger Relief Tax Incentive Act" - Would expand the current tax deduction for businesses donating food to nonprofits and make it permanant HR 3157/ S. 1693 - "A bill to amend the Internal Revenue Code of 1986 to prevent the avoidance of tax by insurance companies through reinsurance with non-taxed affiliates" Will amend Internal Revenue Code of 1986 to prevent the avoidance of tax by insurance companies through reinsurance with non-taxed affiliates H Con. Res 101 - "Concurrent resolution expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement" - Expresses sense of the Congress regarding tax incentives for retirement savings S. 2048 - "A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes" - life settlement reporting H AMDT- 1001 to H. Con. Res. 112 - "Substitute amendment sought to utilize Simpson-Bowles recommendations for establishment of the budget for FY 2013 and to set forth the appropriate budgetary levels for FY 2014 through FY 2022" - to advocate use of Simpson-Bowles recommendations for Fy 2013 and beyond HR 658 - "FAA Modernization and Reform Act of 2012" compliance burden and accuracy for life insurance companies HR 1151- "Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011"- taxation of life insurance companies HR 2515 -"To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded fromthe gross income of the employee" taaxation of life insurance HR 3313/S 1787 -"Wall Street Trading and Speculators Tax Act"- taxation of life insurance companies HR 1864/S. 3485 - "Mobile Workforce State Income Tax Simplification Act of 2012" - witholding from multi state employees HR 4348 - "The Surface Transportation Act of 2012" - defined benefit funding relief, transfers for retires group life S. Con. Res. 62 - "Concurrent resolution expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement"- Expresses sense of the Congress regarding tax incentives for retirement savings

Client expense: $1,340,000 · Firm income: Not reported

Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)

See attachment. TAX Fourth Quarter Report 2012 Tax matters relating to life insurance as proposed in the Presidents FY2012 Budget Proposal, Treasury Greenbook, proposals as regards the fiscal cliff including but not limited to: oModify dividends-received deduction ("DRD") for life insurance company separate accounts ISSUE: Taxation of life insurance companies oExpand pro rata interest expense disallowance for interest unrelated corporate-owned life insurance ISSUE: Taxation of the business use of life insurance oModify Rules that apply to sales of life insurance contracts ISSUE: The compliance burden and accuracy for life insurance companies Tax matters relating to life insurance as contained in an increase in the debt ceiling. ISSUE: Taxation of life insurance companies and products. H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: Withholding from multi state employees. H.R. 2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. H.R. 3313 & S. 1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. S. AMDT.1825 to S. 1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S. 2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies.

Client expense: $920,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 1506, to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. S. 1787, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) S. 3412, the Middle Class Tax Cut Act (provisions to extend certain current tax rates on income, capital gains, and dividends) H.J. Res. 108, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rules submitted by the Department of the Treasury and the Internal Revenue Service relating to the reporting requirements for interest that relates to deposits maintained at United States offices of certain financial institutions and is paid to certain nonresident alien individuals. H.R. 1004, the Health Flexible Spending Arrangements Improvements Act of 2012 H.R. 1439, the Business Activity Tax Simplification Act of 2011 (all provisions) H.R. 2568, a bill to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. H.R. 3313, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) H.R. 4336, to amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness (all provisions) H.R. 4348, the Surface Transportation Extension Act of 2012 (provisions to prohibit U.S. banks from accepting wire transfers or credit cards from certain foreign banks; to reauthorize the National Flood Insurance Program for five years; and to extend for one year the 3.4 percent interest rate on certain federal student loans) H.R. 5842, the Restoring Access to Medication Act of 2012 H.R. 5858, the Health Savings Accounts Improvements Act of 2012

Client expense: $2,110,000 · Firm income: Not reported

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)

H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: Withholding from multi state employees. Tax matters relating to life insurance as proposed in the Presidents FY2012 Budget Proposal, Treasury Greenbook, proposals as regards the fiscal cliff including but not limited to: -Modify dividends-received deduction ("DRD") for life insurance company separate accounts ISSUE: Taxation of life insurance companies -Expand pro rata interest expense disallowance for interest unrelated corporate-owned life insurance ISSUE: Taxation of the business use of life insurance -Modify Rules that apply to sales of life insurance contracts ISSUE: The compliance burden and accuracy for life insurance companies -Tax matters relating to life insurance as contained in an increase in the debt ceiling. ISSUE: Taxation of life insurance companies and products. H.R.2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. H.R. 3313 & S.1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. S.2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S.AMDT.1825 to S.1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies.

