Terminating the Expansion of Too-Big-To-Fail Act of 2012

Clearing and Risk Management for Over-The-Counter Derivatives; Futures and Securities Regulatory Restructuring; Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act; Governance and Risk Management Requirements for Derivatives Clearing Organizations and Clearing Agencies; S. 3497 and H.R. 6317, the Terminating the Expansion of Too-Big-To-Fail Act of 2012.

Client expense: $256,610 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

HR 6317, HR 1062, HR 1121, HR 1182, HR 1222, HR 1223, HR 1224, HR 1225, HR 1226, HR 1227, HR 1315, HR 1355, HR 1539, HR 1610, HR 1667, HR 2612, HR 2682, HR 2779, HR 3044, HR 31, HR 527, HR 557, HR 839, HR 940, S 1016, S 1615, S 3497, S 575, S 602, S 712

Client expense: $720,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), SENATE, Treasury, Dept of

P.L. 111-203 (111TH CONGRESS H.R. 4173): DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT; THE IMPLEMENTATION OF REGULATORY PROVISIONS RELATING TO TITLE I, II, & V OF THE ACT H. AMT 1455 TO H.R. 4078: RED TAPE REDUCTION AND SMALL BUSINESS JOB CREATION ACT; PROVISIONS RELATED TO REGULATORY EXEMPTIONS H.R. 6317/S. 3497: TERMINATING THE EXPANSION OF THE TOO-BIG-TO-FAIL ACT OF 2012; ALL PROVISIONS OF THE BILL

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to Dodd-Frank Wall Street Reform and Consumer Protection Act implementation and regulations, including derivatives, orderly liquidation authority, and systemic risk Issues related to exchange-traded funds (ETFs) (see attached addendum page) Issues related to swap execution facility trading and reporting Issues related to use of derivatives by mutual funds Issues related to definition of major swap participants Issues related to enhancements to margin protection rules for swap participants Issues related to nature of collateral for cleared swaps Issues related to market structure matters Issues related to effect of the Volcker rule on fixed income markets and mutual fund shareholders Issues related to the supervision and regulation of certain (systemically important) nonbank financial institutions, including S. 3497 and H.R. 6317 Issues related to the Financial Stability Oversight Council and mutual funds Issues related to legislation and regulations affecting mutual funds and the mutual fund industry Proposals related to potential money market fund regulations (e.g. floating net asset value, capital requirements, redemption hold-back) Proposals related to market-maker incentive programs (H.R. 6127) Issues related to CFTC Rule 4.5 on commodity pool operators

Client expense: $500,000 · Firm income: Not reported

HR 4624, the Investment Adviser Oversight Act. HR 6204, the Investment Adviser Examination Improvement Act. HR 2308, the SEC Regulatory Accountability Act. S 1615, the Financial Regulatory Responsibility Act. HR 2434/HR 6020, the Financial Services and General Government Appropriations Act. HR 6317, the Terminating the Expansion of Too-Big-to-Fail Act. Regulatory proposals related to money market funds and to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including proposals related to harmonizing broker-dealers and investment advisers under similar standards of care; consumer protection; systemic risk; orderly liquidation authority; and the "Volcker Rule."

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

Clearing and risk management for over-the-counter derivatives; Futures and securities regulatory restructuring; Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act. Governance Requirements and Risk Management Requirements for Derivatives Clearing Organizations and Clearing Agencies. Matters regarding Title VIII of Dodd-Frank in S. 3497 and HR 6317

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

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE

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

Clearing and Risk Management for Over-The-Counter Derivatives; Futures and Securities Regulatory Restructuring; Implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act; Governance and Risk Management Requirements for Derivatives Clearing Organizations and Clearing Agencies; S. 3497 and H.R. 6317, the Terminating the Expansion of Too-Big-To-Fail Act of 2012.

Client expense: $141,900 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of