Investor Choice Act of 2015

H.R. 554 - Enhancing Educational Opportunities for All Students Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill H.R. 2356 - Fair Access to Investment Research Act of 2015; entire bill H.R. 2896 - Taking Account of Institutions with Low Operation Risk Act of 2015 or the TAILOR Act of 2015; entire bill H.R. 3524 - Equal Employment for All Act of 2015; entire bill H.R. 5143 - the Transparent Insurance Standards Act of 2016; entire bill H.R. 5311 - the Corporate Governance Reform and Transparency Act; entire bill H.R. 5485 - Financial Services and General Government Appropriations Act, 2017; provisions relating to SECs proposed Rule 30e-3 on e-delivery of shareholder reports H.R. 6118 - Financial Services Innovation Act of 2016; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill S. 1560 - To amend the Commodity Exchange Act to provide end-users with a reasonable amount of time to meet their margin requirements and to repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities; entire bill S. 1722 - Salary Collection Regulatory Relief Act; entire bill S. 3092 - Fair Access to Investment Research Act of 2016; entire bill S. 3153 - Taking Account of Institutions with Low Operation Risk Act of 2016 or TAILOR Act of 2016; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches. Financial CHOICE Act of 2016 Discussion Draft; provisions relating to SIFI designation, international capital standards, FIO restructuring, Senior$afe Act, DOL ERISA Fiduciary rule

Client expense: $560,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. H.R. 1266 (Financial Product Safety Commission Act of 2015); Amends the Consumer Financial Protection Act of 2010 to replace the Consumer Financial Protection Bureau as an independent bureau within the Federal Reserve System, with an independent Financial Product Safety Commission that is to regulate the offering and provision of consumer financial products or services. H.R. 957 (CFPB-IG Act of 2015); Requires Senate confirmation of Inspector General of the Bureau of Consumer Financial Protection. H.R. 1090 (Retail Investor Protection Act); Prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual is considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. Lobbying with regard to rulemaking affecting fiduciary responsibilities of retirement advisors. H.J.Res. 88; disapproving the rule submitted by the Department of Labor relating to the definition of the term Fiduciary." S.J.Res. 33; providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to the definition of the term fiduciary and the conflict of interest rule with respect to retirement investment advice. H.R. 4293 (Affordable Retirement Advice Protection Act); amends ERISA to impose a new best interest standard, requires a rulemaking to be approved by Congress. H.R. 4294 (SAVERS Act); amends the Internal Revenue Code to exempt from the tax on prohibited transactions: (1) the provision of investment advice by a fiduciary to a pension plan, plan participant, or beneficiary which is a best interest recommendation; and (2) any transaction, including a contract for service, between an investment provider and the advice recipient if no more than reasonable compensation is paid for such investment advice and certain disclosures are made with respect to the cost of such advice. S. 2216/H.R. 4538 (Senior$afe Act of 2015); provides immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens.

H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership; Swap Execution Facilities (SEFs) and clearing for swaps; Global FX Code of Conduct; Decision to delay implementation for margin for non-centrally cleared swaps; Municipal securities disclosure regulation; Financial CHOICE Act.

H.R. 554 - Enhancing Educational Opportunities for All Students Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill H.R. 2356 - Fair Access to Investment Research Act of 2015; entire bill H.R. 3524 - Equal Employment for All Act of 2015; entire bill H.R. 5143 - the Transparent Insurance Standards Act of 2016; entire bill H.R. 5311 - the Corporate Governance Reform and Transparency Act; entire bill H.R. 5485 - Financial Services and General Government Appropriations Act, 2017; provisions relating to SECs proposed Rule 30e-3 on e-delivery of shareholder reports S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill S. 1560 - To amend the Commodity Exchange Act to provide end-users with a reasonable amount of time to meet their margin requirements and to repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities; entire bill S. 1722 - Salary Collection Regulatory Relief Act; entire bill S. 3092 - Fair Access to Investment Research Act of 2016; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches. Financial CHOICE Act of 2016 Discussion Draft; provisions relating to SIFI designation, international capital standards, FIO restructuring, Senior$afe Act

