Fair Access to Investment Research Act of 2015

H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 414 (Burdensome Data Collection Relief Act); H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015); 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. 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$afe Act of 2016); H.R. 5019 (Fair Access to Investment Research Act of 2016); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); H.R. 5592 (Derivatives Oversight and Taxpayer Protection Act); S. 67 (Restoring Main Street Investor Protection and Confidence Act); S. 115 (Fair Tax Act of 2015); S. 153 (I-Squared Act of 2015); S. 161 (Paying a Fair Share Act of 2015); S. 305 (American Job Protection Act); S. 576 (Encouraging Employee Ownership Act); S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015); S. 1484 (Financial Regulatory Improvement Act of 2015); S. 2216 (Senior$afe Act of 2015); S. 2497 (Retail Investor Protection Act of 2016); S. 3092 (Fair Access to Investment Research 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; 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.

Client expense: $1,620,000 · 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), Internal Revenue Service (IRS), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Economic Council (NEC), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)

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

Issues related to S. 1455/H.R. 2356, The Recovery Enhancement for Addiction Treatment (TREAT) Act. Issues related to S. 524/H.R. 4981, The Comprehensive Addiction and Recovery Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 1486, Taking Account of Bureaucrats' Spending (TABS) Act of 2016 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4216/S. 1802, Consumer Financial Choice and Capital Markets Protection Act of 2015 H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498/S. 978, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 H.R. 4852, Private Placement Improvement Act of 2016 H.R. 4854, Supporting America's Innovators Act of 2016 H.R. 4855, Fix Crowdfunding Act H.R. 5019, Fair Access to Investment Research Act of 2016 H.R. 5143, Transparent Insurance Standards Act of 2016 H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 H.R. 5424, Investment Advisers Modernization Act of 2016 H.R. 5429, SEC Regulatory Accountability Act H.R. 5485/S. 3067, Financial Services and General Government Appropriations Act, 2017, including provisions related to House Amendment 1253 H.R. 5982, Midnight Rules Relief Act of 2016 H.R. 5983, Financial CHOICE Act of 2016 S. 2867, SEC Small Business Advocate Act of 2016 Final regulation on definition of the term "fiduciary"; conflict of interest rule--retirement investment advice (81 Fed. Reg. 20,946, April 8, 2016) Proposed regulations on regulation automated trading (80 Fed. Reg. 78,824, December 17, 2015) Proposed regulations on arbitration agreements (81 Fed. Reg. 32,830, May 24, 2016) Proposed regulations on capital requirements for supervised institutions significantly engaged in insurance activities (81 Fed. Reg. 38,631, June 14, 2016) Proposed regulations payday, vehicle title and certain high-cost installment loans (81 Fed. Reg. 47,864, July 22, 2016) Proposed regulations on amendments relating to disclosure of records and information (81 Fed. Reg. 58,310, August 24, 2016) Proposed regulations on enhanced prudential standards for systemically important insurance companies (81 Fed. Reg. 38,610, June 14, 2016) Notice regarding consumer response company response survey (81 Fed. Reg. 50,484, August 1, 2016) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); Basel III capital standards, bank capital, and liquidity reform; political spending disclosures; systemic risk regulation and capital standards for non-bank financial companies; changes to Credit Repair Organizations Act of 1996 (CROA) (P.L. 90-321, Title IV); Securities and Exchange Commission electronic delivery and investment company reporting modernization; Federal Reserve reform; universal ballot; proxy voting system

H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text) S.1841, Taxpayer Protection and Responsible Resolution Act (All sections of full text) Discussions regarding dividends of federal reserve banks Monitored H.R.5465, To repeal section 1075 of the Consumer Financial Protection Act of 2010 relating to rules for payment card transactions, and for other purposes.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