Client expense: $1,063,984 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 1506, to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens S. 1787, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions)S. 3412, the Middle Class Tax Cut Act (provisions to extend certain current tax rates on income, capital gains, and dividends) H.J. Res. 108, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rules submitted by the Department of the Treasury and the Internal Revenue Service relating to the reporting requirements for interest that relates to deposits maintained at United States offices of certain financial institutions and is paid to certain nonresident alien individuals. H.R. 1004, the Health Flexible Spending Arrangements Improvements Act of 2012 H.R. 1439, the Business Activity Tax Simplification Act of 2011 (all provisions) H.R. 2568, a bill To prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. H.R. 3313, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) H.R. 3630, the Temporary Payroll Tax Cut Continuation Act of 2011 (increase in the Fannie Mae and Freddie Mac credit-risk guarantee fees as revenue offset, included in the conference report) H.R. 4336, to amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness (all provisions) H.R. 4348, the Surface Transportation Extension Act of 2012 (provisions to prohibit U.S. banks from accepting wire transfers or credit cards from certain foreign banks; to reauthorize the National Flood Insurance Program for five years; and to extend for one year the 3.4 percent interest rate on certain federal student loans) H.R. 5842, the Restoring Access to Medication Act of 2012 H.R. 5858, the Health Savings Accounts Improvements Act of 2012

Client expense: $1,650,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation, regulatory measures, and Congressional studies on tax reform issues affecting hedge funds and other alternative investments, including: enterprise value, carried interest, and pass-through entities. Regulation of passive investment in U.S. securities and other assets by non-U.S. investors. Tax reform in non-U.S. jurisdictions. Pending legislation on international tax reform. H.R. 8 -- To extend certain tax relief provisions enacted in 2001 and 2003, and to provide for expedited consideration of a bill providing for comprehensive tax reform, and for other purposes. H.R. 2003 -- To amend the Internal Revenue Code of 1986 to impose a tax on transactions in oil futures, options, and swaps, and for other purposes. H.R. 2669 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes. H.R. 3313 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions. H.R. 4016 -- To amend the Internal Revenue Code of 1986 to provide for the proper tax treatment of personal service income earned in pass-thru entities. H.R. 6411 -- To impose a tax on certain trading transactions to strengthen our financial security, expand opportunity, and stop shrinking the middle class. S. 1346 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes. S. 1549 -- To provide tax relief for American workers and businesses, to put workers back on the job while rebuilding and modernizing America, and to provide pathways back to work for Americans looking for jobs. S. 1787 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions. S. 2075 -- To close unjustified corporate tax loopholes, and for other purposes. S. 3412 -- A bill to amend the Internal Revenue Code of 1986 to provide tax relief to middle-class families. S. 3521 -- Amends the Internal Revenue Code to extend through 2013 expiring tax expenditures for individuals, businesses, and the energy sector.

Client expense: $1,020,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

HR3313/S1787 Wall Street Trading & Speculators Tax Act; HR 3665 Wall Street Accountability; HR 87 A Bill to Repeal Dodd-Frank; HR1062 Burdensome Data Collection Act; HR 1125 Debt Free America Act; HR 2308 SEC Regulatory Accountability Act; HR 3638 Act for the 99%; HR 5727 Rebuild America Act

Client expense: Not reported · Firm income: $50,000

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. 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)

