Focusing the SEC on Its Mission Act

S. 1217 - Housing Finance Reform and Taxpayer Protection Act of 2013 (Corker-Warner) S. 1526 - Audit Integrity and Job Protection Act (Toomey) Amend to S. 1217 - Housing Finance and Taxpayer Protection Act of 2014 (Johnson-Crapo) H.R. 1003 - To Improve Consideration by the CFTC of the costs and benefits of regulations (Conaway)H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1626 - Focusing the SEC on its Mission Act (Wagner) H.R. 2733 - Defending American Taxpayers from Abusive Government Takings Act (Campbell) H.R. 2767 - Protecting American Taxpayers and Homeowners (PATH) Act of 2013 (Garrett) H.R. 3448 - Small Cap Liquidity Reform Act of 2013 (Duffy) H.R. 3696 - National Cybersecurity and Critical Infrastructure Protection Act of 2013 (McCaul) Money Market Funds FSOC Review of Asset Management Sector for Potential SIFI Designations Volcker Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Traded Funds Liquidity Incentive Programs (McHenry) Eminent Domain Structure of the U.S. Securities Markets Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

Client expense: $1,274,843 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of

General background on U.S. capital markets competitiveness and regulation. Potential legislation dealing with attorney pay-to-play issues in securities litigation. S. 652, Securities Litigation Attorney Accountability and Transparency Act. S. 824/H.R. 1734, Shareholder Protection Act of 2013. S. 791, Follow the Money Act of 2013. H.R. 1626, Focusing the SEC on Its Mission Act.Lobbied the Consumer Financial Protection Bureau (CFPB) on issues related to the CFPB Request for Information Regarding Scope, Methods, and Data Sources for Conducting Study of Pre-Dispute Arbitration Agreements.

Client expense: Not reported · Firm income: $140,000

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

S. 450 - Financial Regulatory Responsibility Act of 2013 (Shelby) S. 1217 - Housing Finance Reform and Taxpayer Protection Act (Corker) S. 1526 - Audit Integrity and Job Protection Act (Toomey) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers)S. 1193 - Data Security and Breach Notification Act of 2013 (Toomey) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway) H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1626 - Focusing the SEC on its Mission Act (Wagner) H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters) H.R. 1800 - Small Business Credit Availability Act (Grimm) H.R. 2733 - Defending American Taxpayers from Abusive Government Takings Act (Campbell) H.R. 2767 - Protecting American Taxpayers and Homeowners (PATH) Act of 2013 (Garrett) H.R. 3448 - Small Cap Liquidity Reform Act of 2013 (Duffy) H.R. 3482 - Restoring Main Street Investor Protection and Confidence Act (Garrett) Money Market Mutual Funds Office of Financial Research Asset Management Study Volcker Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Traded Funds Liquidity Incentive Programs (McHenry) Eminent Domain Structure of the U.S. Securities Markets Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

Client expense: $1,128,074 · Firm income: Not reported

Issues related to H.R.1626, Focusing the SEC on Its Mission Act. Pub. Law No. 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

General background on U.S. capital markets competitiveness and regulation. Potential legislation dealing with attorney pay-to-play issues in securities litigation. S. 652, Securities Litigation Attorney Accountability and Transparency Act. S. 824/H.R. 1734, Shareholder Protection Act of 2013. S. 791, Follow the Money Act of 2013. H.R. 1626, Focusing the SEC on Its Mission Act.Lobbied the Consumer Financial Protection Bureau (CFPB) on issues related to the CFPB Request for Information Regarding Scope, Methods, and Data Sources for Conducting Study of Pre-Dispute Arbitration Agreements.

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

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

Issues related to H.R.1626, Focusing the SEC on Its Mission Act.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 450 - Financial Regulatory Responsibility Act of 2013 (Shelby) S. 1217 - Housing Finance Reform and Taxpayer Protect Act (Corker) S. 1526 - Audit Integrity and Job Protection Act (Toomey) H.R. 31 - Next Steps for Credit Availability Act (Velazquez)H.R. 785 - Halt Index Trading of Energy Commodities Act (Markey) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers) H.R. 1003 - To Improve Consideration by the CFTC of the costs and benefits of regulations (Conaway) H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1626 - Focusing the SEC on its Mission Act (Wagner) H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters) H.R. 1800 - Small Business Credit Availability Act (Grimm) H.R. 2733 - Defending American Taxpayers from Abusive Government Takings Act (Campbell) H.R. 2767 - Protecting American Taxpayers and Homeowners Act of 2013 (Garrett) Money Market Mutual Funds FSOC Rulemaking Volcker Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Traded Funds Stock Tick Sizes (Duffy) Eminent Domain Structure of the U.S. Securities Markets Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

Client expense: $1,472,087 · Firm income: Not reported

General background on U.S. capital markets competitiveness and regulation. Potential legislation dealing with attorney pay-to-play issues in securities litigation. CFPB Request for Information Regarding Scope, Methods, and Data Sources for Conducting Study of Pre-Dispute Arbitration Agreements. S. 652, Securities Litigation Attorney Accountability and Transparency Act. S. 824/H.R. 1734, Shareholder Protection Act of 2013. S. 791, Follow the Money Act of 2013. H.R. 1626, Focusing the SEC on Its Mission Act.

Client expense: Not reported · Firm income: $140,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 785 - Halt Index Trading of Energy Commodities Act (Markey) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway) H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1256 - Swap Jurisdiction Certainty Act (Garrett)S.1217 - Housing Finance Reform and Taxpayer Protection Act (Corker) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers) H.R. 1564 - Audit Integrity and Job Protection Act (Hurt) H.R. 1626 - Focusing the SEC on its Mission Act (Wagner) H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters) H.R. 1800 - Small Business Credit Availability Act (Grimm) H.R. 2374 - Retail Investor Protection Act (Wagner) Money Market Mutual Funds FSOC Rulemaking Volcker Rule Cross-Border Derivatives Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Traded Funds Liquidity Incentive Programs (McHenry) Stock Tick Sizes (Duffy) Housing Finance Reform Political Intelligence Activity Registration (Grassley/Slaughter) Structure of the U.S. Securities Market Non-Deliverable Forwards Proxy Advisory Services Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

Client expense: $1,382,625 · Firm income: Not reported