H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. H.R. 1266 (Financial Product Safety Commission Act of 2015); Amends the Consumer Financial Protection Act of 2010 to replace the Consumer Financial Protection Bureau as an independent bureau within the Federal Reserve System, with an independent Financial Product Safety Commission that is to regulate the offering and provision of consumer financial products or services. H.R. 957 (CFPB-IG Act of 2015); Requires Senate confirmation of Inspector General of the Bureau of Consumer Financial Protection. H.R. 1090 (Retail Investor Protection Act); Prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual is considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. Lobbying with regard to rulemaking affecting fiduciary responsibilities of retirement advisors. H.J.Res. 88; disapproving the rule submitted by the Department of Labor relating to the definition of the term Fiduciary." S.J.Res. 33; providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Department of Labor relating to the definition of the term fiduciary and the conflict of interest rule with respect to retirement investment advice. H.R. 4293 (Affordable Retirement Advice Protection Act); amends ERISA to impose a new best interest standard, requires a rulemaking to be approved by Congress. H.R. 4294 (SAVERS Act); amends the Internal Revenue Code to exempt from the tax on prohibited transactions: (1) the provision of investment advice by a fiduciary to a pension plan, plan participant, or beneficiary which is a best interest recommendation; and (2) any transaction, including a contract for service, between an investment provider and the advice recipient if no more than reasonable compensation is paid for such investment advice and certain disclosures are made with respect to the cost of such advice. S. 2216/H.R. 4538 (Senior$afe Act of 2015); provides immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens.

H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); H.R. 4538 (Senior$afe Act of 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft; Data localization requirements in the Trans-Pacific Partnership.

H.R. 554 - Enhancing Educational Opportunities for All Students Act; entire bill H.R. 601 - Eliminate Privacy Notice Confusion Act; entire bill H.R. 1090 - Retail Investor Protection Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill H.R. 2356 - Fair Access to Investment Research Act of 2015; entire bill H.R. 3524 - Equal Employment for All Act of 2015; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill S. 1560 - To amend the Commodity Exchange Act to provide end-users with a reasonable amount of time to meet their margin requirements and to repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities; entire bill S. 1722 - Salary Collection Regulatory Relief Act; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches. Not yet introduced: Congressman Luetkemeyer bill on international insurance capital standards

Client expense: $540,000 · Firm income: Not reported

H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. H.R. 1266 (Financial Product Safety Commission Act of 2015); Amends the Consumer Financial Protection Act of 2010 to replace the Consumer Financial Protection Bureau as an independent bureau within the Federal Reserve System, with an independent Financial Product Safety Commission that is to regulate the offering and provision of consumer financial products or services. H.R. 957 (CFPB-IG Act of 2015); Requires Senate confirmation of Inspector General of the Bureau of Consumer Financial Protection. H.R. 1090 (Retail Investor Protection Act); Prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual is considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. Lobbying with regard to rulemaking affecting fiduciary responsibilities of retirement advisors. H.R. 4293 (Affordable Retirement Advice Protection Act); amends ERISA to impose a new best interest standard, requires a rulemaking to be approved by Congress. H.R. 4294 (SAVERS Act); amends the Internal Revenue Code to exempt from the tax on prohibited transactions: (1) the provision of investment advice by a fiduciary to a pension plan, plan participant, or beneficiary which is a best interest recommendation; and (2) any transaction, including a contract for service, between an investment provider and the advice recipient if no more than reasonable compensation is paid for such investment advice and certain disclosures are made with respect to the cost of such advice.

H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2356 (Fair Access to Investment Research Act of 2015); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); H.R. 3738 (Office of Financial Research Accountability Act of 2015); H.R. 3340 (Financial Stability Oversight Council Reform Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general); National Market System (NMS) discussion draft.