H.R. 11 (Build America Bonds to Create Jobs Now Act of 2011); H.R. 747 (Build America Bonds Extension Act of 2011); H.R. 992 (Building American Jobs Act of 2011)(infrastructure tax legislation); H.R. 1439 (Business Activity Tax Simplification Act of 2011); H.R. 2495 (Tax Equity and Middle Class Fairness Act of 2011); H.R. 2669 (Stop Tax Haven Abuse Act); H.R. 2860 (Deficit Committee Transparency Act); H.R. 2892 (Invest in America Act of 2011); H.R. 2911 (American Jobs Act of 2011); H.R. 2945 (Capital Gains Inflation Relief Act of 2011); H.R. 2989 (Real Estate Jobs and Investment Act of 2011); H.R. 3091 (To make permanent the individual income tax rates for capital gains and dividends); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 4348 (Highway Investment, Job Creation, and Economic Growth Act of 2012); S. 727 (Bipartisan Tax Fairness and Simplification Act of 2011); S. 1346 (Stop Tax Haven Abuse Act); S. 1375 (Ending Excessive Corporate Deductions for Stock Options Act); S. 1647 (To repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gain rates); S. 1787 (Wall Street Trading and Speculators Tax Act); S.Amdt. 1746 (to amend S. 1813); Regulations implementing Internal Revenue Code Section 871(m); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Fair Playing Field Act of 2010 (worker classification); Public Employee Pension Transparency Act of 2010; Expansion of Build America Bond Rules to Tax Credit Bonds; Tax rules relating to regulation of over-the-counter derivative contracts; Financial Transaction Tax Proposals; Tax issues related to standardization of credit default swaps; Extension of Active Financing Rules; Tax issues related to implementation of charge for failure to deliver Treasury securities; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Taxation of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Extension of the Alternative Minimum Tax, tax exemption for private activity bonds; Securities cost basis reporting regulations; Tax rules relating to Bearer Bonds; Taxation of Transportation and Regional Infrastructure Project (TRIP) Bonds; Tax rules relating to novation of swap contracts; International tax reform; United States individual and business taxation; Preservation of tax incentives for retirement plans; French financial transaction tax; Tax extenders.

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)

Data Privacy and Security- S.1151, S.1207, H.R.2577; S.1787 Financial Transaction Tax; H.R.1610 Business Risk Mitigation and Price Stablization Act; H.R.3045 Retirement Income Protection Act; H.R.3313 Financial Transaction Tax

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 1506, to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens S. 1787, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) S. 3412, the Middle Class Tax Cut Act (provisions to extend certain current tax rates on income, capital gains, and dividends) H.J. Res. 108, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rules submitted by the Department of the Treasury and the Internal Revenue Service relating to the reporting requirements for interest that relates to deposits maintained at United States offices of certain financial institutions and is paid to certain nonresident alien individuals. H.R. 1004, the Health Flexible Spending Arrangements Improvements Act of 2012 H.R. 1439, the Business Activity Tax Simplification Act of 2011 (all provisions) H.R. 2568, a bill To prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. H.R. 3313, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) H.R. 3630, the Temporary Payroll Tax Cut Continuation Act of 2011 (increase in the Fannie Mae and Freddie Mac credit-risk guarantee fees as revenue offset, included in the conference report) H.R. 4336, to amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness (all provisions) H.R. 4348, the Surface Transportation Extension Act of 2012 (provisions to prohibit U.S. banks from accepting wire transfers or credit cards from certain foreign banks; to reauthorize the National Flood Insurance Program for five years; and to extend for one year the 3.4 percent interest rate on certain federal student loans) H.R. 5842, the Restoring Access to Medication Act of 2012 H.R. 5858, the Health Savings Accounts Improvements Act of 2012

Client expense: $1,650,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 3412/S. 3393, the Middle Class Tax Cut Act; S 3413/S. 3417, the Tax Hike Prevention Act; HR 8, the Job Protection and Recession Prevention Act; HR 6169, the Pathway to Job Creation Through a Simpler, Fairer Tax Code Act; Legislation related to the taxation of capital gains and dividends, including HR 3091 and S 1647. HR. 3313 and S. 1787, the Wall Street Trading and Speculation Tax Act.