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

Issues related to S. 1455/H.R. 2356, The Recovery Enhancement for Addiction Treatment (TREAT) Act. Issues related to S. 524/H.R. 4981, The Comprehensive Addiction and Recovery Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1486, Taking Account of Bureaucrats' Spending (TABS) Act of 2016 H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 1675, Capital Markets Improvement Act of 2016 H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2289, Commodity End User Relief Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2901/S. 1679, Flood Insurance Market Parity and Modernization Act H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4216/S. 1802, Consumer Financial Choice and Capital Markets Protection Act of 2015 H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498/S. 978, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 H.R. 4852, Private Placement Improvement Act of 2016 H.R. 4854, Supporting America's Innovators Act of 2016 H.R. 4855, Fix Crowdfunding Act H.R. 5019, Fair Access to Investment Research Act of 2016 H.R. 5143, Transparent Insurance Standards Act of 2016 H.R. 5311, Corporate Governance Reform and Transparency Act of 2016 H.R. 5424, Investment Advisers Modernization Act of 2016 H.R. 5429, SEC Regulatory Accountability Act H.R. 5485, Financial Services and General Government Appropriations Act, 2017 S. 1484, Financial Regulatory Improvement Act of 2015 S. 2867, SEC Small Business Advocate Act of 2016 S. 2917, Commodity End-User Relief Act 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, A joint resolution 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 Draft legislation on conflict minerals disclosures Proposed regulations on the definition of the term fiduciary; Conflict of interest rule-retirement investment advice (80 Fed. Reg. 21,928, April 20, 2015) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203), including sections 953 and 1502; ratification of the Convention on the Assignment of Receivables in International Trade; Basel III capital standards, bank capital, and liquidity reform; Trust Indenture Act (P.L. 76-253); political spending disclosures; systemic risk regulation and capital standards for non-bank financial companies; Consumer Financial Protection Bureau arbitration rule; Consumer Financial Protection Bureau payday and small dollar lending rule; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau auto financing standard; Consumer Financial Protection Bureau no action letters; Federal Reserve reform; universal ballot; proxy voting system

H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text) H.R.3815, Justice Against Sponsors of Terrorism Act (All sections of full text) S.2040, Justice Against Sponsors of Terrorism Act (All sections of full text) Discussions regarding dividends of federal reserve banks Monitored H.R.5465, To repeal section 1075 of the Consumer Financial Protection Act of 2010 relating to rules for payment card transactions, and for other purposes.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

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

Issues related to S. 1455/H.R. 2356, The Recovery Enhancement for Addiction Treatment (TREAT) Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act H.R. 414, Burdensome Data Collection Relief Act H.R. 432/S. 1978, SBIC Advisers Relief Act of 2015 H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 686/S. 1010, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015 H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 957/S. 510, Bureau of Consumer Financial Protection-Inspector General Reform (CFPB-IG) Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1210, Portfolio Lending and Mortgage Access Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1266, Financial Product Safety Commission Act of 2015 H.R. 1309, Systemic Risk Designation Improvement 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. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 1553, Small Bank Exam Cycle Reform Act of 2015 H.R. 1659, Improving Access to Capital for Emerging Growth Companies Act H.R. 1675, Capital Markets Improvement Act of 2016 H.R. 1723, Small Company Simple Registration Act of 2015 H.R. 1737, Reforming CFPB Indirect Auto Financing Guidance Act H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act of 2015 H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2015 H.R. 1941, Financial Institutions Examination Fairness and Reform Act H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act H.R. 2187, Fair Investment Opportunities for Professional Experts Act H.R. 2287 /S. 924, National Credit Union Administration Budget Transparency Act H.R. 2289, Commodity End User Relief Act H.R. 2354, Streamlining Excessive and Costly Regulations Review Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2769, Risk-Based Capital Study Act of 2015 H.R. 2789, Capital Access for Small Business Banks Act H.R. 3192, Homebuyers Assistance Act H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3857, To require the Board of Governors of the Federal Reserve System and the Financial Stability Oversight Council to carry out certain requirements under the Financial Stability Act of 2010 before making any new determination under section 113 of such Act, and for other purposes H.R. 3868, Small Business Credit Availability Act H.R. 4096, Investor Clarity and Bank Parity Act H.R. 4139, Fostering Innovation Act of 2015 H.R. 4166, Expanding Proven Financing for American Employers Act H.R. 4168, Small Business Capital Formation Enhancement Act H.R. 4293, Affordable Retirement Advice Protection Act H.R. 4294, Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act of 2015 H.R. 4450/S. 2489, Incorporation Transparency and Law Enforcement Assistance Act H.R. 4498, Helping Angels Lead Our Startups (HALOS) Act H.R. 4620, Preserving Access to CRE Capital Act of 2016 H.R. 4718, Gender Diversity in Corporate Leadership Act of 2016 S. 576, Encouraging Employee Ownership Act S. 876, A bill to amend the Commodity Exchange Act to specify how clearing requirements apply to certain affiliate transactions S. 1484, Financial Regulatory Improvement Act of 2015 S. 1963, Bureau of Consumer Financial Protection Advisory Board Enhancement Act S. 2232, Federal Reserve Transparency Act of 2015 Draft legislation on conflict minerals disclosures Various issues relating to the implementation of the Dodd- Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); Basel III capital standards; Trust Indenture Act (P.L. 76-253); oversight of proxy advisory firms; political spending disclosures; Department of Labor definition of fiduciary duty rules; conflict of interest rule, retirement investment advice; international capital standards for non-banks and insurance companies; systemic risk regulations for non-bank financial companies; Consumer Financial Protection Bureau arbitration study; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau auto financing standard; Consumer Financial Protection Bureau no action letters; Federal Reserve reform; universal ballot; proxy voting system; impact of international regulatory standards on the competitiveness of U.S. insurers; case law arising under Section 316 of the Trust Indenture Act of 1939 (P.L. 76-253)