H.R. 2087/S. 1133 (Arbitration Fairness Act); prohibits mandatory, pre-dispute arbitration in consumer contracts. General lobbying with regard to the enforceability of mandatory, pre-dispute arbitration provisions in employment and consumer contracts, including financial consumer contracts and servicemember contracts for consumer products. H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. H.R. 1266 (Financial Product Safety Commission Act of 2015); Amends the Consumer Financial Protection Act of 2010 to replace the Consumer Financial Protection Bureau as an independent bureau within the Federal Reserve System, with an independent Financial Product Safety Commission that is to regulate the offering and provision of consumer financial products or services. H.R. 957 (CFPB-IG Act of 2015); Requires Senate confirmation of Inspector General of the Bureau of Consumer Financial Protection. H.R. 1090 (Retail Investor Protection Act); Prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual is considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. H.R. 1195 (Bureau of Consumer Financial Protection Advisory Boards Act); amends the Consumer Financial Protection Act of 2010 to establish advisory boards. General lobbying regarding altering CFPB's operational structure and rulemaking authority. General lobbying on consumer protection provisions related to servicemember contracts for consumer products. H.R. 4293 (Affordable Retirement Advice Protection Act); amends ERISA to impose a new best interest standard, requires a rulemaking to be approved by Congress. H.R. 4294 (SAVERS Act); amends Internal Revenue to impose a new best interest standard, requires a rulemaking to be approved by Congress.

H.R. 554 - Enhancing Educational Opportunities for All Students Act; entire bill H.R. 601 - Eliminate Privacy Notice Confusion Act; entire bill H.R. 1090 - Retail Investor Protection Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2029 - Consolidated Appropriations Act, 2016; provisions relating to CFC look-through, mutual fund dividends, cybersecurity system data risk disclosures H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill H.R. 2353 - Highway and Transportation Funding Act of 2015; provisions relating to redundant privacy notice mailings H.R. 2356 - Fair Access to Investment Research Act of 2015; entire bill H.R. 3524 - Equal Employment for All Act of 2015; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 423 - Privacy Notice Modernization Act of 2015; entire bill S. 456 - Cyber Threat Sharing Act of 2015; entire bill S. 754 - Cybersecurity Information Sharing Act of 2015; entire bill S. 961 - Data Security Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill S. 1722 - Salary Collection Regulatory Relief Act; entire bill S. 1981 - Equal Employment for All Act of 2015; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches

H.R. 22 (Developing a Reliable and Innovative Vision for the Economy Act); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1295 (Trade Preferences Extension Act of 2015); H.R. 1314 (Trade Act of 2015); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act); H.R. 2995 (Financial Services and General Government Appropriations Act, 2016); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 1910 (Financial Services and General Government Appropriations Act, 2016); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance exemptive order; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules; Municipal Advisor Regulation; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity (general).

H.R. 2087/S. 1133 (Arbitration Fairness Act); prohibits mandatory, pre-dispute arbitration in consumer contracts. General lobbying with regard to the enforceability of mandatory, pre-dispute arbitration provisions in employment and consumer contracts, including financial consumer contracts and servicemember contracts for consumer products. H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. H.R. 1266 (Financial Product Safety Commission Act of 2015); Amends the Consumer Financial Protection Act of 2010 to replace the Consumer Financial Protection Bureau as an independent bureau within the Federal Reserve System, with an independent Financial Product Safety Commission that is to regulate the offering and provision of consumer financial products or services. H.R. 957 (CFPB-IG Act of 2015); Requires Senate confirmation of Inspector General of the Bureau of Consumer Financial Protection. H.R. 1090 (Retail Investor Protection Act); Prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual is considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. H.R. 1195 (Bureau of Consumer Financial Protection Advisory Boards Act); amends the Consumer Financial Protection Act of 2010 to establish advisory boards. General lobbying regarding altering CFPB's operational structure and rulemaking authority. General lobbying on consumer protection provisions related to servicemember contracts for consumer products.