Client expense: $630,000 · Firm income: Not reported

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

H.R. 11 (Build America Bonds to Create Jobs Now Act of 2011); H.R. 747 (Build America Bonds Extension Act of 2011); H.R. 992 (Building American Jobs Act of 2011)(infrastructure tax legislation); H.R. 1439 (Business Activity Tax Simplification Act of 2011); H.R. 2495 (Tax Equity and Middle Class Fairness Act of 2011); H.R. 2669 (Stop Tax Haven Abuse Act); H.R. 2860 (Deficit Committee Transparency Act); H.R. 2892 (Invest in America Act of 2011); H.R. 2911 (American Jobs Act of 2011); H.R. 2945 (Capital Gains Inflation Relief Act of 2011); H.R. 2989 (Real Estate Jobs and Investment Act of 2011); H.R. 3091 (To make permanent the individual income tax rates for capital gains and dividends); H.R. 3313 (Wall Street Trading and Speculators Tax Act); H.R. 4348 (Highway Investment, Job Creation, and Economic Growth Act of 2012); S. 727 (Bipartisan Tax Fairness and Simplification Act of 2011); S. 1346 (Stop Tax Haven Abuse Act); S. 1375 (Ending Excessive Corporate Deductions for Stock Options Act); S. 1647 (To repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gain rates); S. 1787 (Wall Street Trading and Speculators Tax Act); S.Amdt. 1746 (to amend S. 1813); Regulations implementing Internal Revenue Code Section 871(m); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Fair Playing Field Act of 2010 (worker classification); Public Employee Pension Transparency Act of 2010; Expansion of Build America Bond Rules to Tax Credit Bonds; Tax rules relating to regulation of over-the-counter derivative contracts; Financial Transaction Tax Proposals; Tax issues related to standardization of credit default swaps; Extension of Active Financing Rules; Tax issues related to implementation of charge for failure to deliver Treasury securities; Administration's Financial Crisis Responsibility Fee; Tax issues related to interest expense allocation; Tax treatment of capital gains and dividends; Taxation of independent contractors; Taxation of cross-border equity swaps; Corporate tax reporting rules; Tax reporting requirements for foreign financial institutions on certain foreign accounts; Foreign Account Tax Compliance Act of 2010 (FATCA); Extension of the Alternative Minimum Tax, tax exemption for private activity bonds; Securities cost basis reporting regulations; Tax rules relating to Bearer Bonds; Taxation of Transportation and Regional Infrastructure Project (TRIP) Bonds; Tax rules relating to novation of swap contracts; International tax reform; United States individual and business taxation.

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)

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)

H.R. 1864 Mobile Workforce State Income Tax Simplification Act of 2012; entire bill H.R. 3091 To make permanent the individual income tax rates for capital gains and dividends; entire bill H.R. 3313 Wall Street Trading and Speculators Tax Act; entire bill H.R. 4123 Fair Playing Field Act of 2012; entire bill H.R. 4336 - To amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness; entire bill H.R. 5746 to amend the Internal Revenue Code of 1986 to modify certain rules applicable to real estate investment trusts, and for other purposes; entire bill H.R. 6206 - Build America Bonds Act of 2012; entire bill H.R. 6411 - Inclusive Prosperity Act; entire bill S. 1549 American Jobs Act; provisions relating to 28% limitations on itemized deductions and exclusion for tax-exempt interest income S. 1647 To make permanent the individual income tax rates for capital gains and dividends; entire bill S. 1787 Wall Street Trading and Speculators Tax Act; entire bill S. 2075 The Cut Unjustified Tax Loopholes Act; entire bill S. 2145 Fair Playing Field Act of 2012; entire bill S. 2230 - Paying a Fair Share Act of 2012; entire bill S. 3485 - Mobile Workforce State Income Tax Simplification Act of 2012; entire bill S. 3521 - Family and Business Tax Cut Certainty Act of 2012; provisions relating to IRA charitable rollovers Tax Extenders/Tax Reform/Deficit Reduction; provisions relating to the importance and value of existing tax incentives designed to promote long-term savings and investment (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications; financial transaction tax; taxation of U.S. corporations both domestically and internationally Estate Tax; provisions relating to the need for clarification as to post-2012 treatment as to elections made under P.L. 111-312 FATCA; provisions relating to the implications for in-bound U.S. investments, U.S.-owned asset managers compliance burdens, and global competitiveness of U.S. funds Congressman Dave Camps draft legislation to reform the international tax system Administration FY 2013 budget; provisions relating to life insurers DRD, COLI, independent contractors, financial responsibility taxes Other draft legislative proposals to provide greater clarity on worker classification/independent contractor criteria

Client expense: $360,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

See attachment. TAX Third Quarter Report 2012 Tax matters relating to life insurance as proposed in the Presidents FY2012 Budget Proposal and Treasury Greenbook, including but not limited to: oModify dividends-received deduction ("DRD") for life insurance company separate accounts ISSUE: Taxation of life insurance companies oExpand pro rata interest expense disallowance for interest unrelated corporate-owned life insurance ISSUE: Taxation of the business use of life insurance oModify Rules that apply to sales of life insurance contracts ISSUE: The compliance burden and accuracy for life insurance companies Tax matters relating to life insurance as contained in an increase in the debt ceiling. ISSUE: Taxation of life insurance companies and products. H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: withholding from multi state employees. H.R. 2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. H.R. 3313 & S.1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. S.AMDT.1825 to S.1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S. 2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies.