HR 2356, Fair Access to Investment Research Act of 2015, issues related to research on exchange-traded funds; HR 1675, Capital Markets Improvement Act of 2016, issues related to research on exchange-traded funds; General issues related to capital issues; General issues related to derivatives clearing.

Client expense: $440,000 · Firm income: Not reported

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

HR 2896-Tailor Act of 2015, HR 3798-Due Process Restoration Act of 2015, HR 4096-Investor clarity & bank Parity Act, HR 4166-Expanding Proven financing for American Employers Act, HR 686-Small Business Mergers, Acquisitions, Sales & Brokerage independent Act of 2015, HR 1675-Capital Markets Improvement Act of 2016, HR 1965-Small company disclosure simplification act, HR 4139-Fostering innovation act of 2015, Position limits, Dodd-Frank Section 956, SEC Political Disclosure rule, Budget and SEC rulemaking discussion, Dodd-Frank implementation, HR 2356-Fair Access to Investment research act of 2015, HR 2354-Streamlining Excessive & costly regulations review act, HR 4498-HALOS Act, HR 4638-Main Street Growth Act.

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

Government targets: Commodity Futures Trading Commission (CFTC), Consumer Product Safety Commission (CPSC), Education, Dept of, Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text) Discussions regarding dividends of federal reserve banks

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

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. 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. 1090 - Retail Investor Protection Act (Wagner) H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 2356 - Fair Access to Investment Research Act of 2015 (Hill) H.R. 3610 - Puerto Rico Investor Protection Act of 2015 (Velazquez) H.R. 3189 - Fed Oversight Reform and Modernization Act of 2015 (Huizenga) H.R. 3738 - Office of Financial Research Accountability Act of 2015 (Royce) H.R. 4216 - Consumer Financial Choice and Capital Markets Protection Act (Moore) Helping Angels Lead our Startups Act (Chabot) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act (Toomey) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board CFTC Rule 4.5 Exchange-Traded Funds Structure of the U.S. Securities Markets Proxy Advisory Services