H.R. 554 - Enhancing Educational Opportunities for All Students Act; entire bill H.R. 601 - Eliminate Privacy Notice Confusion Act; entire bill H.R. 1090 - Retail Investor Protection Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill H.R. 2356 - Fair Access to Investment Research Act of 2015; entire bill H.R. 3524 - Equal Employment for All Act of 2015; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 423 - Privacy Notice Modernization Act of 2015; entire bill S. 456 - Cyber Threat Sharing Act of 2015; entire bill S. 754 - Cybersecurity Information Sharing Act of 2015; entire bill S. 961 - Data Security Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill S. 1722 - Salary Collection Regulatory Relief Act; entire bill S. 1981 - Equal Employment for All Act of 2015; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches. Not yet introduced: bipartisan legislation relating to the DOL ERISA Fiduciary proposal

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

H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1314 (Trade Act of 2015); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); H.R. 1982; (Restoring Main Street Investor Protection and Confidence Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Bankruptcy reform for municipalities; Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; Financial Stability Oversight Council (FSOC); FSOC consideration of systemically important financial institutions (SIFIs); FSOC Transparency Policy; CFTC exemptive order on extraterritorial scope of Title VII; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Mutual Fund 12b-1 Fees; Senior investors/diminished capacity investors; Broker-dealers/investment advisers mitigation of accounts; Basel III Liquidity Coverage Ratio rules.

H.R. 37 - Promoting Job Creation and Reducing Small Business Burdens Act; provisions relating to swaps H.R. 554 - Enhancing Educational Opportunities for All Students Act ; entire bill H.R. 601 - Eliminate Privacy Notice Confusion Act; entire bill H.R. 1090 - Retail Investor Protection Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill H.R. 1731 - National Cybersecurity Protection Advancement Act of 2015; entire bill H.R. 1770 - Data Security and Breach Notification Act of 2015; entire bill H.R. 2141 - International Insurance Standards Transparency and Policyholder Protection Act; entire bill H.R. 2205 - Data Security Act; entire bill H.R. 2289 - Commodity End-User Relief Act; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 423 - Privacy Notice Modernization Act of 2015; entire bill S. 456 - Cyber Threat Sharing Act of 2015; entire bill S. 754 - Cybersecurity Information Sharing Act of 2015; entire bill S. 961 - Data Security Act of 2015; entire bill S. 1086 - The International Insurance Capital Standards Accountability Act, entire bill S. 1158 - Consumer Privacy Protection Act of 2015; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches.