Client expense: $1,160,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Please see addendum. Issues related to the Credit Union Tax Status Issues related to the Presidents Economic Recovery Oversight Board Report H.R. 4, Comprehensive 1099 Taxpayer Protection and Replayment of Exchange Subsidy Overpayments Act, all provisions H.R. 25, Fair Tax Act, all provisions H.R. 1125, Tax Equity with Middle Class Fairness Act, all provisions H.R. 2568, a bill to prevent the Secretary of Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens, all provisions H.R. 3313, Wall Street Trading and Speculators Tax Act, all provisions S. 1289, TAX GAP Act, all provisions S. 1506, a bill to prevent the Secretary of Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens, all provisions S. 1787, Wall Street Trading and Speculators Tax Act, all provisions Issues related to unrelated business income tax and the revised Form 990.

Client expense: $1,044,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Justice, Dept of (DOJ), Natl Credit Union Administration (NCUA), Office of Government Ethics (OGE), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of

HR 1151: EMERGENCY MORTGAGE RELIEF AND NEIGHBORHOOD STABILIZATION PROGRAMS COST RECOUPMENT ACT OF 2011; PROVISIONS RELATED TO THE TAXATION OF LIFE INSURANCE COMPANIES H.R. 3313 & S.1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. H.R.2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. S.2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S.AMDT.1825 to S.1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: withholding from multi state employees. FY 2013 PRESIDENTIAL BUDGET PROPOSAL AND TREASURY GREENBOOK; MODIFICATION OF DIVIDENDS-RECEIVED DEDUCTION FOR LIFE INSURANCE COMPANY SEPARATE ACCOUNTS - PROVISIONS RELATED TO TAXATION OF LIFE INSURANCE COMPANIES; EXPANSION OF PRO RATA INTEREST EXPENSE DISALLOWANCE FOR INTEREST UNRELATED CORPORATE-OWNED LIFE INSURANCE - PROVISIONS RELATED TO TAXATION OF THE BUSINESS USE OF LIFE INSURANCE; MODIFICATION OF RULES THAT APPLY TO SALES OF LIFE INSURANCE CONTRACTS - PROVISIONS RELATED TO COMPLIANCE BURDEN AND ACCURACY FOR LIFE INSURANCE COMPANIES H.R. 3313 and S. 1787: Wall Street Trading and Speculators Act. ISSUE: Taxation of Life Insurance Companies.

Client expense: $960,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 3313/S 1787-The Wall Street Trading and speculators tax act, Financial Transaction Tax, Protect Dodd-Frank, Dodd-Frank (derivatives) cross border rule, Stopping S. 3468-The independent Agency Regulatory Analysis Act of 2012, HR 2827-Amend the SEC of 1934 related to the regulation of municipal advisors and other purposes.

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

Government targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Office of Government Ethics (OGE), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

Transaction tax. (H.R. 3313, S. 1787)

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

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

Securities Transaction tax (H.R. 6411; H.R. 3313; S. 1787)