Client expense: $1,092,912 · Firm income: Not reported

H.R. 22, Fixing Americas Surface Transportation (FAST) Act, including provisions relating to House Amendments 824 and 827 H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act H.R. 414, Burdensome Data Collection Relief Act H.R. 432, SBIC Advisers Relief Act of 2015 H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 686/S. 1010, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015 H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 957/S. 510, Bureau of Consumer Financial Protection-Inspector General Reform (CFPB-IG) Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1210, Portfolio Lending and Mortgage Access Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1266, Financial Product Safety Commission Act of 2015 H.R. 1309, Systemic Risk Designation Improvement 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. 1550, Financial Stability Oversight Council Improvement Act of 2015 H.R. 1553, Small Bank Exam Cycle Reform 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. 1737, Reforming CFPB Indirect Auto Financing Guidance Act H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act of 2015 H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2015 H.R. 1941, Financial Institutions Examination Fairness and Reform Act H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act H.R. 2187, Fair Investment Opportunities for Professional Experts Act H.R. 2287, National Credit Union Administration Budget Transparency Act H.R. 2289, Commodity End User Relief Act H.R. 2354, Streamlining Excessive and Costly Regulations Review Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2769, Risk-Based Capital Study Act of 2015 H.R. 2789, Capital Access for Small Business Banks Act H.R. 2995, Financial Services and General Government Appropriations Act, 2016, including provisions relating to potential amendment regarding affordable dispute resolution options in the consumer financial services marketplace H.R. 3192, Homebuyers Assistance Act H.R. 3340, Financial Stability Oversight Council Reform Act H.R. 3557, FSOC Transparency and Accountability Act H.R. 3738, Office of Financial Research Accountability Act of 2015 H.R. 3784, SEC Small Business Advocate Act of 2015 H.R. 3791, To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes H.R. 3798, Due Process Restoration Act of 2015 H.R. 3857, To require the Board of Governors of the Federal Reserve System and the Financial Stability Oversight Council to carry out certain requirements under the Financial Stability Act of 2010 before making any new determination under section 113 of such Act, and for other purposes H.R. 3868, Small Business Credit Availability Act H.R. 4168, Small Business Capital Formation Enhancement Act S. 423, Privacy Notice Modernization Act of 2015 S. 576, Encouraging Employee Ownership Act S. 1484, Financial Regulatory Improvement Act of 2015 S. 1963, Bureau of Consumer Financial Protection Advisory Board Enhancement Act Draft legislation on conflict minerals disclosures Potential legislation similar to H.R. 2629, Fostering Innovation Act of 2013 Potential legislation similar to S. 2498, Helping Angels Lead Our Startups (HALOS) Act (113th Congress) Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); evaluating the security of the U.S. financial sector; Basel III capital standards; Trust Indenture Act (P.L. 76-253); oversight of proxy advisory firms; political spending disclosures; Department of Labor definition of fiduciary duty rules; international capital standards for non-banks and insurance; systemic risk regulations for non-bank financial companies; Consumer Financial Protection Bureau arbitration study; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau auto financing standard; Consumer Financial Protection Bureau no action letters; Department of Treasury online marketplace lending RFI; Federal Reserve reform; beneficial ownerships disclosures; universal ballot; proxy voting system

HR 2356, Fair Access to Investment Research Act of 2015, issues related to research on exchange-traded funds.

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

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

Issues related to S. 1455/H.R. 2356, The Recovery Enhancement for Addiction Treatment (TREAT) Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

P.L.114-94, FAST Act (Section 32203: Dividends of Federal reserve banks) P.L.114-113, Consolidated Appropriations Act, 2016 H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text)

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to S. 1455/H.R. 2356, The Recovery Enhancement for Addiction Treatment (TREAT) Act.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1090 - Retail Investor Protection Act (Wagner) H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert) H.R. 2289 - Commodity End-User Relief Act (Conaway) H.R. 2356 - Fair Access to Investment Research Act of 2015 (Hill) H.R. 3189 - Fed Oversight Reform and Modernization Act of 2015 (Huizenga) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 1802 - Consumer Financial Choice and Capital Markets Protection Act of 2015 (Toomey) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board Exchange-Traded Funds Structure of the U.S. Securities Markets

Client expense: $1,947,493 · Firm income: Not reported

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. 22, Developing a Reliable and Innovative Vision for the Economy (DRIVE) Act H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act H.R. 432, SBIC Advisers Relief Act of 2015 H.R. 414, Burdensome Data Collection Relief Act H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 686/S. 1010, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015 H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 957, Bureau of Consumer Financial Protection-Inspector General Reform (CFPB-IG) Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1090, Retail Investor Protection Act H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1210, Portfolio Lending and Mortgage Access Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1266, Financial Product Safety Commission 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. 1553, Small Bank Exam Cycle Reform 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. 1737, Reforming CFPB Indirect Auto Financing Guidance Act H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act of 2015 H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2015 H.R. 1941, Financial Institutions Examination Fairness and Reform Act H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act H.R. 2187, Fair Investment Opportunities for Professional Experts Act H.R. 2213, To provide for a temporary safe harbor from the enforcement of integrated disclosure requirements for mortgage loan transactions under the Real Estate Settlement Procedures Act of 1974 and the Truth in Lending Act, and for other purposes H.R. 2287, National Credit Union Administration Budget Transparency Act H.R. 2289, Commodity End User Relief Act H.R. 2354, Streamlining Excessive and Costly Regulations Review Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2769, Risk-Based Capital Study Act of 2015 H.R. 2789, Capital Access for Small Business Banks Act H.R. 3192, Homebuyers Assistance Act S. 576, Encouraging Employee Ownership Act S. 1484, Financial Regulatory Improvement Act of 2015 S. 1963, Bureau of Consumer Financial Protection Advisory Board Enhancement Act Draft legislation on conflict minerals disclosures Various issues relating to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); disclosures related to form BE-10; evaluating the security of the U.S. financial sector; Basel III capital standards; Trust Indenture Act (P.L. 76-253); Private Securities Litigation Reform Act (P.L. 104-67), securities litigation;oversight of proxy advisory firms;political spending disclosures; Department of Labor definition of fiduciary duty rules; international capital standards for non-banks; systemic risk regulations for non-bank financial companies; treatment of affiliates of non-financial firms that use a central treasury unit; Consumer Financial Protection Bureau arbitration study; Consumer Financial Protection Bureau online lending proposal; Consumer Financial Protection Bureau no action letters; Federal Reserve reform; beneficial ownerships disclosures; operation of the Financial Stability Board