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

H.R. 2087/S. 1133 (Arbitration Fairness Act); prohibits mandatory, pre-dispute arbitration in consumer contracts. General lobbying with regard to the enforceability of mandatory, pre-dispute arbitration provisions in employment and consumer contracts, including financial consumer contracts and servicemember contracts for consumer products. S.__/H.R.__ (Fairness in Nursing Home Arbitration Act); draft legislation not formally introduced as of 07-17-2015; relating to the use of arbitration agreements to resolve disputes involving nursing home cases and nursing home contracts. General lobbying with regard to the ability of consumers and injured parties to bring class actions, including limitations on the ability to bring class actions involving the securities industry. S.__/H.R.__ (Civil Legal Access to Strong Safeguards); draft legislation not formally introduced as of 07-17-2015; amends the Class Action Fairness Act to ensure that consumers and injured parties in a class action are treated fairly and equally. S. 1999/H.R. 4068 (SCRA Rights Protection Act of 2014); amends the Servicemembers Civil Relief Act to require the consent of parties to contracts for the use of arbitration to resolve controversies arising under the contracts and subject to provisions of such Act and to preserve the rights of servicemembers to bring class actions under such Act, and for other purposes. H.R. 1910 (Foreign Manufacturers Legal Accountability Act); requires foreign manufacturers of products imported into the United States to establish registered agents in the United States who are authorized to accept service of process against such manufacturers, and for other purposes. General Lobbying with regard to the preemption of states causes of action involving medical device and drug manufacturers. General lobbying with regard to asbestos exposure and related health and environmental issues. S. 357/H.R. 526 (Furthering Asbestos Claim Transparency Act); amends Title 11 of the United States Code to require the public disclosure by trusts established under Section 524(g) of such Title, of quarterly reports that contain detailed information regarding the receipt and disposition of claims for injuries based on exposure to asbestos, and the filing of such reports with the Executive Office for United States Trustees. H.R. 1199 (Innocent Sellers Fairness Act); prevents undue disruption of interstate commerce by limiting civil actions brought against persons whose only role with regard to a product in the stream of commerce is as a lawful seller of the product. General lobbying with regard to alternative litigation funding. H.R. 54 (Frank Lautenberg Memorial Secure Chemical Facilities Act)/S. 697 (Frank R. Lautenberg Chemical Safety for the 21st Century Act)/S.725 (Alan Reinstein and Trevor Schaefer Toxic Chemical Protection Act); amends the Toxic Substances Control Act to reauthorize and modernize that Act, and for other purposes. H.R. 2576 (TSCA Modernization Act); provides for the safe and efficient flow of chemicals in interstate and foreign commerce; specific interest in provisions that would preempt state-based causes of action. General lobbying with regard to the ongoing development of a proposed TAFT-TTIP trade agreement, specific interest in effect the trade agreement would have on state-based causes of action. S. 1900/H.R. 3830 (Bipartisan Congressional Trade Priorities Act); establishes Congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, provides for consideration of trade agreements, and for other purposes. S. 2171 (Location Privacy Protection Act); specific interest in limitations on liability and preemption of state-based causes of action. S. 2393 (Servicemember Employment Protection Act); makes unenforceable any clause of an agreement between an employer and employee requiring arbitration of a dispute arising under the Uniformed Services Employment and Reemployment Rights Act (USERRA). Provides an exception when both parties voluntarily agree to arbitration. Requires any issue as to whether such requirement applies to an arbitration clause to be determined by federal law and the validity or enforceability of an agreement to arbitration to be determined by a court rather than an arbitrator. H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. General lobbying with regard to warranties of Energy Star-rated products and ability of consumers to bring a class action against manufacturers of Energy Star-rated products. H.R. 504/S. 1038 (Energy Star Program Integrity Act); clarifies that no express or implied warranty is provided by reason of a disclosure relating to voluntary participation in the Energy Star program. H.R. 4921; provides for the revision of certification requirements for the labeling of certain electronic products under the Energy Star program. S. 544/H.R. 1040 (Secret Science Reform Act of 2015); prohibits the Environmental Protection Agency from proposing, finalizing, or disseminating regulations or assessments based upon science that is not transparent or reproducible. S. 2615; establishes criminal penalties for failing to inform and warn of serious dangers. H.R. 4 (Jobs for America Act); revises Federal law to improve the conditions necessary for economic growth and job creation. General lobbying regarding altering CFPB's operational structure and rulemaking authority. General lobbying on aviation safety. General lobbying on consumer protection provisions related to servicemember contracts for consumer products. S. 852 (A Voice for Victims Act); provides that employment-related arbitration agreements shall not be enforceable with respect to any claim related to a tort arising out of rape. H.R. 2030/S. 700 (READ Act); amends the Asbestos Information Act of 1988 to establish a public database of asbestos-containing products, to require public disclosure of information pertaining to the manufacture, processing, distribution, and use of asbestos-containing products in the United States. H.R. 1195 (Bureau of Consumer Financial Protection Advisory Boards Act); amends the Consumer Financial Protection Act of 2010 to establish advisory boards. Lobbying with regard to updating generic drug labeling responsibilities. H.R. 3020/S. 1695 (Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2016); making appropriations for the Departments of Labor, Health and Human Services, and Education, and related agencies for the fiscal year ending September 30, 2016. Lobbying with regard to mandatory arbitration clauses in nursing home residency contracts.