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

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

Lobbying Congress on proposals related to both corporate and product taxation. Specifically, proposals regarding: life/non-life consolidated returns; Capital loss rule temporary relief; STOLI; Benefits of current tax treatment for life insurance and retirement products. Obama Administration's proposals on COLI and SA DRD (not yet in legislative form) HR 130 "Life Insurance Employee Notification Act" - Requires an employer to notify an employee in writing upon the purchase of Corporate-owned life insurance H Con Res 34 Establishing the budget of the United States Government - Sets forth the congressional budget for FY2012, including FY2013-FY2021 for - tax treatment of life insurance products S. 727 "Bipartisan Tax Fairness & Simplification Act of 2011" - Will amend the Internal revenue Code of 1986 for the tax treatment of life insurance products HR 12/ S. 1549/ S. 1660 -American Jobs Act of 2011 - harmful COLI, DRD, and tax provisions HR 2693/ S. 365/ S. 627- Budget Control Act of 2011 - raises debt ceiling, cuts deficit S. 166 "/HR 3729 -"The Good Samaritan Hunger Relief Tax Incentive Act" - Would expand the current tax deduction for businesses donating food to nonprofits and make it permanant HR 3157/ S. 1693 - "A bill to amend the Internal Revenue Code of 1986 to prevent the avoidance of tax by insurance companies through reinsurance with non-taxed affiliates" Will amend Internal Revenue Code of 1986 to prevent the avoidance of tax by insurance companies through reinsurance with non-taxed affiliates H Con. Res 101 - "Concurrent resolution expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans to help plan for a financially secure retirement" - Expresses sense of the Congress regarding tax incentives for retirement savings S. 2048 - "A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes" - life settlement reporting H AMDT- 1001 to H. Con. Res. 112 - "Substitute amendment sought to utilize Simpson-Bowles recommendations for establishment of the budget for FY 2013 and to set forth the appropriate budgetary levels for FY 2014 through FY 2022" - to advocate use of Simpson-Bowles recommendations for Fy 2013 and beyond HR 658 - "FAA Modernization and Reform Act of 2012" compliance burden and accuracy for life insurance companies HR 1151- "Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011"- taxation of life insurance companies HR 2515 -"To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded fromthe gross income of the employee" taaxation of life insurance HR 3313/S 1787 -"Wall Street Trading and Speculators Tax Act"- taxation of life insurance companies HR 1864/S. 3485 - "Mobile Workforce State Income Tax Simplification Act of 2012" - witholding from multi state employees HR 4348 - "The Surface Transportation Act of 2012" - defined benefit funding relief, transfers for retires group life

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

Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Labor, Dept of (DOL), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Postal Service (USPS)

H.R.2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. Tax matters relating to life insurance as proposed in the Presidents FY2012 Budget Proposal and Treasury Greenbook, including but not limited to: oModify dividends-received deduction ("DRD") for life insurance company separate accounts ISSUE: Taxation of life insurance companies oExpand pro rata interest expense disallowance for interest unrelated corporate-owned life insurance ISSUE: Taxation of the business use of life insurance oModify Rules that apply to sales of life insurance contracts ISSUE: The compliance burden and accuracy for life insurance companies Tax matters relating to life insurance as contained in an increase in the debt ceiling. ISSUE: Taxation of life insurance companies and products. H.R.2515: To amend the Internal Revenue Code of 1986 to increase the dollar limitation on employer-provided group term life insurance that can be excluded from the gross income of the employee. ISSUE: Taxation of life insurance. H.R. 3313 & S.1787: Wall Street Trading and Speculators Tax Act. ISSUE: Taxation of life insurance companies. S.2048: A bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. S.AMDT.1825 to S.1813: To reauthorize for 1 year the Secure Rural Schools and Community Self-Determination Act of 2000 and to provide full funding for the Payments in Lieu of Taxes program for 1 year, and for other purposes. ISSUE: Taxation of life insurance products and reporting requirements of life insurance companies. H.R. 1864: Mobile Workforce State Income Tax Simplification Act of 2012. Issue: withholding from multi state employees.

Client expense: $1,680,500 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Budget deficit reduction Federal tax exclusion for employer-sponsored health care benefits/insurance - oppose proposals to cap or reduce exclusion Corporate tax reform, including corporate repatriation tax holiday and territorial tax system - oppose proposals to reduce tax rate on repatriated profits S 2059 - Paying a Fair Share Act of 2012 - support overall legislation Streamlined Sales Tax legislation, including: S 1832 - Marketplace Fairness Act - support overall legislation; exemption level S 1452 - Main Street Fairness Act - support overall legislation HR 3179 - Marketplace Equity Act - concerns with blended rate, exemption level S 1787, HR 3313 - Wall Street Trading and Speculators Tax Act - support this federal tax S 971 - Digital Goods and Services Tax Fairness Act HR 1439 - Business Activity Tax Simplification Act - oppose overall legislation HR 1002 - Wireless Tax Fairness Act - oppose provisions to preempt state and local government tax authority Federal preemptions of State government and Local government taxing authority - oppose these type provisions Federal individual income tax deductions for State and Local government income, property, and sales tax payments - support retaining deductions Federal individual income tax exclusions for interest on state and local government public purpose bonds - support retaining exclusions HR 2469 - End Discriminatory State Taxes for Automobile Renters Act - oppose overall legislation Moratorium on federal taxes on Internet access - oppose proposal HR 1864 - Mobile Workforce State Income Tax Simplification Act - oppose legislation Tax Reform/Tax Issues S 2204 - Oil and Gas Tax Breaks S 2230 - Buffett Rule Increasing Revenues/Raising Taxes on the Wealthy Deficit Reduction/Medicaid/Medicare/Social Security/Education