HR 2356, Fair Access to Investment Research Act of 2015, issues related to research on exchange-traded funds.

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

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

H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text) Monitored discussions involving reduction of dividends from the Federal Reserve.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R.2356, Fair Access to Investment Research Act of 2015 (All sections of full text)

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act H.R. 432, SBIC Advisers Relief Act of 2015 H.R. 601, Eliminate Privacy Notice Confusion Act H.R. 686/S. 1010, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015 H.R. 766, Financial Institution Customer Protection Act of 2015 H.R. 1023/S. 552, Small Business Investment Company Capital Act of 2015 H.R. 1195, Bureau of Consumer Financial Protection Advisory Boards Act H.R. 1210, Portfolio Lending and Mortgage Access Act H.R. 1259, Helping Expand Lending Practices in Rural Communities Act H.R. 1265, Bureau Advisory Commission Transparency Act H.R. 1334, Holding Company Registration Threshold Equalization Act of 2015 H.R. 1525, Disclosure Modernization and Simplification Act of 2015 H.R. 1553, Small Bank Exam Cycle Reform 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. 1737, Reforming CFPB Indirect Auto Financing Guidance Act H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act of 2015 H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2015 H.R. 1965, Small Company Disclosure Simplification Act H.R. 1975, Securities and Exchange Commission Overpayment Credit Act H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act H.R. 2187, Fair Investment Opportunities for Professional Experts Act H.R. 2213, To provide for a temporary safe harbor from the enforcement of integrated disclosure requirements for mortgage loan transactions under the Real Estate Settlement Procedures Act of 1974 and the Truth in Lending Act, and for other purposes H.R. 2266, Commercial Real Estate and Economic Development (CREED) Act of 2015 H.R. 2287, National Credit Union Administration Budget Transparency Act H.R. 2289, Commodity End User Relief Act H.R. 2354, Streamlining Excessive and Costly Regulations Review Act H.R. 2356, Fair Access to Investment Research Act of 2015 H.R. 2357, Accelerating Access to Capital Act of 2015 H.R. 2477, Financial Transparency Act of 2015 H.R. 2648/S. 1109, Truth in Settlements Act of 2015 H.R. 2789, Capital Access for Small Business Banks Act S. 576, Encouraging Employee Ownership Act S. 1484, Financial Regulatory Improvement Act of 2015 Fiscal Year 2016 Financial Services Bill, including provisions relating to Womak Amendment requiring the Consumer Financial Protection Bureau to study the use of arbitration Draft legislation on conflict minerals disclosures Various issues relating to regulatory reform in the financial industry, including implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-203); disclosures related to form BE-10; evaluating the security of the U.S. financial sector; Basel III capital standards; Private Securities Litigation Reform Act (P.L. 104-67), securities litigation; oversight of proxy advisory firms; political spending disclosures; Department of Labor definition of fiduciary duty rules; international capital standards for non-banks; systemic risk regulations for non-bank financial companies; treatment of affiliates of non-financial firms that use a central treasury unit; Consumer Financial Protection Bureau arbitration study

HR2356, Fair Access to Investment Research Act of 2015, issues related to research on exchange-traded funds; General issues related to bank liquidity.

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

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

H.R. 1090 - Retail Investor Protection Act (Wagner) H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 2289 - Commodity End-User Relief Act (Conaway) H.R. 2356 - Fair Access to Investment Research Act of 2015 (Hill) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board Business Development Companies Investment Adviser SRO Volcker Rule Exchange-Traded Funds Structure of the U.S. Securities Markets

Client expense: $1,198,041 · Firm income: Not reported

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