H.R. 26 (Terrorism Risk Insurance Program Reauthorization Act of 2015); H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 234 (Cyber Intelligence Sharing and Protection Act); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 432 (SBIC Advisers Relief Act of 2015); H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015); H.R. 897 (Reducing Regulatory Burdens Act of 2015); H.R. 989 (Capital Access for Small Businesses and Jobs Act); H.R. 1090 (Retail Investor Protection Act); H.R. 1098 (Investor Choice Act of 2015); H.R. 1163 (Futures Investor Protection Act); H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify how clearing requirements apply to certain affiliate transactions, and for other purposes); H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015); H.R. 1525 (Disclosure Modernization and Simplification Act of 2015); H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act); H.R. 1675 (Encouraging Employee Ownership Act of 2015); H.R. 1723 (Small Company Simple Registration Act of 2015); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 754 (Cybersecurity Information Sharing Act of 2015); Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; Swap execution facilities; Swap dealer, major swap participant, and futures commission merchant chief compliance officer; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II); Systemic Risk Regulation and liquidation authority; Market Structure Issues (dark pools, flash quotes, high frequency trading); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; Transpacific Partnership; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; Basel Capital Rules; Basel Securitization Framework; G-20; TransAtlantic Trade and Investment Partnership (TTIP); Trade Promotion Authority (TPA); India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Establishment of the Office of Financial Research; Bankruptcy reform for municipalities; Financial Stability Oversight Council (FSOC); Support of financial literacy; Privacy and cybersecurity issues (general); Self-Regulatory Organizations (SRO) rulemaking; Municipal advisor regulation; NASDAQ and NYSE market data fee proposals; CFTC cross-border guidance; CFTC exemptive order on extraterritorial scope of Title VII; Computerized trading; 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; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; CFTC recordkeeping requirements (CEA Section 23.201); Office of Financial Research study (Asset Management and Financial Stability); FSOC consideration of systemically important financial institutions (SIFIs); Leverage capital requirements; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Bankruptcy code reform; Municipalities Continuing Disclosure Cooperation (MCDC) Initiative; Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority); Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); CFTC proposed rule on margin requirements for uncleared swaps; Prudential Regulator's proposed rule on margin requirements for uncleared swaps; Commodity Pools and Securitization; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps; Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures; U.S./EU cross-border regulatory issues; Cybersecurity requests for technical assistance; Cybersecurity proposals; Trade policy issues (general); Market data (Exchange Act Section 19 and related rules); China "Secure and Controllable" information and communication technologies (ICT) regulations. Small Business Credit Availability Act (not yet introduced); Startup Capital Modernization Act (not yet introduced); Fostering Innovation Act (not yet introduced).

H.R. 37 - Promoting Job Creation and Reducing Small Business Burdens Act; provisions relating to swaps H.R. 554 - Enhancing Educational Opportunities for All Students Act ; entire bill H.R. 601 - Eliminate Privacy Notice Confusion Act; entire bill H.R. 1090 - Retail Investor Protection Act; entire bill H.R. 1098 - The Investor Choice Act; entire bill H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015; entire bill H.R. 1560 - Protecting Cyber Networks Act; entire bill S. 177 - Data Security and Breach Notification Act of 2015; entire bill S. 423 - Privacy Notice Modernization Act of 2015; entire bill S. 456 - Cyber Threat Sharing Act of 2015; entire bill S. 754 - Cybersecurity Information Sharing Act of 2015; entire bill Administrations package of legislative and regulatory initiatives designed to improve U.S. cybersecurity and protect customers from data breaches. Not Yet Introduced: legislation on investment company registration and CPOs