Client expense: $730,000 · Firm income: Not reported

Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Labor, Dept of (DOL), SENATE, Treasury, Dept of, White House Office

S. 1506, to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. S. 1787, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions). H.J. Res. 108, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rules submitted by the Department of the Treasury and the Internal Revenue Service relating to the reporting requirements for interest that relates to deposits maintained at United States offices of certain financial institutions and is paid to certain nonresident alien individuals. H.R. 1004, the Health Flexible Spending Arrangements Improvements Act of 2012. H.R. 1439, the Business Activity Tax Simplification Act of 2011 (all provisions). H.R. 2568, a bill To prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. H.R. 3313, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions). H.R. 3630, the Temporary Payroll Tax Cut Continuation Act of 2011 (increase in the Fannie Mae and Freddie Mac credit-risk guarantee fees as revenue offset, included in the conference report). H.R. 4336, to amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness (all provisions). H.R. 4348 (tax haven provision to prohibit U.S. banks from accepting wire transfers or credit cards from certain foreign banks). H.R. 5842, the Restoring Access to Medication Act of 2012. H.R. 5858, the Health Savings Accounts Improvements Act of 2012.

Client expense: $2,100,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Financial Speculation TAx (S. 1787/HR 3313)

Client expense: $175,000 · Firm income: Not reported

Government targets: Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE

Data Privacy and Security- S.1151, S.1207, H.R.2577; S.1787 Financial Transaction Tax; H.R.1610 Business Risk Mitigation and Price Stablization Act; H.R.3045 Retirement Income Protection Act; H.R.3313 Financial Transaction Tax

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation, regulatory measures, and Congressional studies on tax reform issues affecting hedge funds and other alternative investments, including: enterprise value, carried interest, and pass-through entities. Regulation of passive investment in U.S. securities and other assets by non-U.S. investors. Tax reform in non-U.S. jurisdictions. Pending legislation on international tax reform. H.R. 2003 -- To amend the Internal Revenue Code of 1986 to impose a tax on transactions in oil futures, options, and swaps, and for other purposes. H.R. 2669 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes. H.R. 3313 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions. H.R. 4016 -- To amend the Internal Revenue Code of 1986 to provide for the proper tax treatment of personal service income earned in pass-thru entities. S. 1346 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes. S. 1549 -- To provide tax relief for American workers and businesses, to put workers back on the job while rebuilding and modernizing America, and to provide pathways back to work for Americans looking for jobs. S. 1787 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions. S. 2075 -- To close unjustified corporate tax loopholes, and for other purposes. S. 2343 --- Amends title IV (Student Assistance) of the Higher Education Act of 1965 to make the 3.4% interest rate on Direct Stafford loans first disbursed to undergraduate students between July 1, 2011, and July 1, 2012, applicable to Direct Stafford loans first disbursed to undergraduate students between July 1, 2011, and July 1, 2013. S.A. 1931 --- Amendment to H.R. 3606 --- To amend the definition of the term `held of record' pursuant to section 12(g)(5) of the Securities Exchange Act of 1934 (15. U.S.C. 781(g)(5)) to include beneficial owners of such class of securities. Amendment #2 Budget Reconciliation Legislative Recommendations of the Committee on Financial Services. To impose a risk-based tax on hedge funds with $10 billion or more in assets under management on a consolidated basis and on other financial companies with $50 billion or more in total consolidated assets.

Client expense: $1,030,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of