Client expense: $590,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1844/S. 878 (Arbitration Fairness Act); prohibits mandatory, pre-dispute arbitration in consumer contracts. General lobbying with regard to the enforceability of mandatory, pre-dispute arbitration provisions in employment and consumer contracts, including financial consumer contracts and servicemember contracts for consumer products. S.__/H.R.__ (Fairness in Nursing Home Arbitration Act); draft legislation not formally introduced as of 04-17-2015; relating to the use of arbitration agreements to resolve disputes involving nursing home cases and nursing home contracts. General lobbying with regard to the ability of consumers and injured parties to bring class actions, including limitations on the ability to bring class actions involving the securities industry. S.__/H.R.__ (Civil Legal Access to Strong Safeguards); draft legislation not formally introduced as of 04-17-2015; amends the Class Action Fairness Act to ensure that consumers and injured parties in a class action are treated fairly and equally. S. 1999/H.R. 4068 (SCRA Rights Protection Act of 2014); amends the Servicemembers Civil Relief Act to require the consent of parties to contracts for the use of arbitration to resolve controversies arising under the contracts and subject to provisions of such Act and to preserve the rights of servicemembers to bring class actions under such Act, and for other purposes. H.R. 1910 (Foreign Manufacturers Legal Accountability Act); requires foreign manufacturers of products imported into the United States to establish registered agents in the United States who are authorized to accept service of process against such manufacturers, and for other purposes. General Lobbying with regard to the preemption of states causes of action involving medical device and drug manufacturers. General lobbying with regard to asbestos exposure and related health and environmental issues. S. 357/H.R. 526 (Furthering Asbestos Claim Transparency Act); amends Title 11 of the United States Code to require the public disclosure by trusts established under Section 524(g) of such Title, of quarterly reports that contain detailed information regarding the receipt and disposition of claims for injuries based on exposure to asbestos, and the filing of such reports with the Executive Office for United States Trustees. H.R. 1199 (Innocent Sellers Fairness Act); prevents undue disruption of interstate commerce by limiting civil actions brought against persons whose only role with regard to a product in the stream of commerce is as a lawful seller of the product. General lobbying with regard to alternative litigation funding. H.R. 54 (Frank Lautenberg Memorial Secure Chemical Facilities Act)/S. 697 (Frank R. Lautenberg Chemical Safety for the 21st Century Act)/S.725 (Alan Reinstein and Trevor Schaefer Toxic Chemical Protection Act); amends the Toxic Substances Control Act to reauthorize and modernize that Act, and for other purposes. H.R.__ (TSCA Modernization Act); draft legislation not formally introduced as of 04-17-2015; provides for the safe and efficient flow of chemicals in interstate and foreign commerce; specific interest in provisions that would preempt state-based causes of action. General lobbying with regard to the ongoing development of a proposed TAFT-TTIP trade agreement, specific interest in effect the trade agreement would have on state-based causes of action. S. 1900/H.R. 3830 (Bipartisan Congressional Trade Priorities Act); establishes Congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, provides for consideration of trade agreements, and for other purposes. S. 2171 (Location Privacy Protection Act); specific interest in limitations on liability and preemption of state-based causes of action. S. 2393 (Servicemember Employment Protection Act); makes unenforceable any clause of an agreement between an employer and employee requiring arbitration of a dispute arising under the Uniformed Services Employment and Reemployment Rights Act (USERRA). Provides an exception when both parties voluntarily agree to arbitration. Requires any issue as to whether such requirement applies to an arbitration clause to be determined by federal law and the validity or enforceability of an agreement to arbitration to be determined by a court rather than an arbitrator. H.R. 1098 (Investor Choice Act of 2015); amends the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to revise the authority of the Securities and Exchange Commission (SEC) to prohibit, or impose conditions or limitations on the use of agreements that require customers or clients of any broker, dealer, or municipal securities dealer to arbitrate any future dispute between then arising under the federal securities laws, related rules and regulations, or the rules of a self-regulatory organization if it finds that prohibition, imposition of conditions, or limitations are in the public interest and for the protection of investors. General lobbying with regard to warranties of Energy Star-rated products and ability of consumers to bring a class action against manufacturers of Energy Star-rated products. H.R. 504 (Energy Star Program Integrity Act); clarifies that no express or implied warranty is provided by reason of a disclosure relating to voluntary participation in the Energy Star program. H.R. 4921; provides for the revision of certification requirements for the labeling of certain electronic products under the Energy Star program. S. 544/H.R. 1040 (Secret Science Reform Act of 2015); prohibits the Environmental Protection Agency from proposing, finalizing, or disseminating regulations or assessments based upon science that is not transparent or reproducible. H.R. 4800 (Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2015); specific interest related to report language concerning FDA generic drug labeling approval process. S. 2615; establishes criminal penalties for failing to inform and warn of serious dangers. H.R. 4 (Jobs for America Act); revises Federal law to improve the conditions necessary for economic growth and job creation. General lobbying regarding altering CFPB's operational structure and rulemaking authority. General lobbying on aviation safety. General lobbying on consumer protection provisions related to servicemember contracts for consumer products. S. 852 (A Voice for Victims Act); provides that employment-related arbitration agreements shall not be enforceable with respect to any claim related to a tort arising out of rape.